RAINFOREST ALLIANCE 2020 CERTIFICATION PROGRAM 2020 CERTIFICATION AND AUDITING RULES Publication date: 31/01/2021 Version: 1.1 SA-R-GA-1-V1.1 1 © 2021 Rainforest Alliance. All rights reserved. Introduction................................................... 4 2.4 Sampling 74 AR4.2 Stakeholder consultation 120 Innovations in the Rainforest Alliance 2.5 Audit duration 82 AR4.3 Auditing assess-and-address 2020 Assurance system 5 system 122 2.6 Certification & surveillance audit 85 Chapter 1: Certification Rules ...................... 9 AR4.4 Severity test 124 2.7 Conducting an opening meeting Introduction 9 87 AR4.5 Remediation 125 1.1 Scope of the Rainforest Alliance 2.8 Facility tour 90 AR4.6 Auditing Freedom of Association program and standard 11 (FoA) 125 2.9 Management system audit and 1.2 Certification options 17 document review 92 AR4.7 Auditing wages and living wage 126 1.3 Verification of conformity 22 2.10 Interviews and worker files review 93 AR4.8 Auditing labor providers 128 1.4 Certification process 27 2.11 Conducting a closing meeting 98 AR4.9 Auditing housing 130 1.5 Verification method-CB audit 37 2.12 Audit termination 99 AR4.10 Off-site investigation 131 1.6 Extensions 45 2.13 Draft report and checklist 101 AR4.12 Interviewing children 132 1.7 Non-conformities and possible consequences 48 2.14 Quality review 102 Annex AR5: Using geodata and geodata risk maps in an audit 134 1.8 Certificate transfers from once CB 2.15 Follow up audit 104 to antoher 53 Annex AR6: Auditing Deforestation and 2.16 Certification decision process 105 encroachment in protected areas 138 1.9 Incentives 54 2.17 Issuing the certificate 106 Annex AR7: Auditing traceability in farm 1.10 Rights reserved by the rainforest 2.18 Exceptions to standard and audits 142 alliance 56 assurance requriements for CHs 106 Annex AR8: Support permitted and not 1.11 Force majeure 58 Annex AR1: Auditing shared responsibility permitted during an audit 145 108 1.12 Grievance procedure 58 Annex AR9: Additional requirements for Annex CR1: Geodata and risk maps 59 Annex AR2: Minimum requirements for performing an investigation audit 146 document sampling 113 Chapter 2: Auditing Rules .......................... 65 Annex AR10: Combined and integrated Annex AR3: Calculating the number of audits 148 Introduction 65 worker interviews and worker files 116 Annex AR11: Use of interpreter 150 2.1 General requirements 65 Annex AR4: Auditing social topics 118 2.2 Certification application 68 AR4.1 Risk-based auditing on social 2.3 Audit planning and preparation 69 topics 118 SA-R-GA-1-V1.1 Certification and Auditing Rules 2 About Rainforest Alliance Document Name: Document Code: Version: The Rainforest Alliance is creating a more sustainable world by Rainforest Alliance Certification and SA-R-GA-1-V1.1 1.1 using social and market forces to protect nature and improve the Auditing Rules lives of farmers and forest communities. Date of first Date of revision: Valid From: Expires by: Translation Disclaimer publication: For any question related to the precise meaning of the information June 30th, 2020 January 31st, 2021 July 1st, 2021 Until further notice contained in the translation, please refer to the official English version for clarification. Any discrepancies or differences in Developed by: Approved by: meaning due to translation are not binding and have no effect for Rainforest Alliance Department Standards Director of Standards and Assurance auditing or certification purposes. and Assurance More information Linked to: For more information about the Rainforest Alliance, SA-S-SD-1-V1.1 Rainforest Alliance 2020 Sustainable Agriculture Standard, Farm visit www.rainforest-alliance.org or contact [email protected] Requirements SA-R-GA-2-V1.1 Rules for Certification Bodies Replaces: Assurance documents of pre-merger Rainforest Alliance and UTZ Applicable to: The Rainforest Alliance, Certificate Holders and Authorized CBs Country/Region: All Crop: Type of Certification: All crops in the scope of the Rainforest All Alliance certification system; please see Certification Rules. Any use of this content including reproduction, modification, distribution or republication, without the prior written consent of Rainforest Alliance is strictly prohibited. SA-R-GA-1-V1.1 Certification and Auditing Rules 3 INTRODUCTION The Rainforest Alliance 2020 Certification Program provides the credible and rigorous system. The audit and certification services foundation for our approach to “reimagining certification” – our rendered under the Assurance System maintain and ensure a general vision for the future of certification. The new standard, assurance sense of purpose as well as a commitment to high quality, integrity, system and related data and technology systems are designed to consistency, and transparency which is also reflected in the deliver more value to the many people and businesses around the commitment to continual improvement of systems, documentation world that use Rainforest Alliance certification as an essential tool to and processes. Access to the system by smallholders is important to support sustainable agricultural production and supply chains. the Rainforest Alliance, and smallholders are not at a disadvantage or excluded from accessing certification services. Farms, farmer groups and supply chain organizations that meet all applicable requirements of the Sustainable Agriculture Standard and Just as the Sustainable Agriculture Standard is designed to promote comply with the process requirements of the Rainforest Alliance continuous improvement by producers and supply chain actors, the Assurance Rules are then able sell, ship and/or buy their product as Rainforest Alliance is committed to continuously improving its work, Rainforest Alliance Certified. adopting a continuous improvement approach to the 2020 Certification Program. Documentation and systems will be updated To expand the reach of the Rainforest Alliance Certification Program accordingly to improve the program’s assurance, and any changes and to safeguard the system’s integrity, quality, competitiveness and will be communicated to Certification Bodies (CBs) and certificate credibility, the Rainforest Alliance works with independent holders and made available on the Rainforest Alliance website. certification bodies (CBs) around the world. Authorized CBs certify farms, farmer groups and supply chain organizations against the Overview of Assurance Rules & System Rainforest Alliance 2020 Sustainable Agriculture Standard. The Assurance Rules establish the rules for the various elements that The Rainforest Alliance is a full member of ISEAL and is committed to provide assurance for the 2020 Certification Program. The rules are ISEAL’s Code of Ethics and supports the ten ISEAL Credibility Principles, composed of two documents, each with two chapters. At the which represent the core values on which effective sustainability beginning of each chapter is an introduction that describes the standards are built. The Rainforest Alliance also applies the principles target audience of that chapter. of ISEAL’s codes of good practice: The Code of Good Practice for The two documents are: Setting Social and Environmental Standards (Standard-Setting Code); the Code of Good Practice for Assessing the Impacts of Social and 1. 2020 Rainforest Alliance Certification and Auditing Rules Environmental Standards (the Impacts Code); and the Code of Good Practice for Assuring Conformity with Social and Environmental 2. 2020 Rainforest Alliance Rules for Certification Bodies Standards (the Assurance Code). The Assurance System takes the contents of these two documents The Rainforest Alliance manages, and is responsible for, a global and translates them into the Rainforest Alliance technology systems Assurance System for Certification Bodies. As Rainforest Alliance that are designed to measure, ensure and improve compliance with certification expands further globally, the goal is to foster a highly the Sustainable Agriculture Standard’s requirements. It aims to create SA-R-GA-1-V1.1 Certification and Auditing Rules 4 a more robust and credible system by focusing attention on Strengthened auditing accuracy of data for informed decision processes, risk assessments To strengthen the consistency of audit quality across Certification and audit quality. Bodies (CBs), the Assurance System provides specific requirements INNOVATIONS IN THE RAINFOREST ALLIANCE 2020 and guidance on how to audit specific topics, such as deforestation, child and forced labor, traceability, subcontractors, and personnel ASSURANCE SYSTEM files. More generally, by offering a system that leverages data and In line with the Rainforest Alliance’s long-term vision of ‘reimagining auditing expertise, the system allows CBs to increase the usefulness certification’, the Assurance System of the 2020 Certification Program and rigor of their audits, the Rainforest Alliance aims to work closely introduces numerous innovations to ensure that certification is more with the highest performing CBs, and so now has the ability to limit the context-specific, data-driven, and risk-based. number of CBs both per country and globally, based on performance results. The Rainforest Alliance will implement legal and risk analyses Risk-based approach as a condition for authorizing the geographical scope of CBs and The Rainforest Alliance 2020 Certification Program aims to promote a introduce a fee system for the CB authorization process, designed to preventive approach instead of a reactive one, and the Assurance