POLICY FOR FARM AND CHAIN OF CUSTODY CERTIFICATION IN COCOA February 2021 Version 1.4 More information? For more information about the Rainforest Alliance, visit www.rainforest-alliance.org or, for 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. 2 Issue Date: Binding date: Expiration date: 14 April 2020 1 June 2020 Revised 7 July 2020, 16 September *see table below each section 1 July 2021 2020, 1 October 2020, 15 February for binding date of each 2021 specific criterion Developed by: Approved by: Rainforest Alliance Director, Standards and Assurance Linked to (code and name of documents, if applicable): UTZ related documents Rainforest Alliance related documents UTZ Assurance Certification protocol, version Rainforest Alliance Certification Rules, July 4.3 December 2018 Letter from April 18th, 2019 Important Notice: 2017 version 1.2 new requirements for UTZ and Rainforest Rainforest Alliance Chain of Custody Policy Certificate holders in Côte d’Ivoire and Ghana 2015 UTZ Core Code of Conduct for group and Rainforest Alliance Sustainable Agriculture multi-group certification, version 1.1 + cocoa module Standard, July 2017 version 1.2 Chain of Custody Standard + Cocoa Annex 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: Farm and Chain of Custody entities Cocoa Certification Bodies 3 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 1.1.a. Clarification that groups may not hold both Rainforest Alliance and UTZ 6 certification but may split into different groups holding different certifications with no overlapping membership 1.1.b Clarification that the pause on new groups applies for the UTZ and 2017 6 Rainforest Alliance programs. New groups may join the new 2020 Rainforest Alliance Certification Program from July 1 2021 1.2.a Clarification that newly split groups may not collectively exceed 10% growth of 7 the size of the original group 1.4.b. Additional requirements for producers in Protected Areas in Ghana who must 7 have a polygon of the farm and a permit allowing production in that area. PRODUCER CERTIFICATION CRITERIA: APPLICABLE TO NIGERIA AND CAMEROON 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 12 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 3.3.b. New requirement that CBs in Côte d'Ivoire use the Rainforest Alliance 18 traceability tool to assess traceability of the Certificate Holder during audits 3.4.b Clarification that producers must show the national ID indicated in the GMR 19 during audit. If no national ID is indicated in the GMR, the producer may show another form of identification 3.5 New requirements on Certification Body obligations to comply with audit and 20 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 4 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 The certification programs that are part of the Rainforest Program Alliance: 2017 RA SAS, 2020 RA SAS and UTZ Certification Program Rainforest Alliance Traceability The Rainforest Alliance traceability system that is currently System 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 5 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