Traceability Annex

What is this document about?

This annex includes additional binding content related to the implementation of the requirements in the Traceability Chapter of the Rainforest Alliance Standards. This document includes:

• Additional details on which actors are responsible for traceability.

• Additional details on the definitions of the different traceability options.

When and how to use this document?

This document offers Certificate Holders additional information on implementing the Rainforest Alliance Standards. Certification Bodies can also use it to understand the implementation requirements.  

Changes in update from v1.2 to v1.3

1. Introduction

This binding document provides Certificate Holders (CHs) with information on implementing the Traceability requirements of the Rainforest Alliance Sustainable Agriculture Standard.

More information on the implementation of rules and requirements can be found in the document SA-G-SC-42 Traceability Guidance.

Scope and applicability for traceability requirements

Traceability ensures the flow and integrity of products sold as Rainforest Alliance Certified, verifying the accuracy of certification claims. All farm and supply chain certificate holders must follow the mandatory requirements in the contextualized checklist after registering in the Rainforest Alliance Certification Platform (RACP).

Traceability types

The following traceability types are available in certified supply chains, listed from “highest” to “lowest”: Identity Preserved (IP), Segregation (SG), and Mass Balance (MB).

Identity Preserved (IP)

This is the strictest traceability type, where the certified product can be traced back to the farm Certificate Holder. There is no mixing of certified product with non-certified product, or with certified product from different sources.

If a certified product is from different certified sources/farms, but their identity is preserved, the subtype Mixed Identity Preserved (Mixed IP) can be applied.

Segregation (SG)

For this traceability type, certified product is kept separate from non-certified product, both physically and in documentation. Segregation occurs during all stages of the supply chain (receiving, processing, packaging, storage, and transportation). This means that the product is fully certified, even though the identity of its source(s) is not known.

Mass Balance (MB)

Mass Balance is an administrative traceability type where certified and non-certified product can be mixed. However, the volume sold as certified cannot exceed the volume initially purchased as certified. The supply chain Certificate Holder (CH) must document all certified and non-certified inputs and outputs and ensure that sales of certified volumes are accurately reflected in the traceability platform.

Upgrading one traceability type to another is not possible. For example, a product purchased as Segregation cannot be sold as Identity Preserved. However, downgrading from a higher traceability type to a lower one, such as from Segregation to Mass Balance, is allowed.

Scope of traceability types

Identity Preserved can be applied to any crop within the scope for Rainforest Alliance certification.

Segregation can also be applied to any crop within the scope, but not by farm Certificate Holders (CHs).

Mass Balance can be applied to the following crops by supply chain CHs: cocoa, processed fruits (including orange juice), hazelnut, cashews, almonds, coconut oil, flowers^[1], as well as key herbs and spices^[2]. Farm CHs can apply the mass balance traceability type for hazelnut, cashews, almonds, coconut oil, and flowers only.

2. Traceability

Requirement 2.1.6 Supply Chain, 2.1.7 Farm – Double Selling

Double Selling means selling the same volume of a product certified under multiple certification schemes twice, once as Rainforest Alliance Certified and once under another certification scheme or as conventional. Double Selling is not permitted.

For example, 100 MT of coffee produced by a farm can be certified as both organic and Rainforest Alliance and sold as:

• 100 MT Rainforest Alliance Certified only, or

• 100 MT Organic only, or

• 100 MT Rainforest Alliance Certified and Organic (once in one batch) to one buyer.

However, that same volume of coffee cannot be sold as separately 100 MT of organic coffee, as well as 100 MT of Rainforest Alliance Certified coffee.

3. Traceability in the online platform

The Rainforest Alliance traceability platform reflects the movement of Rainforest Alliance Certified product throughout the supply chain and is implemented at the level of the Certificate Holder (CH). For multi-site CHs, the central management location is responsible for the traceability requirements.  Generally, traceability follows legal ownership. Traceability is not required for movement of certified product among sites included on the same certificate.  

Reporting activities in the platform include sales, conversions, confirming, mixing, redeeming, removing, and downgrading of the certified product.

In cases where a CH works with independently certified subcontractors who carry out processes in which certified volumes are modified, such as manufacturing, conversions must be reported either by the subcontractor itself, or by adding the activities of the subcontractor to the CH’s profile.

Requirement 2.1.2 Supply Chain, 2.1.9 Farm– converting certified product

For activities like processing that change the certified volume (e.g. from green to roasted coffee), and manufacturing that results in a different product (e.g. multi-ingredient product) but not a change in volume, the supply chain CH must register the ‘conversion’ and/or ‘report manufacturing’ in the traceability platform before selling onward.

For volumes not required to be sold onward in the traceability platform and need to be redeemed by the supply chain CH, these activities do not need to be performed before redeeming, (see conversion rates in section 5).

Requirement 2.1.4 SC, 2.1.5 Farm – managing incoming transactions of certified product

Transactions of certified product sold by suppliers must be reviewed and confirmed^[3] by the CH purchasing the certified product.

Requirement 2.2.1 SC and Farm – managing outgoing transactions of certified product

All transactions of certified products must be reported in the Rainforest Alliance traceability platform, from the farm CH to the final manufacturer of finished consumer products. Volumes sold as finished consumer products must then be redeemed⁴ from the traceability platform.

Removing Certified Volumes

Certified volumes not sold as certified (either as conventional, as certified by another certification scheme or which have been damaged or lost) must be removed from the traceability platform. Mass Balance volumes are not required to be removed from the traceability platform, and a sales transaction needs to be issued to the buyer (if applicable) once the corresponding certified volume equivalent has been sold.

When to Report

All activities must be reported in the traceability platform within 2 weeks from the end of the calendar quarter (January – March, April – June, July – September, October – December) in which they took place.

• Example 1: A physical sale is made in May - the CH must report the sale transaction latest by July 14^th.

• Example 2: A certified volume is sold as conventional in December must be removed from the traceability platform by January 14^th of the following year.

If a supply chain CH cannot declare the sale of certified product to their buyer within the required timeframe because the CH’s supplier has not yet declared the sale to them, the CH needs to demonstrate due diligence in reaching out to their supplier.

Requirement 2.2.2 SC, 2.2.4 Farm– Royalty

As per our Rainforest Alliance License Agreement General Terms and Conditions, CHs must make royalty payments according to the Royalty Schedule for each applicable crop. See https://www.rainforest-alliance.org/resource-item/rainforest-alliance-license-agreement-general-terms-and-conditions/.

4. Mass balance

Requirement 2.3.1 SC and Farm – volume conversion

According to our mass balance rules, converting certified volumes to conventional volumes is only allowed for the same products or in the direction of physical processing, for example:

• Certified cocoa butter to conventional cocoa butter

• Certified cocoa beans to conventional cocoa butter

• Certified in-shell hazelnuts to conventional roasted hazelnut kernel

• Certified crude coconut oil to conventional refined coconut oil

Backward conversion is not allowed, for example:

• Certified cocoa liquor to conventional cocoa nibs

• Certified chocolate to conventional cocoa butter

• Certified cocoa butter to conventional cocoa powder

• Processed hazelnut kernel to in-shell hazelnuts

Requirements 2.3.4 and 2.3.5 SC and Farm– origin matching

For the cocoa sector, the following origin matching requirements and definitions apply:

Definitions

Scope

Origin matching is required for all transactions completed in the traceability platform with contracts signed from April 1^st, 2021, for phase 1 requirements, and October 1^st, 2023 for phase 2 requirements.

This includes all mass balance certified cocoa products with an origin footprint displayed in the traceability platform. However, the Rainforest Alliance can give an exemption for origin matching for a specific volume and origin based on the approval of a sourcing plan.

Phase 1 requirements

Cocoa beans and nibs

Origin matching is required for 100% of each purchase and sales transaction of certified cocoa beans and nibs between supply chain CHs. Purchase and sales documentation for beans and nibs sold as certified must include origin information to country level for both certified and conventional beans and nibs.

Cocoa liquor

Origin matching is required for the first sale of certified cocoa liquor in the supply chain on an aggregate level for each 12-month period. Companies must calculate their annual volume for origin matching of certified Mass Balance liquor and include proof of calculation. Documentation at the supply chain Certificate Holder level must include origin information to country level for certified and non-certified cocoa inputs.

The origins for aggregate certified liquor sales and the annual volume are compared, with origin matching required for at least 80% by volume.

If origin matching is less than 80% for the 12-month period, the volume gap must be compensated for within the next 3 months.

Phase 2 requirements

Exports from Côte d’Ivoire, Ghana, Ecuador

In addition to all phase 1 requirements, origin matching is required for 100% of each export sale of certified cocoa liquor, butter, or powder out of the country of origin (for Côte d’Ivoire, Ghana and Ecuador). Origin matching for any supply chain CH beyond the level of the importer is not required.

Origin regional approach

Origin matching may be done on a regional level for all products except cocoa beans and nibs combining specific smaller countries of origin, as identified in the table below:

5. Conversion Rates for Mass Balance products

The table below indicates the conversion rates for Mass Balance in sectors where it is allowed. The permitted conversion rates for Segregation and Identity Preserved are pre-set in the traceability platform.

Other information

Date of first publication of this document (v 1.0): July 1^st, 2022.  

The Rainforest Alliance retains the rights to review, approve, deny, or revoke these allowances for specific Certificate Holders and on a case-by-case basis. 

Documents indicated as “binding” must be complied with for certification. Documents indicated as “non-binding” provide non-mandatory information to help readers understand and implement requirements and other binding content.

Translation Disclaimer

For any question related to the precise meaning of the information in a translation, consult the official English version for clarification. Any errors or differences in meaning due to translation are not binding and have no effect for auditing or certification purposes.

Reproduction, modification, distribution, or republication of this content is strictly forbidden without prior written consent from Rainforest Alliance.

More information?

For help in obtaining a Rainforest Alliance certificate reach out to our Customer Success team at customersuccess@ra.org.

For more information about Rainforest Alliance, visit http://www.rainforest-alliance.org contact info@ra.org or the Rainforest Alliance Amsterdam Office, De Ruijterkade 6, 1013AA Amsterdam, The Netherlands.

Footnotes

1. For flowers, the mass balance traceability is done on the number of certified input (stems) the CH receives within a given period (day/week/year) and allows the CH to claim the percentage of certified input in its final product.   ↑

2. Key herbs & spices are rooibos, vanilla, saffron, pepper, cinnamon, chili pepper, oregano, coriander, paprika, cardamom, dill, clove, parsley, nutmeg, thyme, bay leaf, rosemary and tarragon. ↑

3. Confirm = CH reviews and approves details (volume, traceability level, and any other references provided) of incoming transactions from certified suppliers, if those correspond to details on the invoice and contracts with their suppliers4 Redeem = The certificate holder owning the brand traces volumes out of the traceability platform that are being sold as final consumer-facing products. The activity 'redeem' marks the end of online traceability for Rainforest Alliance Certified products. ↑