rainforest alliance sustainable agriculture standard · 1.6 gender equality ... our 2020...

© Rainforest Alliance

Rainforest Alliance

Sustainable Agriculture

Standard APPLICABLE FOR SMALLHOLDER FARMS

Draft Standard V2.0

Version Smallholder Farms June 2019 2

Table of Contents Introduction ..................................................................................................................................................4

Scope of the standard .................................................................................................................4

Differentiation between smallholders and medium-large producers ................................5

Key features of the 2020 Rainforest Alliance Sustainable Agriculture Standard ...............5

Member profile...............................................................................................................................8

Thematic innovations ....................................................................................................................8

Climate Smart Agriculture ............................................................................................................8

Sustainable farming practices and agrochemicals approach ...........................................9

Due diligence approach for social issues ..................................................................................9

Livelihoods ........................................................................................................................................9

Implementation process for the Rainforest Alliance standard .......................................... 10

Assurance ..................................................................................................................................... 11

Compliance rules ........................................................................................................................ 12

The Rainforest Alliance Sustainable Agriculture Standard ............................................................... 15

Table of icons .............................................................................................................................. 15

Chapter 1: Management ....................................................................................................................... 16

Objectives and Outcomes: .................................................................................................................. 16

1.1 Group Management Capacities ................................................................................. 18

1.2 Group Member Administration ..................................................................................... 18

1.3 Internal Inspections and Risk Assessments ....................................................................... 20

1.4 Management Plan and Service Delivery ........................................................................ 21

1.5 Grievance Mechanism ....................................................................................................... 22

1.6 Gender equality ................................................................................................................... 23

1.7 young farmers ....................................................................................................................... 23

1.8 Traceability ............................................................................................................................ 24

1.9 Premium ................................................................................................................................. 25

Chapter 2: Farming .................................................................................................................................. 26

Objectives and Outcomes: .................................................................................................................. 26

2.1 Planting and rotation ........................................................................................................... 28

2.2 Pruning and renovation of Crop Trees ............................................................................. 28

2.3 Genetically Modified Organisms (GMOs) ....................................................................... 28

2.4 Soil Fertility and Conservation ............................................................................................ 29

2.5 Integrated Pest Management (IPM) ................................................................................ 30

2.6 Agrochemicals Management ........................................................................................... 31

2.7 Harvest and Post-Harvest Practices .................................................................................. 33

Chapter 3: Social ...................................................................................................................................... 34

Objectives and Outcomes: .............................................................................................................. 2634

3.1 Assess and Address of Discrimination, Forced Labor, Child Labor, Workplace

Harassment and Violence ........................................................................................................ 36


3.2 Freedom of AssociatIon and Collective Bargaining ..................................................... 37

3.3 Wages and Contracts ......................................................................................................... 38

3.4 Living Wage: N/A ................................................................................................................. 39

3.5 Working conditions ............................................................................................................... 39

3.6 Health & Safety ..................................................................................................................... 40

3.7 Housing AND Living Conditions.......................................................................................... 42

3.8 Communities ......................................................................................................................... 43

Chapter 4: Environment .......................................................................................................................... 44

Objectives and Outcomes ................................................................................................................... 44

4.1 Forests, other natural ecosystems and protected area ............................................... 46

4.2 Conservation and enhancement of natural ecosystems and native vegetation . 46

4.3 Riparian Buffer and Chemical Non-Application Zones ................................................ 47

4.4 Protection of Wildlife and biodiversity .............................................................................. 47

4.5 Water Conservation ............................................................................................................. 48

4.6 Wastewater and Water Quality......................................................................................... 49

4.7 Waste Management ........................................................................................................... 50

4.8 Energy Efficiency .................................................................................................................. 51

4.9 Greenhouse Gases Reduction .......................................................................................... 51


INTRODUCTION

In January 2018, the Rainforest Alliance merged with UTZ. We joined forces because we know

that together we can have a greater impact and be a better partner to the many

stakeholders we work with. In the 2020 Sustainable Agriculture Standard, we intend to

harmonize the existing standards of the Rainforest Alliance and UTZ, learn from past

experiences, but most importantly bring innovation and new insight into certification and

agricultural sustainability. Our 2020 Sustainable Agriculture Standard is designed to maximize

positive social, environmental, and economic impact, while offering farmers an enhanced

framework to improve their livelihoods and protecting the landscapes where they live and

work.

This second draft of the standard is formulated after a full public consultation that was held

from December 2018 to February 2019 to gather feedback and improve this document. The

feedback from the stakeholder consultation and this next version has then been discussed

and approved by Rainforest Alliance’s multi-stakeholder Standards Committee.

This Sustainable Agriculture Standard forms the heart of the Rainforest Alliance’s new

certification strategy. In addition to the standard, a larger system of assurance, chain of

custody, and monitoring and evaluation will support its implementation. Finally, at the widest

level, advocacy and landscape-level interventions support the transformation of sustainable

supply chains.

SCOPE OF THE STANDARD

The scope of the standard is to address sustainability issues in agricultural production.

Focus crops The standard focuses on the main categories of crops that are currently within

the existing certification programs, which are tree crops (such as coffee,

cocoa and tea), fruits (such as bananas, coconuts and pineapples), nuts

(such as hazelnuts) and cut flowers. Not necessarily all crops or products

grown on certified farms can be sold as certified.

For herbs and spices Rainforest Alliance intends to work with the Union for

Ethical Biotrade (UEBT) as is already done in the UTZ program. It is explored to

certify these crops against the UEBT standard.

For palm oil, Rainforest Alliance’s organizational resources will be focusing on

the three core areas of intervention that are felt to be are most critical

now which are smallholders, jurisdictional/landscape approaches and the

development of a certification+ approach, as well as maintaining the

standard in its current form.

Global The geographical scope of the standard is in principle global1 with a focus on

the main geographical areas where the focus crops are grown.

Whole farm In principle the scope of the standard is the whole farm. With regard to crop

type specific agronomic practices the focus of the audit will be on the

certified crop.

The audit scope of the standard reaches up to the point where legal

ownership changes. This means certain on-farm processing activities that

involve physical handling, and that are considered important to be included

in view of social or environmental risks (e.g. the production of green coffee;

the drying, sorting, or bagging of cocoa beans; the production of made tea)

are included in the farm standard audit.

Following the merger between the Rainforest Alliance and UTZ and the introduction of our

new vision and strategy, we have defined priority sectors where we have the greatest

opportunity for impact through our certification program. During this process, the decision

was made not to include cattle in the scope of this new Rainforest Alliance standard.

Recognizing the added value our current standard has, we are exploring ways for the cattle

1 The Rainforest Alliance reserves the right to make exceptions, e.g. due to legal or political circumstances.


certification program to continue through a different approach. We are exploring options

and will provide updates over the coming months. For the current certificates with a cattle

scope, the Rainforest Alliance will establish the timeline and details of any transition with

ample warning and will support the transition to a new program if that is the result of our

current exploration.

Differentiation between smallholders and medium-large producers The 2020 Rainforest Alliance standard differentiates between smallholders and medium/large

producers.

Smallholders are small-scale agricultural producers that primarily rely on family or household

labor or workforce exchange with other members of the community. They might hire

temporary workers for seasonal tasks or even hire (few) permanent workers when the farmer

or his/her family cannot do the work by themselves. Smallholders can’t afford to be certified

individually and usually need to rely on the Group Management for record development

and record keeping.

Medium/large producers are defined as producers that use hired labor, and therefore do not

rely primarily on family labor.

The standard treats smallholders and medium/large producers differently so that each

producer type can focus on topics that are most relevant for their situation. For example, for

medium/large producers, there is a stronger focus on core criteria for social issues related to

workers and families that live on-site, as well as on certain environmental topics. For

smallholders the standard gives special attention to strengthening the group management

capacity over time.

Individual and group certif ication

Smallholders commonly use group certification. Therefore, group management requirements

are placed in the smallholder standard. Medium and large producers can under certain

conditions also apply for joint certification (several farms to be certified in one certificate).

The standard for medium and large producers therefore also includes requirements for the

management of the joint certificate. The rules and conditions for these groups of

medium/large producers are to be determined.

KEY FEATURES OF THE 2020 RAINFOREST ALLIANCE SUSTAINABLE

AGRICULTURE STANDARD

The new Rainforest Alliance Sustainable Agriculture Standard brings innovative approaches,

outlined as follows:

Performance driven approach

The Rainforest Alliance believes that certification should be accessible for a wide group of

producers and that continuous improvements are a fundamental tenet of sustainability. The

new certification system will drive continuous improvement for producers. In addition to

prescribing practices, the focus is on enabling and measuring improvements towards

sustainability outcomes.

The core criteria include all requirements for the first certification. Most core criteria prescribe

good practices with respect to key sustainability risk topics and are formulated as

compliance criteria (yes/no). In some cases, the core criterion will contain a set threshold

(e.g. payment of minimum wage) that must be measured and reported.

Improvement pathways are designed to further promote and measure progress. For the

improvement pathways, the Rainforest Alliance introduces mandatory and self-selected


improvements topics. The mandatory improvement topics need to be included in the

standard compliance as the producer or producer group advances on its journey to

sustainability. Rainforest Alliance works out risk maps for the relevant topics. To increase the

relevance of the standard, the Rainforest Alliance can exclude mandatory improvement

topics for certain contexts or crops in case there is a low risk. For all topics the producers still

need to comply with the core criteria. Hence the mandatory improvement criteria can differ

per certificate holder, since they depend on the type of producer, country or region and the

certified crop. Self-selected topics are chosen by certificate holders based on their own risk

assessment or aspirations. The selection may depend on external support received for a

certain improvement, such as renovation of crop trees.

The improvements pathways come primarily in two forms. They are either defined as levels of

improvement, with prescribed practices or targets, or as a ‘Smart-Meter’. The levels

stipulated for the mandatory improvements indicate the timeframe in which these

improvement criteria are to be met. Level 1 needs to be complied with after three years of

the first certification audit, level 2 after six years, and level 3 after nine years. Certificate

holders that already comply with a higher level of improvement in an earlier stage can be

audited against this higher level, and publish this on their member profile as explained below.

The ‘Smart-Meter’ is based on indicators to measure improvements, without predefined

targets. These data will provide the farm or group better insights into their current

performance and can be used to diagnose the existing sustainability gaps, give insights into

improvements made and create incentives for further development.

Figure 1: Basic structure of the new standard


Data and indicators

Through the new certification system, Rainforest Alliance will facilitate data gathering on

sustainability practices and outcomes to be used by producers and other supply chain

actors. These data are referenced in the standard as “indicators”.


The indicator data can help the producers to identify the sustainability gaps and to monitor

the improvements for self-learning. Next to this, the indicators will be used to assess

compliance and potentially report to other supply chain actors in a secure certificate holder

“member profile”. Rainforest Alliance will provide guidance for the methodology to collect

data and indicators. Depending on the topic, data can be collected through internal

sources such as the farm or group’s internal management system or a trader or buyer

monitoring and evaluation system, or through external sources such as the certification

assurance process, external data sources such as satellite imagery, or by other credible and

mutually agreed upon third parties. Data used for compliance and external reporting are

verified and analyzed through the assurance process.

The indicators that are specified in the standard are either related to the core criteria or are

used to measure the improvements. The indicators related to the core criteria are to be used

for self-learning, monitoring and/or reporting. The indicators related to the improvement

criteria will inform the certificate holder on the progress towards the desired improvement.

For some improvement topics targets are predefined in the standard, for instance the

percentage of group members with digitized data collection (1.4). Other improvements do

not come with predefined targets, these are the so-called smart meter indicators. The

certificate holders themselves should set the targets for these indicators and define the

adequate actions to take to realize these improvements. For the mandatory smart-meter

indicators, the quality of the data and the actions undertaken will be verified through the

assurance process. The measured level of the indicator data will not influence the

certification decision. However, if no data have been collected, or if the quality of the data

is very low, this may have consequences for certification. The Rainforest Alliance will use the

indicator data for learning purposes, and to establish the context and crop specific optimum

levels for these indicators, to be used by the certificate holders as a reference for their

improvements.

Concerning the data for the self-selected smart meter improvements, Rainforest Alliance will

only allow these to be published, if the certification body has verified the quality of the

collected data.

Member profile

A member profile for farms and groups is another innovation that will be used to

communicate sustainability performance and improvements. Such a member profile will be

informed by the data and indicators from the standard, and will allow producers to

demonstrate their results, challenges, and improvements. The profile can become a valuable

tool to drive continuous improvement, empower producers, build demand for certified

product, and channel supply chain investments.

THEMATIC INNOVATIONS

Many key topics that were already present in existing Rainforest Alliance and UTZ standards

have been maintained. Farm and group management, good agronomic practices and

natural resource conservation, safe use of agrochemicals, biodiversity conservation and

nature protection, and an integrated approach on climate smart agriculture.

Climate Smart Agriculture

We recognize the challenges already being posed by climate change and seek to address

these challenges by actively promoting Climate Smart Agriculture2 to improve the resilience

of farms and farming communities. This is accomplished by protecting native ecosystems

and on-farm biodiversity, avoiding deforestation, maintaining healthy soils, sustaining water

2 An approach to developing the technical, policy and investment conditions to achieve sustainable agricultural development for

food security under climate change. It is composed of three main pillars: 1) sustainably increasing agricultural productivity and

incomes; 2) adapting and building resilience to climate change; 3) reducing and/or removing greenhouse gases emissions, where

possible (Source: Food and Agriculture Organization of the United Nations).


resources, and guiding farmers to select and adopt climate-smart planting materials and

farming practices.

Additionally, the Standard seeks to reduce the greenhouse gas emissions of agriculture

associated with the use of energy, fertilizers, pesticides, and methane emissions – while

maintaining or enhancing carbon stocks in soils, forests, and other on-farm vegetation. As

such, the Standard promotes all three pillars of Climate Smart Agriculture:

1) sustainably increasing agricultural productivity and incomes;

2) adapting and building resilience to climate change;

3) reducing greenhouse gas emissions, where possible.

Sustainable farming practices and agrochemicals approach

Rainforest Alliance is also working on a revised agrochemical approach that is moving further

in implementing more sustainable farming practices enabling farmers to further reduce the

use of hazardous chemicals to have better impact on environment, climate resilience and

worker safety.

Due diligence approach for social issues

One key innovation is in our proposed approach for child labor, forced labor and (sexual)

harassment. Various experiences and research show that due diligence approaches and

remediation are best practice to have impact on these issues. This approach is now

proposed for the relevant topics in Chapter 3 (Social) of the new standard.

The new standard also puts more emphasis on gender equality, recognizing the positions and

rights of women and girls and their importance for sustainable development.

Livelihoods

The Rainforest Alliance intends to focus more extensively on economic advancement of

farmers and workers, helping to create more sustainable livelihoods. In the current standards,

a start was made with the introduction of criteria related to living wage and the practices to

trigger improvements in farm profitability and farmers’ income. The new standard introduces

a living wage tool for medium/large farms to help assess wages and wage gaps.

With regard to farmer incomes, our criteria on farm management and services aim to

improve profitability and income. Furthermore, Rainforest Alliance will begin monitoring the

progress towards living income. A Living Income Tool is being developed that will estimate

net income from certified product and the gap with living income benchmarks. The first pilots

with this tool are being planned in Ghana and Côte d’Ivoire. Such a tool will go a long way in

helping partners understand the reality of the living income gap in their supply chains and

thereby facilitate the development of strategies to help address it.

Rainforest Alliance explores how to better share the responsibility for investments required to

build sustainable agriculture production systems between producers and buyers. The

mentioned developments in the farm standard are supported by further developments in our

chain of custody standard exploring requirements for buyers.

Rainforest Alliance strongly believes that producers should be incentivized and rewarded in

order to develop and maintain their investments in sustainable production practices. Our

new standard system strives for continuous improvement in sustainability - this is not possible

without adequate incentives flowing back to producers.

Farm gate price, price premiums, access to global markets, price relative to the cost of

production, and the broader farming context all have a clear impact on the income of

farmers. The Rainforest Alliance will use both the farm standard and the chain of custody

standard to drive more economic transparency of certification and value to farmers. Within

the standard, the payment of a premium will be mandatory for buyers of Rainforest Alliance

certified tea, coffee, cocoa and bananas. Sector-specific requirements on premiums will be

developed over the coming months. Additional interventions to drive further economic

incentives will be developed through chain of custody and outside of the realm of the

agriculture standard.


IMPLEMENTATION PROCESS FOR THE RAINFOREST ALLIANCE STANDARD

After the producer registers with Rainforest Alliance, we send back the list of mandatory

improvement criteria that are applicable for the farm or farm group. The Rainforest Alliance

provides a customized package with the training guidance, the risk assessment guidance

and the management capacity assessment tool (for groups) to implement the core criteria,

and to prepare for the certification audit. This preparation period is referred to as Year 0.

The preparation period starts with the producer conducting a preparatory assessment, which

includes an initial assessment of risks, gaps and baseline, see diagram “Implementation

process” below. The risk assessment provides insight in the risks that threaten reaching the

sustainability outcomes, and in the gaps that need to be bridged to reach compliance with

the standard. The management capacity assessment tool will be used by groups to identify

the areas where the management capacities should be strengthened to ensure compliance

with the standard and to realize improvements in their sustainability performance.

These preparatory assessments and other sources of information, such as maps of farm units,

are used as input to draft an initial management plan, describing the actions to be taken to

reach compliance with the core criteria of the standard. Subsequently, the producer will

conduct internal audits to assess compliance of group members with the standard (in the

case of a group), and to conduct the baseline for the applicable improvement indicators.

Individual farms will carry out an assessment to check compliance with the standard. The

results of the internal inspections, and the first feedback received from the certification body,

will be used as input to further detail and adapt the management plan.

After this preparation phase, the producer has the first certification audit carried out by an

independent audit organisation. If the audit is passed, the first year of certification starts. A

more in-depth risk assessment will be the first action, focused on the mandatory

improvement topics. For instance, in case of a high risk of child labor this in-depth risk

assessment should provide insight in the most vulnerable children and the underlying causes

of child labor, which will guide the actions to be included in the management plan. The

internal inspections will be conducted yearly, with a focus on the topics identified in the risk

assessment and the results of earlier inspections. The information gathered through the

internal inspections will be used both to check compliance as well as to guide further

improvement actions. The management plan will be regularly adapted based on the

information gathered through the internal inspections, audits, risk assessments and

measurement of the indicators.


ASSURANCE

The new standard is part of Rainforest Alliance’s broader strategy to reimagine certification.

An important element of this is the collection and verification of credible and useful data

and compliance evidence. In order to keep the cost of certification reasonable for

certificate holders, assurance is geared towards risks as well as topics that matter the most.

The intent is not to lower the involvement of certification bodies, but to target their efforts

more effectively. That means for example that auditors could spend more time at farms to

verify compliance with social criteria, whereas for some of the environmental criteria,

technology and satellite images will get a more prominent role.


In addition, the Rainforest Alliance is exploring assurance methods that verify farmer’s levels

of readiness to implement the standard during the preparation period. This is to assure that

farmers reach certification in the first year successfully and are set for the improvement

journey of the following years; enabling more targeted and smoother assurance

interventions. Rainforest Alliance will also explore methods that objectively lower or increase

the intensity and frequency of audits based on risks, farmer’s readiness to implement, crop-

type and country context, and achieved levels in the improvement criteria.

Rainforest Alliance started exploring innovative ideas for the new assurance model during

2019. During the coming months, these ideas will be further developed and tested.

Compliance rules The certification audits take place once every three years, and check compliance with the

core criteria as well as with the relevant mandatory improvement levels. Yearly surveillance

audits will be required to ensure continuous compliance with the standard, and check

progress on improvements.

For the first certification audit all certificate holders must comply with all core criteria

applicable to their category (smallholder or medium/large, individual or group), not yet with

any of the other requirements. This first audit does include an assessment of the level of the

applicable mandatory improvements, and a check on the baseline measurement for the

mandatory smart meter improvements.

The mandatory improvements with a Smart Meter approach will be checked on quality of

data during the audit instead of a pass/fail approach. If the indicators do not show any

progress, or even decline, the certificate holder can provide causes of this situation and

evidence of activities undertaken to work on this improvement. If the evidence is insufficient


this will lead to a non-conformity or to decertification. The self-selected improvements will

only be included in the audit process, in case the certificate holder wants to publish these

data.

For information

The following content is taken up in the member registration.

Responsible conduct

The Member commits to being a good and reliable partner to other Members in the supply

chain, and to adhere to agreements made with other Members.

The Member commits to adhere to internationally accepted principles of responsible

business conduct, such as the UN Guiding Principles on Business and Human Rights and the

OECD Guidelines for Multinational Enterprises. The scale and complexity of the means

through which a Member meets this commitment may vary according to the size, sector,

operational context, ownership and structure, and with the severity of the enterprise’s

adverse human rights impacts.


OUTCOMES AND IMPACT


THE RAINFOREST ALLIANCE SUSTAINABLE AGRICULTURE

STANDARD

TABLE OF ICONS

ICON MEANING

Core (No icon) Core criterion, mandatory for certification Individual

smallholder

The criteria in the column Smallholder are applicable to the

individual smallholder producers, also referred to as members

GM S/Mix

The criteria in the column GM S/Mix are applicable to the group

management of smallholder groups and to group management of

medium/large farms that are certified together with groups of

smallholders.

CROP The criteria in the column Crop are crop specific. At this moment

only few criteria are crop specific, more criteria are expected to

be crop-specific in the final standard.

L1, L2, L3 Level: topic to be complied with after a certain number of years.

Level 1 has to be complied 3 years after first certification, level 2

after 6 years, level 3 after 9 years

The M-icon indicates that improvement is Mandatory.

The S-icon indicates that the certificate holder can opt to select

this improvement (Self-Selected).

Smart meter: Improvements measuring performance without

compulsory targets. Smart meters can be used to improve

management decisions. It is audited by verifying the data.

The M means that it is a Mandatory improvement.

Smart meter: Improvements measuring performance without

compulsory targets. Smart meters can be used to improve

management decisions. It is audited by verifying the data.

The S means that it is a Self-Selected improvement, indicating that

the certificate holder can opt for this improvement.

The two standards for smallholders and medium/large farms are numbered together.

Therefore, the numbering in each of the standards shows some gaps.


CHAPTER 1: MANAGEMENT

Objectives and Outcomes:

Farming is not just a way of life but is also a business, and successful business needs

management. The Rainforest Alliance wants to see certified farms managed in an efficient,

transparent, inclusive and economically viable manner. Here, it is essential that farms and

groups implement an integrated planning and management system, with processes and

systems for continuous improvement. Planning and management support increased farm

productivity and efficiency, reduced environmental impact, and increased capacity to

adapt to climate change. Increased efficiency in the use of land, water, fertilizers, and

pesticides further supports climate change adaptation and mitigation (Climate Smart

Agriculture).

To help achieve this outcome, the chapter begins with topics related to management

capacity, farm and group administration and data management, and sustainability

assessment and management planning. Criteria on these topics follow a planning process of

assessment, planning, implementation, and evaluation and adjustment. Based on the risk

assessment, specific mitigation and adaptation practices are defined. Farm and group

administrators play a key role in facilitating this planning process. Traceability and premium

transparency are also topics that support this outcome of transparent

farm management and overall integrity of the Rainforest Alliance certification system.

Finally, this chapter includes the cross-cutting themes of gender, youth participation, and

farm profitability. The selection of these topics in the management chapter recognizes the

universal nature of these themes, and that they apply to multiple dimensions of farm and

group activity. Criteria and improvement levels in these topics focus on

contextual improvements. That is, rather than requiring a certain level of gender or youth

participation, or a certain level of farm income, the standard encourages farm-specific and

context-specific targets and activities to reach member’s appropriate goals.


1.1 GROUP MANAGEMENT CAPACITIES

Indiv.

small-

holder

GM

S/Mix

Crop

Core requirements

(1.1.1) Group management demonstrates a commitment to sustainable

agriculture by dedicating adequate resources and staff to the

implementation of the Rainforest Alliance standard.

Group management assesses yearly its management capacity to ensure

compliance with the standard and the ability to make sustainability

performance changes, by using the Rainforest Alliance Capacity

Assessment Tool that includes the following topics:

- Human resources management

- Business management

- Financial management

- Member services and business activities

- Governance practice

- Community and stakeholder engagement

x

Improvements

(1.1.2) Group management improves its management

capacities.

x

Indicators

• Smart Meter (1.1.2) Scores on the Rainforest Alliance Capacity Assessment tool

1.2 GROUP MEMBER ADMINISTRATION

Indiv.

small-

holder

GM

S/Mix

Crop

Core requirements

(1.2.1) A registry of group members is kept and updated, containing

for each group member (and for each operator of the farm, if

different from the group member, e.g. sharecropper)

- Full name

- Gender

- Year of birth

- Location

- Phone number

- National identification number (ID / passport), if issued

- Household size

- GPS point for each farm unit

- Number of farm units

- Total farm area

- Certified crop area

- Previous year’s total harvest

- Previous year 's harvest delivered to the group

- Present year’s total harvest estimation

- Number of permanent workers (farms > 3 ha.)

- Estimated number of seasonal workers (farms > 3 ha.)

x


- Participation in other certification programs

- First year of certification

(1.2.2) A registry of permanent and seasonal workers is kept and

updated, containing for each worker:

- Full name

- Gender

- Year of birth

- Start and end date(s) of employment

- Wages

For workers living on-site, the registry additionally contains:

- Address - Number of family members

- Year of birth of family members

For young workers (15 - 17 years), the registry additionally contains:

- Address

- Name and address of parent(s) or legal guardian(s)

- School registration;

- Type of work or tasks

- Number of daily and weekly working hours.

x

(1.2.3) For farms > 3 ha., a registry of permanent and seasonal

workers is kept and updated, containing for each worker:

- Full name

- Gender

- Year of birth

- Wages

For young workers, the registry additionally contains:

- Type of work or tasks

- Number of daily and weekly working hours.

Illiterate group members can give the above information orally.

x

(1.2.4) An up-to-date map of the area including all the farms part of

the certificate is available, including production zones, processing

facilities, human settlements in the proximity of farm limits, schools

and medical centers/first aid sites, forests, natural ecosystems and

other existing native vegetation cover, agroforestry shade cover,

protected areas, water bodies and buffer zones. The map also

includes risk areas identified in the risk assessment (see 1.3.5). The

map displays the date of issue.

x

(1.2.5) An up-to-date map of the farm is available, including

production zones, buildings, agroforestry areas, natural ecosystems

(e.g. forests), protected areas, water bodies and buffer zones. The

map displays the date of issue.

x

(1.2.6) GPS point(s) are available for 90% of the farms (1 central GPS

point per farm. In case of a farm with multiple farm units: 1 central

GPS point of the largest farm unit with the certified crop).

x

Improvements

L1

(1.2.7) GPS point(s) are available for 90% of the farms,

including all farm units (1 central GPS point per farm unit) x

L2

(1.2.8) Polygons are available for 40% of the farms (1

polygon per farm unit larger than 3ha).

x


L3

(1.2.9) Polygons are available for 80 % of the farms (1

polygon per farm unit larger than 3 ha)

x

Indicators

• (1.2.7) % of farms with GPS points

• (1.2.8, 1.2.9) % of farms with polygons

1.3 INTERNAL INSPECTIONS AND RISK ASSESSMENTS

Indiv.

smallhold

er

GM S/Mix Crop

Core requirements

(1.3.1) An internal inspection system is in place to assess compliance

of group members with the Rainforest Alliance standard. The system

includes:

- yearly inspection of all farms of all group members

- first year of certification of a group member: inspection of all farm

units, on all requirements of the Rainforest Alliance standard

- consecutive years:

- scope of inspection is based on risk assessment and on previous

inspections

- rotation system for inspection of farm units, so that each unit is

inspected at least every 3 years

x

(1.3.2) The ratio between number of internal inspectors and group

members has to be a least 1:250. Each internal inspector cannot

inspect more than 6 farms per day. Internal inspectors have passed

a training course on good internal inspection practices organized by

group management.

x

(1.3.3) An approval and sanction system is in place in relation to

compliance of group members with the Rainforest Alliance standard. The system includes:

- a written approval and sanction procedure

- an approval and sanction manager or committee,

- a mechanism to follow up on group members' improvement and

corrective measures,

- a decision on each group member’s certification status that is

documented, signed, and included in the final internal inspection

report.

x

(1.3.4) Record keeping for certification purposes has to be kept for

at least 4 years.

x x

(1.3.5) Management conducts a risk assessment in relation to the

criteria in this standard for their group/farm at least every three years,

including at least the risks associated with:

- Social risks including child labor, forced labor and workplace harassment and violence- Agrochemicals management - Deforestation and biodiversity loss - Economic fluctuations or shocks - Climate change, extreme weather, environmental hazards

x


Improvements

L1

(1.3.6) Internal inspection data is collected through a

device (e.g. phone, tablet, etc.), used in a digitized format

for at least 30% of the group members.

x

L2


device (e.g. phone, tablet, etc.), used ina digitized format

For at least 50% of the group members.

x

L3


device (e.g. phone, tablet, etc.), used in a digitized format

for at least 80-100% of the group members.

x

Indicators

• (1.3.6, 1.3.7, 1.3.8) % of group members whose internal inspection data collected and used by the

group management in a digitized format

1.4 MANAGEMENT PLAN AND SERVICE DELIVERY

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smallhold

er

GM S/Mix Crop

Core requirements

(1.4.1) Management makes a management plan, describing

improvement areas, actions to be taken, services to be delivered

and usage of Premium. The management plan is based on at least,

but not limited to, the internal inspection (1.3.1) and risk assessment

(1.3.5). Actions are implemented, monitored, and documented. The

management plan is updated at least every three years.

x

(1.4.2) Management provides group members with services based

on the gaps identified in the risk assessment to achieve sustainability

outcomes. Services include training, access to inputs (e.g. seedlings,

irrigation systems). The group management documents the trainings and services provided.

x

(1.4.3) Group management collects information on volumes of

certified crop sold to the group, cash Premium (1.9.1/2) and farm

gate prices paid to the producers and calculates the gross income from the certified crop (i.e. sold volumes x farm gate prices + cash

Premium for producers) for a representative sample of group

members. The group management shares the anonymized analysis

of this data with group members.

x

(1.4.4) Service providers, including labor providers, comply with

applicable criteria of the standard for work conducted within the

certification scope.

x x


Improvements

(1.4.5) Group management supports group members with

- Training on financial literacy and business management

- Facilitating access to financial services (e.g. bank

account, mobile payment, loans for farm investments)

x

(1.4.6) Group management supports group members:

- To make informed decisions on adequate diversification

strategies

- Facilitating access to needed knowledge, inputs, services

to implement the diversification strategies

- Extending support to the household and/or community-

based interventions.

x

(1.4.7) Group management supports group members with

individual Farm Development Plans (FDP) that enable

farmers to plan their agronomic and financial

interventions.

x x

(1.4.8) Group management collects data on the key

determinants of the production costs (e.g. costs of

fertilizer, agrochemicals, paid labor, equipment) and

calculates the net income from the certified crop for

a sample of group members (i.e. gross income 1.4.3,

– production costs = net income). The group

management shares the analyzed data with the

group members.

X

Indicators

• (1.4.2) # of trainings/awareness raising activities provided to members;

• (1.4.2) Topics of the trainings and awareness raising activities

• (1.4.2) # and % of members attending training activities (M/F)

• (1.4.2) # and type of services (other than training) provided to members

• Smart Meter (1.4.5): # of group members that have access to financial services (M/F)

• Smart Meter (1.4.6): # of farmers that diversify their income (M/F) through:

- another job

- growing more than one additional cash crop

- growing more than one additional crop for self-consumption

- upgrading of their product (e.g. wet processing)

• Smart Meter (1.4.7): # and % of group members (M/F) with a Farm Development Plan (FDP) as

developed by Rainforest Alliance or an equivalent of FDP approved by Rainforest Alliance

1.5 GRIEVANCE MECHANISM

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GM S/Mix Crop

Core requirements

(1.5.1) A formal mechanism is in place and used for submitting and

addressing grievances. The mechanism can be used by all internal

and external stakeholders including workers, members and staff,

buyers, suppliers and communities, for all subjects of grievance

including internal inspections, workplace harassment and violence,

discrimination, forced labor and child labor.

x


The mechanism includes means for confidential grievances and

allows for submitting anonymous grievances.

Management informs group members / workers and relevant

stakeholders about the mechanism.

Workers are protected against employment termination, retribution

or threats as a consequence of utilizing the grievance mechanism.

Grievances are addressed in a clear and timely manner. Grievances and the corrective actions are adequately documented.

Improvements N/A

Indicators

1.6 GENDER EQUALITY

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GM S/Mix Crop

Core requirements

(1.6.1) Management commits to promote gender equality through a

written statement and communicates that to group members

and/or workers.

Management appoints a responsible person or committee for the

implementation, monitoring and evaluation of measures that

promote gender equality and women empowerment.

The responsible person/committee carries out a gender assessment

and develops a gender plan, including targets and timelines, to

address identified gender constraints.

x

Improvements

(1.6.2) Gender equality is improved. x

Indicators

• Smart Meter (1.6.2):

• # and % women in management positions or elected leadership positions

• Training attendance by women (# and %)

• # and % of women in group management that are trainers or internal inspectors

• # and % of female group members

1.7 YOUNG FARMERS

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holder

GM S/Mix Crop

Core requirements

N/A


Improvements

(1.7.1) Management improves participation of young

farmers (age 15 -35):

- It motivates young people’s involvement in farming

activities,

- It encourages the participation of young farmers in

training, service provision and employment.

- It promotes young farmers to become group member

and to participate in decision making.

x

Indicators


o % of young group members (age 15 - 35) (M/F)

o # of participants of young group members in trainings (age 15 - 35)

1.8 TRACEABILITY

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GM S/Mix Crop

Core requirements

(1.8.1) The total certified production (in kg) is estimated annually. It is

based on a credible methodology for yield estimation (in kg/ha) of a

representative sample of farms or farm units. The methodology and

calculations are documented.

x x

(1.8.2) The total harvested certified production (in kg) and the

harvested yield (in kg/ha) are recorded annually.

x x

(1.8.3) Certified products are visually segregated from non-certified

products.

x x

(1.8.4) There is documented proof that products that the group sells

as certified can be traced back to the certified farm(s) where these

were produced:

- Group management has documented the product flow of the

certified product from the group member up to the group,

including all intermediaries (collection points, warehouses etc.)

and activities carried out on the product.

- Group management keeps purchase and sales documents

linked to physical deliveries from certified, multi-certified and

non-certified product. The documents include the group

member, date, product type and volume.

- Group members keep sales receipts including date, product

type and volume.

x x

(1.8.5) Sale transactions of certified products are recorded in the

Rainforest Alliance traceability system, including Premiums received,

at latest at the end of the quarter within which the sales were

performed. Total sales of certified products do not exceed the total

certified production plus remaining stock balance from the previous

year.

x

(1.8.6) Equipment used to define the weight or volume of certified

product are calibrated annually.

x


Improvements

N/A

Indicators

• (1.8.1) Estimated certified production volume (kg)

• (1.8.2) Total harvested certified production (Kg)

• (1.8.2) Harvested yield of certified crop (Kg/ha)

1.9 PREMIUM

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GM S/Mix Crop

Core requirements

(1.9.1) Group management documents and communicates to

group members at least annually:

1) Prices and the Rainforest Alliance Premiums received per kg

(separate from other Premiums, such as quality Premiums)

2) Distribution of Premiums received, specifying between

- Reasonable overhead

- In-kind benefits to group members (collectively and individually)

- Cash payments to group members

x

(1.9.2) Group members receive at least part of the Premium as a

cash payment. Cash payment for group members is:

- Pro rata, based on volumes delivered

- Paid in a timely and convenient manner, at least before the new

crop season

x

Improvements

L1

(1.9.3) Group members are consulted in the decision

making on Premium expenditure

x

L2

(1.9.4) Group members co-decide on Premium

expenditure

x

(1.9.5) % of the total Premium transferred in cash to group

members increases x

Indicators

• (1.9.1) Amount of Premium received by group and distribution of Premium for overhead, in-kind

benefits, cash payments

• (1.9.5) % of the total Premium transferred in cash to group members


CHAPTER 2: FARMING


This chapter focuses on the outcomes of sustainable agriculture, crop productivity and

profitability, and natural resources and ecosystem services. Included amongst these

outcomes are the goals of climate smart agriculture and food security: farms and groups

mitigate and adapt to climate change and increase their resiliency by implementing

sustainable practices and diversifying when possible.

The topics in the farming practices chapter of the Rainforest Alliance standard work together

to achieve these outcomes. Agronomic activities related to sustainable production

practices, soil fertility and conservation, integrated pest management, and safe

agrochemicals management support the outcome of sustainable productivity and

profitability, as well as natural resource conservation and ecosystem services. Here the

standard encourages locally relevant and context-specific practices to ensure that inputs

and natural resources are used efficiently, natural cycles are optimized to increase climate

change resilience, soil fertility and health is improved, pollinators are attracted, water

retention and management is improved, agrochemicals are minimized, and negative effects

on the environment are minimized. Finally, crop profitability is supported by post-harvest

practices, where farms and groups realize improved quality of crops to meet market

demand.

Implementation of criteria in this chapter form part of the foundation of a broader set of

sustainable agriculture activities, so when combined with other field, market, and advocacy

interventions, can support impacts at the sectoral and regional level.


2.1 PLANTING AND ROTATION

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holder

GM S/Mix Crop

Core requirements

(2.1.1) Certified planting materials are used for planting, rejuvenation

(including grafting) and renovation if possible. Varieties are chosen

that are resistant to pests and diseases and suitable for the climate

during the lifetime of the plants

x x

(2.1.2) New plantings ensure a well-established cropping system

which takes into account e.g.:

- varietal requirements

- geographical, ecological and agronomic conditions

- diversification and intercropping

- planting density

x

(2.1.3) Non-perennial crops (including pineapple) are taken up in an

appropriate rotating cycle using diverse crops with different rooting

depths and soil use, in order to break pest and disease cycles, and

to improve soil cover and health.

x

2.2 PRUNING AND RENOVATION OF CROP TREES

Indiv.

small-

holder

GM S/Mix Crop

Core requirements

(2.2.1) In perennial crops, an adequate yearly or multi-year pruning

cycle is introduced in which all trees are pruned according to crop

needs, agro-ecological conditions and applicable pruning

guidelines.

x x

Improvements

(2.2.2) Certified crop is rejuvenated or renovated when

needed, according to age, disease or other causes, to

maintain productivity.

x x

Indicators • (2.2.1) % of group members that adequately prune according to crop needs, agro-ecological

conditions and applicable pruning guidelines

• Smart Meter (2.2.2): % of group members that apply renovation and rejuvenation practices for

certified crop

2.3 GENETICALLY MODIFIED ORGANISMS (GMOS)

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GM S/Mix Crop

Core requirements

(2.3.1) The certified crop is not genetically modified (GMO).

x x


Improvements

(2.3.2) There are no genetically modified (GMO) crops

grown on the farm.

x x

Indicators

N/A

2.4 SOIL FERTILITY AND CONSERVATION

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holder

GM S/Mix Crop

Core requirements

(2.4.1) Management conducts a soil assessment on a representative

sample of farms and update it at least every 3 years. The soil

assessment includes:

- Erosion prone areas and slope

- Identification of areas with visual symptoms of nutrient deficiency

- Flooding and drainage conditions

x

(2.4.2) Based on the soil assessment, soil management measures are

identified and included in the farm management plan to build up

soil organic matter, prevent erosion, increase on-farm nutrient

recycling and optimize soil moisture. The soil matrix (n.b to be provided by Rainforest Alliance at a later date) is used as guidance

for these measures.

x

(2.4.3) Fire is not used to clear vegetation when preparing fields, unless it is needed as a sanitation measure that is part of the IPM

plan (see 2.5)

x

(2.4.4) Regular soil tests and (visual) leaf tests are done, including macronutrients and organic matter, for perennial crops at least

every 3 years, and for annual crops at least every year.

x

Improvements

L1

(2.4.5) The soil of the production area is not left exposed

but protected with cover crops, crop residues or mulch.

x

L1

(2.4.6) Fertilizers are applied in such a way that nutrients

become available when and where crops need them,

and contamination of the environment is minimized.

x x

(2.4.7) Producers optimize the use of synthetic fertilizer.

x

Indicators

• Smart Meter (2.4.7): % of group members that apply an optimum amount of fertilizers (to be

defined per crop per context)


2.5 INTEGRATED PEST MANAGEMENT (IPM)

Indiv.

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holder

GM S/Mix Crop

Core requirements

(2.5.1) The IPM strategy is developed and implemented. The strategy

includes the scope of the whole farm and processing facilities (if

applicable). The strategy is annually updated based on pest

monitoring, implemented IPM actions and agrochemicals

application records (date, location and incidence) and takes

changing climate conditions into account.

x x

(2.5.2) Pests, diseases and natural enemies are monitored and

recorded. This includes:

- Regular checks in the field to verify levels of pests and diseases and

to identify upcoming pests and diseases in an early stage.

- Documentation of occurring pests and diseases and known natural

enemies and their levels, based on observations on the field as well

as information gathered from external sources.

- Documentation of treatment chosen.

x x

(2.5.3) Agrochemicals are only used when biological, physical and

other non-synthetic methods are proven not to be effective. When

agrochemicals are used, preference is given to low-toxicity and

selective ones.

- Treatment with chemicals is only done after reaching threshold

levels as advised by national research institutes.

- Applications are done only at the impacted plants and areas (spot

application)

- Calendar spraying is only done based on research or substantiated

technical recommendations.

x x

Improvements

L1

(2.5.4) Pesticides are rotated to reduce resistance x x

L2

(2.5.5) Non-related crops and beneficial animals/fauna are

planted/conserved in close proximity as a barrier to and

diseases, and to attract predators and parasites on pests.

x x

(2.5.6) Producers reduce the use of pesticides and

abandon the use of pesticides from the risk mitigation list.

x x

Indicators

• Smart Meter (2.5.6) % of group members using optimum amount of pesticides (to be defined per

crop per context)

(2.5.6) Active ingredients of agrochemicals used that are listed in the Risk mitigation list


2.6 AGROCHEMICALS MANAGEMENT

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holder

GM S/Mix Crop

Core requirements

(2.6.1) Agrochemicals included in the Rainforest Alliance Prohibited

List or prohibited by applicable law are not used. Only products that

are legally registered in the production country can be used.

x x

(2.6.2) Agrochemicals included in the Risk mitigation list are only

used when all practices related to mitigating the particular risks (as

identified in the mitigation measures list) have been implemented.

x x

(2.6.3) Persons handling agrochemicals or hazardous materials are

skilled and trained in the preparation and application of

agrochemicals and hazardous materials. The training is provided annually and by an individual with demonstrated professional

expertise, skills, experience or credentials.

The persons handling agrochemicals are 18 years or older, and are

not nursing nor pregnant.

Safety information including the MSDS sheets is available in a

language understood by the persons working with the chemicals.

x x

(2.6.4) Persons handling agrochemicals or hazardous materials

use appropriate Personal Protective Equipment (PPE), as prescribed

in the product's Material Safety Data Sheet (MSDS), safety tag,

applicable law or Rainforest Alliance basic PPE, whichever is more

stringent.

The PPE is in good condition. Directly after use, PPE is cleaned, dried

and stored in a safe way. The IMS or farm management provides to

the agrochemicals handlers at least the following elements: a site

that provides privacy, water and soap; and when feasible bathing

facilities.

Persons handling agrochemicals or hazardous materials shower and

change clothes after application.

x x

(2.6.5) Agrochemicals are prepared and applied:

- according to the dosage as indicated by research institutes in the

relevant country

- according to the label, MSDS or security tag

- in appropriate weather conditions

- with appropriate equipment and techniques.

- considering the prescribed dosage and the application area

- respecting re-entry intervals, including warning signs

- informing potentially affected persons or communities in advance

Volume and dosage calculation methods are reviewed and refined

in order to reduce the surplus mix and agrochemicals overuse.

x x

(2.6.6) Spray drift reduction mechanisms between agrochemicals

applied zones and non-applied zones (including ecosystems and

infrastructure) are established and maintained; mechanisms include

non-crop vegetative barriers, non-application zones or other

effective mechanisms.

x x

(2.6.7) Aerial application is only allowed under strict conditions.

(Forthcoming guidance to be developed by the Rainforest Alliance)

x x


(2.6.8) Agrochemical purchases and applications are recorded.

Records include:

On date of addition to storage:

- product brand name,

- volume

- cost

- date of manufacturing/lot number of manufacturer

- date of expiration

On date of application:

-product brand name

-active ingredients

-date(s) of application

-location and size of field applied to

-quantity (dosage and volume)

-crop

-name of applicator

-objective.

The MSDS sheets are kept in the storage room.

Management facilitates record keeping for group members when

needed.

x

(2.6.9) Agrochemicals, empty containers and other hazardous

materials are stored, handled and cleaned in a way that negative

impact on the environment and human health are avoided.

Empty agrochemical containers and application equipment are

triple washed, and rinsing water is used in the last batch of the mix to

apply to the crop. If there is no collection system in place, containers

are cut or perforated to prevent other uses.

Prohibited, obsolete and expired agrochemicals are returned to the

supplier or local authority.

The surplus mix is disposed of in way that minimizes the negative

impact on the environment and human health.

x x

(2.6.10) Storage space for agrochemicals and application

equipment is dry and clean, well ventilated, safely locked, not

accessible to children and not stored with the harvested crop, food

products, nor packaging material.

x

(2.6.11) Facilities for storing agrochemicals and application

equipment are:

-dry, clean, well ventilated and with a sound roof and impermeable

floors;

-safely locked and accessible only by trained handlers;

-not stored with crop, food products or packaging material;

-with visible safety warning and pictograms;

- with a visible emergency procedure, and an eye-washing area

x

Improvements

L1

(2.6.12) Empty agrochemical containers are disposed of

through a collection and recycling program or through

another safe way.

x x

L1

(2.6.13) Spraying is carried out by centralized, specialized

spraying teams.

x


Indicators

N/A

2.7 HARVEST AND POST-HARVEST PRACTICES

Indiv.

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holder

GM S/Mix Crop

Core requirements

(2.7.1) Pre-harvest intervals after application of chemicals are

respected.

(2.7.2) Quality and quantity of product are conserved and optimized

during harvest and post-harvest practices and storage, including:

- Harvesting at the right time and interval to optimize quality

- Harvesting minimizing damages to the plant for future production

(N/A for banana)

- Preventing contamination by foreign matter, microbes and pests

and damage due to humidity

- Using packaging materials suitable and approved for food

products.

x x

Improvements

L1

(2.7.3) Measures are taken to respect the maximum

residue levels (MRLs) set by known destination countries of

the product. The measures include:

- Obtaining information on the MRLs in the product.

- Actions in case MRLs are exceeded.

- Communication to the buyer if MRLs are exceeded.

x

Indicators

N/A


CHAPTER 3: SOCIAL


The standard’s social chapter seeks to empower farmers and workers to realize better

working and living conditions for themselves and their families, to guarantee equality and

respect for all and especially for the most vulnerable groups such as migrants,

children, youth and women; and in general to strengthen human rights protection in

agricultural production.

Sustainable agriculture is intrinsically linked with the livelihoods of millions of farmers, families,

and their communities. To support sustainable livelihoods, the Rainforest Alliance standard

establishes requirements related to labor rights, living wage, decent living and working

conditions, and support for local communities. These requirements align with the UN

Guiding Principles on Business and Human

Rights (UNGPs), relevant ILO conventions, and other multi-stakeholder concepts such as

living wage, developed in coordination with the Global Living Wage Coalition. We aim to

specially protect vulnerable groups like children, migrants and women.

There is no place in Rainforest Alliance Certified farms for human rights abuses such

as discrimination, forced labor, child labor, or all forms of workplace harassment and

violence, including sexual harassment and violence. For these four areas our certification

system will adopt an “assess and address” model, which goes much further than a simple

prohibition approach in its ability to drive change. We will require our Certificate Holders to

commit to compliance with all applicable laws and to respect internationally recognized

human rights standards. However, we acknowledge the high risk of certain labor violations

within agricultural supply chains, and therefore we will require producers and producer

groups to commit to continuous improvement, put a rigorous risk assessment and mitigation

system in place, and take immediate action on any known cases of discrimination, forced

labor, child labor, and workplace harassment and violence. This approach is further detailed

in criterion 3.1 and related annexes.

Furthermore, the certification system aims to enable certified smallholder producers,

agricultural workers and their families to have a decent standard of living and earn a Living

wage. To this end, the Standard enforces respect for workers’ rights to collective bargaining

and freedom of association, healthy and safe living & working conditions and access

to health care. Although the program contributes to better wages for workers by ensuring

that the minimum wage is paid and that there is progress towards a living

wage, the Rainforest Alliance recognizes the limitation of producers to unilaterally solve the

problem of low wages. In accordance with the UN Guiding Principles on Business and Human

Rights, our approach is to bring transparency on prevailing wages in

agricultural production, commit certificate holders to continuous improvement

and dialogue, and allow companies to exercise shared supply chain

responsibility by avoiding to cause or contribute to the non-respect of living wages within

their own operations as well as seek ways to prevent or mitigate adverse impacts with regard

to insufficient wages.

Finally, farms and groups will support local communities and avoid negative impacts.

Rainforest Alliance recognizes that farm certification is just one tool to deliver broad societal

impacts. Here, the new Rainforest Alliance standard serves as the core of our vision to

reimagine certification, along with the chain of custody standard, buyer requirements, and

other market, supply chain, and advocacy interventions.


3.1 ASSESS AND ADDRESS OF DISCRIMINATION, FORCED LABOR, CHILD

LABOR, WORKPLACE HARASSMENT AND VIOLENCE

Core requirements are implemented for all four (4) topics: “discrimination”, “forced labor”,

“child labor”, “workplace harassment and violence”.

Improvement levels are implemented for the topic(s) for which the Rainforest Alliance has

NOT indicated a low risk: “forced labor” and/or “child labor” and/or “workplace harassment

and violence”.

Indiv.

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holder

GM S/Mix Crop

Core requirements

(3.1.1) Communication: management appoints a person/

committee accountable for discrimination, child labor, forced labor,

and workplace harassment and violence. This person/committee

provides awareness raising to the management and group staff on

these concepts and the rights and responsibilities under the

standard.

x

(3.1.2) Risk mitigation: for risks identified through the risk assessment

(requirement 1.3.5), mitigation measures are implemented in

accordance with the Rainforest Alliance Mitigation Tool and included

in the Management Plan.

x

(3.1.3) Monitoring: a monitoring system is in place to verify whether

the risk mitigation activities are effective in reducing the risk(s)

identified in requirement 1.3.5 and to identify incidents of

discrimination, child labor, forced labor, and workplace harassment

and violence. The intensity of the monitoring system is proportionate

to the level of risk.

x

(3.1.4) Remediation: known cases of discrimination, child labor,

forced labor, and workplace harassment and violence are

remediated and documented in accordance with Rainforest

Alliance Remediation Protocol. Remediation activities are included

in the Management Plan.

x

Improvements

L1

(3.1.5) In addition to the risk assessment in requirement

1.3.5, a more in-depth risk assessment is carried out in the first year of certification and mitigation measures are

implemented and included in the Management Plan in

accordance with the Rainforest Alliance in-depth Risk

Assessment and Mitigation Tool.

The accountable person/committee provides

training/awareness raising to all group members on child

labor, forced labor, and workplace harassment and

violence concepts and on the group members’

rights/responsibilities under the standard.

x

L2

(3.1.9) The accountable person/ committee seeks

cooperation with external actors, such as NGOs and

government, to implement risk mitigation, monitoring,

and/or remediation.

x


L3

(3.1.10) The effectiveness of mitigation measures is

evaluated with involvement of a representative set of

group members including women and vulnerable groups.

x

Indicators

• (3.1.2) # and type of mitigation measures implemented (as specified by the Risk Assessment and

Mitigation Tools) • (3.1.4) # of cases found per topic • (3.1.4) Type of cases found per topic • (3.1.4) # and found cases that have been remediated, explaining how they were remediated (per

topic)

3.2 FREEDOM OF ASSOCIATION AND COLLECTIVE BARGAINING

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GM S/Mix Crop

Core requirements

(3.2.1) Management informs workers about their unrestricted right to

form and join a union or workers' organization of their own choice

and to take part in collective bargaining, without prior authorization

from the employer. The information is communicated to workers

through a written policy in a language they understand, before the

start of employment, and visibly displayed at all times in the

workplace.

x

(3.2.2) Workers are not subject to discrimination or retaliation for

reasons of past or present workers’ organization or union

membership or activities. Management does not punish, bribe or

otherwise influence union members or workers’ representatives.

Records are kept of terminations, including the reason for

termination and worker's affiliation with a union or workers'

organization.

Management does not interfere in internal affairs of workers’

organizations or unions nor in elections or duties related to

membership of such organizations.

x

(3.2.3) Management grants worker representatives reasonable time

off to attend workers’ organization or union activities and provides

agreed facilities like an office and a telephone. Such organizations

are provided with a notice board and are granted access to

facilities at the location of the farm. Notes of meetings between

management and such organizationsare kept.

x

(3.2.4) Where the right to freedom of association and collective

bargaining is restricted under law, management facilitates, and

does not hinder, the development of parallel means for

independent and free association and bargaining and dialogue

with management.

x


Improvements

L1

(3.2.5) Management raises awareness of workers on their

rights to associate and affiliate. Workers are offered a

space for meetings on workers’ rights. Decisions made at

worker committee meetings and meetings between

employer and workers are communicated to the

workforce.

x

L2

(3.2.6) Management provides capacity-building training

on social dialogue and workers’ rights.

x

Indicators

N/A

3.3 WAGES AND CONTRACTS

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small-

holder

GM S/Mix Crop

Core requirements

(3.3.1) Permanent workers and workers who are employed for more

than 3 consecutive months have an employment contract signed by

both the employer and the worker. Verbal agreements are

acceptable instead of written contracts, if they create legally

binding employment relationships under national law. The employer

keeps records of verbal agreements with the main terms.

Employment contracts contain at minimum: job description and title;

working hours; pay rate; overtime regulation; social benefits

entitlements and deductions; annual paid leave; sick leave;

protections in case of illness, disability or accident, and a notice

period of termination.

x

(3.3.2) Workers have access to information regarding:

-their rights and duties as stipulated in their employment contracts or

verbal agreements,

-the type of deductions made to their wages,

-regular hours worked,

-overtime hours worked,

-benefits, including in-kind benefits.

x

(3.3.3) Workers receive at least the applicable minimum wage or the

wage negotiated in a Collective Bargaining Agreement (CBA),

whichever is higher. For production, quota or piece work, the pay

rate equals at least a minimum wage based on a 48-hour working

week. Information about this pay rate is transparent and available

for all workers. In those countries where the minimum wage is not

adjusted yearly, it is adjusted yearly for inflation based on the

national inflation rate.

x x

(3.3.4) Deductions from wages are permitted only if provided by

national law, fixed by CBA or with the expressed permission of the

worker concerned. It Is not permitted to make wage deductions as a

disciplinary measure or to cover for costs of work related tools, equipment or gear.

In-kind benefits must be in accordance with national law, however,

they cannot exceed 30% of the total remuneration.

x


(3.3.5) Workers are paid regularly at scheduled intervals determined

by the employer, but at least monthly. Payments are documented

with a pay slip or other suitable wage record to allow verification.

x x

(3.3.6) Work of equal value is remunerated with equal pay without

discrimination e.g. on gender or type of worker.

x

Improvements

L1

(3.3.6) Workers have access to information regarding their

rights and duties as stipulated in their employment

contracts or verbal agreements, the type of deductions

made to their wages, regular hours worked, overtime hours

worked, benefits, including in-kind benefits.

A central record is kept of wage payments and signed by

each worker and, if applicable, labor contractor.

x

Indicators

N/A

3.4 LIVING WAGE: N/A

3.5 WORKING CONDITIONS

Indiv.

small-holder

GM S/Mix Crop

Core requirements

(3.5.1) Workers do not work more than eight regular hours per day,

and forty-eight regular hours per week. Workers have a break of

thirty minutes after six consecutive hours of work and one day off

after six consecutive days of work.

The regular work hours of the guards do not exceed exceed fifty-six

hours per week on average per year.

Hours of Work (Industry) ILO - Convention, 1919 (No. 1)

x x

(3.5.2) Overtime work is voluntary and only permitted if:

- It is requested in a timely manner, at least 24 hours in advance

- It is not requested on a regular basis

- It is paid according to national law or CBA, whichever is higher. If

there is no law or CBA, it is paid at 1,5 times the regular wage level.

- The work can be carried out without increased risk to safety and

health

- Workers have safe transport home after work

- Overtime does not exceed 12 hours per week, nor 6 hours per day

- In exceptional circumstances, e.g. peak production periods or

changing weather conditions, for a maximum period of 12 weeks

per year, overtime can be up to 24 hours per week, and workers can

have maximum 14 consecutive days of work.

- A record of the number of regular hours and overtime hours of

each worker is kept

ILO Conventions Hours of work 1919 No. 1 and No. 30

x


ILO Code of practice on safety and health in agriculture, 2010, art.

19.2

Improvements

L1

(3.5.3) Pregnant workers are entitled to paid maternity

leave of at least 14 weeks, of which at least 6 weeks after

giving birth. They can return to their job after maternity

leave on the same terms and conditions and without

discrimination, loss of seniority or deduction of wages.

Workers who are pregnant, nursing or have recently given

birth are offered flexible working schedules and work site

arrangements. Breastfeeding women have two additional

30-minute breaks per day and a room for breastfeeding to

nurture the child.

ILO Convention C183 - Maternity Protection Convention

x

L1

(3.5.4) During working hours, workers’ children under the

applicable minimum working age comingwith their parents

to the workplace:

- Are provided with facilities that are clean, safe and take

into account the needs of children

- Can participate in educational or non-educational

activities suitable for their age

- Are under the supervision of adults at all times.

ILO Code of Practice on safety and health in agriculture,

2010, art. 18.7

x hazelnut

Indicators

N/A

3.6 HEALTH & SAFETY

Indiv.

small-

holder

GM S/Mix Crop

Core requirements

(3.6.1) Workers that work in hazardous situations (e.g. in difficult

terrains or with machines or with hazardous materials) use

appropriate Personal Protective Equipment (PPE). Workers are

trained on the use of the PPE, and have access to the PPE free of

charge.

Workers may leave situations with imminent danger without seeking

employer’s permission and are not subject to penalties.

x x

(3.6.2) Machines have clear instructions on safe usage that can be

understood by the workers, and dangerous parts are guarded or

encased. Workers using such machines are appropriately trained.

x x

(3.6.3.) Women who are pregnant, nursing or have recently given

birth are not assigned to activities that pose risk to the woman’s,

fetus's or infant’s health. In cases of job reassignment, there is no

reduction in remuneration. Mandatory pregnancy tests are not

allowed.

x

(3.6.4) A clear and written accident and emergency procedure is in

place. It includes marked fire exits and evacuation maps. x


Management effectively informs workers about this procedure. Clear

and permanent warning signs are placed at central locations to

indicate potential hazards.

(3.6.6) Workers have access to sufficient and safe drinking water

through one of the following means:

- A public drinking water system, or

- Drinking water provided by the management, compliant

with drinking water parameters as set by the WHO, based on testing

preceding each Rainforest Alliance certification audit and any time

that water contamination risks have occurred.

Drinking water sources are protected and, water distribution mechanisms are maintained to avoid contamination.

Stored water is protected against contamination by a lid and is

refreshed at least once a day.

For smallholders, in case of the absence of safe drinking water,

management implements and documents a training program to

instruct smallholder members on potable water treatments through

boiling, filtering or chlorinating and on the prevention of water

contamination.

x

(3.6.7) Sufficient, clean and functioning toilets and hand washing

stations are provided on production, processing, maintenance and

office sites. These facilities are separated by gender. Safety and

privacy of vulnerable groups is ensured, at least by well-lit and

lockable facilities. Workers are allowed to frequent these facilities

when needed.

x

(3.6.8) Trained first aid employees and appropriate first aid boxes are

available to workers for treatment of work-related injuries and

emergency health care free of charge. This includes transport to and

treatment in a hospital if the nature of the injury requires this. The

boxes are placed at central locations of production, processing,

and maintenance sites. For emergency situations, appropriate

measures including showers and eye-washes are present.

x

(3.6.9) The number and type of occupational health and safety

incidents are recorded (specified for men and women), and include

incidents related to pesticide and input use.

x

(3.6.10) Workers who regularly handle hazardous pesticides receive a

medical examination at least once a year. In case of regular

exposure to organophosphates or carbamate pesticides, the

examination includes cholinesterase testing. Workers have access to

the results of their medical examination.

x

Improvements

L1

(3.6.11) Group members and workers have access to first

aid and know where to go in case of emergency.

x

L1

(3.6.12) Workshops, storage areas and processing facilities

are safe working environments. They are clean and

organized, have sufficient light and ventilation. There is a

fire alarm, marked fire exits, firefighting equipment and

equipment to remediate spillage of materials. Workers can

leave the facilities freely in case of imminent danger. Only

authorized personnel have access to workshops, storage or

processing facilities.

x


L1

(3.6.13) Workers who cannot carry out their job because of

temporary health conditions, including pregnancy and

nursing, are temporarily reassigned to a different task

without a penalty or a decrease in compensation.

x

L2

(3.6.14) Basic training on occupational health and safety

and hygiene is provided to all persons working in

workshops, storage areas, and production and processing

facilities. Hygiene instructions are visibly displayed at

central locations.

x

L3

(3.6.15) Workers have clean and safe eating areas. They

are located outside the bedrooms and away from

bathrooms, wastewater runoff channels and waste deposit

areas. The eating areas have protection against the sun

and the rain.

x

Indicators

N/A

3.7 HOUSING AND LIVING CONDITIONS

Indiv.

small-

holder

GM

S/Mix

Crop

Core requirements

(3.7.6) Workers and their families that are provided with

accommodation on-site have safe, clean and decent living quarters

taking into account local conditions. This includes at least:

- Safe accommodation

- Safe escape exits

- Protection against air pollution, surface runoff, sewage or other

waste.

- Protection against extreme climate events including flooding

- Access to sufficient and safe drinking water

- Adequate sanitary and washing facilities. Safety and privacy of

vulnerable groups is ensured, at least by well-lit and lockable

facilities

ILO_ R115 - Workers' Housing Recommendation, 1961 (No. 115)

x x

Improvements

L1

On-site housing includes:

- Cooking areas with suitable smoke ventilation

- Dry Floors

- Pest control

x x

Indicators

N/A


3.8 COMMUNITIES

Indiv.

small-

holder

GM S/Mix Crop

Core requirements

(3.8.2) The crop is farmed on land that is classified as agricultural

and/or approved for agricultural use. Right to use the land is not

legitimately disputed by groups of current or former local residents or

communities, including in relation to past dispossession or forced

abandonment. In the event of such a land conflict, legitimate right

may be demonstrated if a conflict resolution process has been

implemented, documented, and accepted by the affected parties.

x x

Improvements

N/A

Indicators

N/A


CHAPTER 4: ENVIRONMENT

Objectives and Outcomes

Agriculture can have positive or negative effects on the natural environment, depending on how it is managed. In the Rainforest Alliance standard, this chapter outlines pathways for certified farms to have a positive impact on the planet, and its forests, biodiversity, water and climate. By complying with the core criteria of this standard, farms also comply with the High Conservation Values approach as set by the HCV Network.

The first topic in this chapter supports the outcome that farms and groups conserve, maintain, and restore natural ecosystems and their services, and do not contribute to deforestation, forest degradation and destruction of other natural ecosystems. The topic of biodiversity and native vegetation support the outcome that farms and groups avoid degradation of natural habitats, contribute to improving biodiversity, and help to prevent the extinction of threatened species. Finally, in the topics of water, waste, and energy, farms and groups reduce pollution, treat wastewater and minimize release of hazardous pollutants, and reduce waste and energy through prevention, reduction, recycling and reuse.

Finally, throughout this chapter and the farming practices chapter, the RA standard works towards the outcome of farms and groups adopting climate adaptation and resilience techniques and supporting climate change mitigation.

Once again, the Rainforest Alliance recognizes that farm certification fits into a larger picture of landscape conservation, where multiple strategies are needed to create lasting impact for biodiversity and planet. The content of this chapter marks a starting point where certified farms and groups can support this goal.


4.1 FORESTS, OTHER NATURAL ECOSYSTEMS AND PROTECTED AREA

Indiv.

small-

holder

GM S/Mix Crop

Core requirements

(4.1.1) From January 1st 2014 onward, forests or other natural

ecosystems have not been converted to agricultural production or

other land uses.

x x

(4.1.2) Production or processing does not occur in protected areas

or their designated buffer zones, except where it complies with

applicable law and management plans for these areas, as defined

by the relevant authorities.

x x

Improvements

N/A

Indicators

N/A

4.2 CONSERVATION AND ENHANCEMENT OF NATURAL ECOSYSTEMS AND

NATIVE VEGETATION

Indiv.

small-

holder

GM S/Mix Crop

Core requirements

(4.2.1) On-farm forests and natural ecosystems are conserved.

Additionally, the following forms of native vegetation are

maintained:

a) Large native trees, except when these pose hazards to people or

infrastructure,

b) Existing agroforestry shade cover, except to the extent that it

exceeds Rainforest Alliance parameters for optimal shade coverage.

x x

Improvements

(4.2.3) Based on the map provided in 1.2.4 the farm

establishes at least 10% total native vegetation cover, or

15% total native vegetation cover for farms growing shade-

tolerant crops, through one or more of the following:

• Establishment, restoration, or widening of riparian

buffers;

• Restoration of natural ecosystem;

• Establishing or increasing native shade trees within

agroforestry systems; Incorporation of native

vegetation as border plantings, live fences, and

barriers around housing and infrastructure, or in other

ways.

(4.2.4) Farms with shade-tolerant crops work towards

agroforestry systems with optimal shade coverage with


native trees across the farm or group of farms according to

Rainforest Alliance parameters.

Such shade coverage counts toward the requirement in

criterion 4.2.3.

Indicators

4.2.3): Total area under native vegetation (and native vegetation as % of total farm area), Smart Meter (4.2.4) % of group members with optimal % of shade coverage (to be defined per context,

using categories for shade coverage).

4.3 RIPARIAN BUFFER AND CHEMICAL NON-APPLICATION ZONES

Indiv.

small-

holder

GM S/Mix

Crop

Core requirements

(4.3.1) Farms maintain existing riparian buffer zones around aquatic

ecosystems x x

(4.3.2) Farms maintain a pesticide non-application zone or

vegetative buffers (see definitions) compliant with Rainforest Alliance parameters surrounding all areas of human activity, or aquatic and

terrestrial natural ecosystems.

x x

Improvements

(4.3.3) Farms establish and increase the existing riparian

buffer zones according to the required width parameters

(see definitions)

x x

Indicators

• Smart Meter (4.3.2): % of aquatic areas with riparian buffer zones meeting Rainforest Alliance parameters for the width of such zones

4.4 PROTECTION OF WILDLIFE AND BIODIVERSITY

Indiv.

small-

holder

GM S/Mix

Crop

Core requirements

(4.4.1) Animals are not hunted on the farm, except that vertebrate

pest wildlife may be hunted in accordance with the farms

Integrated Pest Management plan. Group members and workers

are informed about these rules and trained to identify and protect

threatened species and other wildlife.

There is no hunting, killing, collecting or trafficking of threatened

animals or plants.

x x

(4.4.2) Wildlife is not held in captivity. Captive wild animals that were

present on the farm before the earliest certification date should be

sent to professional shelters or may be held only for non-commercial

purposes for the remainder of their lives if treated in accordance

with the five freedoms of animal welfare

x x


(4.4.3) Invasive species are not intentionally introduced or released.

Existing invasive species or their parts are not disposed of in aquatic

ecosystems.

x x

(4.4.4) There are no animals used for processing coffee, while they

are held in captivity on the farm. No such animals are held captive

for tourism purposes.

x x coffee

Improvements

L1

(4.4.5) Producers minimize human-wildlife conflicts that

affect workers, wildlife, crops, or farm assets. These

measures have to be locally appropriate. Measures can

include siting of infrastructure, fencing and corridors but

should not unnecessarily restrict wildlife mobility or access

to resources like water. Workers are trained in procedures

and emergency responses for addressing crop damage or

wildlife attacks

x x

L2

(4.4. 6) Measures are taken to contain and reduce existing

invasive species.

x x

Indicators

N/A

4.5 WATER CONSERVATION

Indiv.

small-

holder

GM S/Mix Crop

Core requirements

(4.5.1) Farm and Group management and members comply with

the applicable law for the withdrawal of surface or groundwater for

agricultural, domestic or processing purposes

If a license or permit is required, then the extracted volume cannot

exceed what is stated in the license/permit.

Irrigation practices are not threatening local water security.

x x

(4.5.2) When new irrigation or processing systems are established,

they are designed to optimize crop production while minimizing

water use and water waste, erosion and salinization.

x x

(4.5.3) Existing irrigation and water distribution systems are managed

and maintained to optimize crop productivity and minimize water

waste, erosion and salinization.

x x

Improvements

(4.5.4) For operations that irrigate or use water for

processing, management works on reducing water use per

unit of product produced or processed. Use and reduction

are being recorded. Future water needs and water

availability are evaluated and targets are set for improving

water use efficiency.

x x

(4.5.5) Farms make use of water harvesting. x x


Indicators


• Water use per unit of product (L/Kg)

• % reduction in water use in comparison to year before (per kg of product)

4.6 WASTEWATER AND WATER QUALITY

Indiv.

small-

holder

GM S/Mix Crop

Core requirements

(4.6.1) Wastewater from processing operations is not discharged into

aquatic ecosystems unless it meets the Rainforest Alliance industrial

wastewater parameters. Wastewater tests are conducted at all exit

points and recorded during operations. Central mills and mills in

estates quantify the amount of water used for processing

operations).

x x

Coffee

(4.6.2) Wastewater from newly established processing operations is

not applied to land with very sandy or highly permeable soils, where

slopes exceed 8%, or where the water table is seasonally or

permanently high. Wastewater from processing operations may not

be applied to soil unless it has undergone treatment to remove particulates and toxins and to reduce acidity and complies with

additional Rainforest Alliance industrial wastewater parameters for

irrigation. Wastewater from processing operations may not be mixed

with clean water for the purpose of meeting Rainforest Alliance

industrial wastewater parameters. Existing processing operations take measures to mitigate the risks of

soil erosion or contamination.

x x

(4.6.3) Untreated sewage is not discharged into aquatic ecosystems.

Human sewage is not used in production or processing activities.

x x


Improvements

(4.6.4) Farm management (central mill management)

increases reuse of wastewater from processing operations

and reduces water usage.

x x

(4.6.5) Advanced wastewater treatment technologies for

energy production and/or nutrient reuse are implemented.

x x

Indicators

• Smart Meter (4.6.5): % of total amount of water utilized for processing, that is being reused

4.7 WASTE MANAGEMENT

Indiv.

small-

holder

GM S/Mix Crop

Core requirements

(4.7.1) Waste (including hazardous waste like chemical waste and

biomedical waste) is stored and disposed only in designated areas.

Waste storage, treatment and disposal practices do not pose health

or safety risks to producers, workers, other people, or natural ecosystems. Plastic waste is not left on the land. Waste is never

disposed of in natural ecosystems or aquatic ecosystems.

x x

(4.7.2) Waste is not burned except in incinerators technically designed for the specific waste type.

x x

Improvements

(4.7.3) Farm management segregates waste streams (e.g.

recyclables, organics) based on available waste

management re-use and disposal options and sets targets

to reduce, re-use and recycle waste.

x x

(4.7.4) A processing facility is in place to process organic

waste from processing operations (e.g. coffee husk in wet

mill and banana pieces in collection center, palm husk,

cacao husk) into energy and/or organic fertilizers (e.g.

coffee mills, banana collection center).

x

Indicators


• # of waste categories reused/recycled • % organic wastes from processing composted and returned to field • % of farm waste (by volume) recycled


4.8 ENERGY EFFICIENCY

Indiv.

small-

holder

GM S/Mix Crop

Core requirements

N/A

Improvements

(4.8.1) Farm management (or Group Management)

quantifies and documents type of energy sources and

associated machinery used for production, processing,

and domestic use. Farm sets targets for increasing energy

efficiency and for reducing dependency on non-

renewable energy sources.

x

Indicators o (4.8.1) Amount of energy used per kg of final product (Volume of fuel, KWh electricity)

4.9 GREENHOUSE GASES REDUCTION

Indiv.

small-

holder

GM S/Mix Crop

Core requirements

N/A

Improvements

(4.9.1) Group management determines their GHG impact

through calculating a carbon footprint (CO2) of their

production and/or processing operations based on

energy, fertilizer, yield, wastewater and land use change

parameters as defined in the respective other chapter

criteria of the standard.

x

(4.9.2) Group management sets a reduction strategy and

demonstrates that the overall footprint is reduced

accordingly against a defined target threshold.

x

(4.9.3) Group management compensates for its GHG

emissions. x

Indicators

• Smart Meter 4.9.2:

o Carbon footprint per kg of final product o % of carbon footprint reduction per year

• Smart Meter (4.9.3): Amount of CO2e emissions compensated per year (total and as % of CO2e

emission)

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