PUBLIC REVIEW DRAFT DRAFT UGANDA STANDARD  
  DUS DARS  1000 -3 
First  Edition  
2020 -mm-dd 
 
 Reference number  
DUS DARS  1000 -3: 2020 
© UNBS 2020  
   
Sustainable cocoa — Part 3: Requirements for Cocoa 
Certification Scheme  
 
 PUBLIC REVIEW DRAFTDUS DARS 1000-3: 2020 
ii                © UNBS  2020 - All rights reserved 
 Compliance with this standard does not, of itself confer immunity from legal obligations 
A Uganda Standard does not purport to include all necessary provisions of a contract. Users are 
responsible for its correct application  
© UNBS 2020 
All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilised in any 
form or by any means, electronic or mechanical, including photocopying and microfilm, without prior written 
permission from UNBS. 
Requests for permission to reproduce this document should be addressed to 
The Executive Director 
Uganda National Bureau of Standards 
P.O. Box 6329 
Kampala 
Uganda 
Tel: +256 417 333 250/1/2 
Fax: +256 414 286 123 
E-mail: info@unbs.go.ug  
Web: www.unbs.go.ug  
 PUBLIC REVIEW DRAFTDUS DARS 1000-3 : 2020 
© UNBS  2020 - All rights reserved                iii National foreword 
Uganda National Bureau of Standards (UNBS) is a parastatal under the Ministry of Trade, Industry and 
Cooperatives established under Cap 327, of the Laws of Uganda, as amended.  UNBS is mandated to co-
ordinate the elaboration of standards and is  
(a) a member of International Organisation for Standardisation (ISO) and  
(b) a contact point for the WHO/FAO Codex Alimentarius Commission on Food Standards, and  
(c) the National Enquiry Point on TBT Agreement of the World Trade Organisation (WTO). 
The work of preparing Uganda Standards is carried out through Technical Committees. A Technical 
Committee is established to deliberate on standards in a given field or area and consists of key stakeholders 
including government, academia, consumer groups, private sector and other interested parties.  
Draft Uganda Standards adopted by the Technical Committee are widely circulated to stakeholders and the 
general public for comments. The committee reviews the comments before recommending the draft standards 
for approval and declaration as Uganda Standards by the National Standards Council. 
This Draft Uganda Standard, DUS DARS 1000-3:2020 , Sustainable cocoa — Part 3: Requirements for Cocoa 
Certification Scheme , is identical with and has been reproduced from an East African Standard, EAS 1000-
3:2020 , Sustainable cocoa — Part 3: Requirements for Cocoa Certification Scheme , and is being proposed for 
adoption as a Uganda Standard. 
The committee responsible for this document is Technical Committee UNBS/TC 2 , Food and agriculture . 
Wherever the words, “ East African Standard " appear, they should be replaced by "Uganda Standard." AFRICAN 
STANDARD  DARS  
1000 -3 
First Edition 2020  
 
 Reference No. DARS 1000 -3:2020 (E) 
ICS 67.140.30 
 
 
© ARSO 2020  
 
 
 
 
 
 
 
 
 
 
 
Sustainable cocoa — Part 3:  Requirements for Cocoa Certification 
Scheme  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 DARS 1000 -3:2020  
ii © ARSO 2020 — All rights reserved   
Table of contents  
 
1 Scope  ................................ ................................ ................................ ................................ .............  1 
2 Normative references  ................................ ................................ ................................ .....................  1 
3 Terms and definitions  ................................ ................................ ................................ .....................  1 
4 Regulator /Legal Entity  requirements  ................................ ................................ ..............................  4 
5 Scheme development and management ................................ ................................ ........................  5 
6 Publicly available information  ................................ ................................ ................................ .........  6 
7 Complaints and appeals to Certification Bodies and the Regulator /Legal Entity  ...........................  7 
8 Requirements for Bodies performing audits for certification  ................................ ..........................  8 
8.1 General  ................................ ................................ ................................ ................................ .. 8 
8.2 Audit cycle for sustainable cocoa  ................................ ................................ ..........................  8 
8.3 Audit procedures  ................................ ................................ ................................ ....................  9 
8.4 Methods to  obtain information during audit  ................................ ................................ ...........  9 
8.5 Time needed for an audit  ................................ ................................ ................................ ..... 10 
8.6 Timeframe for resolving nonconformities  ................................ ................................ ............  10 
8.7 Expiration of a certificate  ................................ ................................ ................................ ..... 11 
8.8 Re-obtaining a certificate  ................................ ................................ ................................ ..... 11 
8.9 Requirements for competence of auditors  ................................ ................................ ...........  11 
9 Claims  ................................ ................................ ................................ ................................ ...........  12 
10 Third -party mark of conformity  ................................ ................................ ................................ ..... 12 
11 Licencing and control  ................................ ................................ ................................ ...................  13 
Annex A (normative)  Check list for different stages of certification audit  ................................ ............  14 
Annex B (informative)  Sample of risks to be assessed  ................................ ................................ ....... 16 
Annex C (informative)  Risk-based control and review of Certification Bodies  ................................ ..... 17 
Annex D (normative)  Minimum Audit Cycle - Guidance for Farmer as Entity/Farmer 
Group/Cooperative and Certification Bodies  ................................ ................................ .........................  18 
Bibliography  ................................ ................................ ................................ ................................ ..........  21 
 
  DARS 1000 -3:2020  
© ARSO 2020 — All rights reserved  iii Foreword  
 
The African Organization for Standardization (ARS O) is an African intergovernmental organization 
established by the United Nations Economic Commission for Africa (UNECA) and the Organization of 
African Unity (AU)  in 1977 . One of the fundamental mandates of ARSO is to develop and harmoniz e 
African Standards (ARS) for the purpose of enhancing Africa’s internal trading capacity, increase 
Africa’s product and service competitiveness globally and uplift the welfare of African communities.  The 
work of preparing African  Standards is normally carried out through ARSO  technical committees. Each 
Member State  interested in a subject for which a technical committee has been established has the 
right to be represented on that committee. International organizations, Regional Economi c Communities 
(RECs), governmental and non -governmental  organizations , in liaison with ARSO , also take part in the 
work.  
 
ARSO  Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.  
 
The main task of technical committ ees is to prepare ARSO  Standards. Draft ARSO  Standards adopted 
by the technical committees are circulated to the member bodies for voting. Publication as an ARSO  
Standard requires approval by at least 75 % of the member bodies casting a vote.  
 
Attention is drawn to the possibility that some of the elements of this document may be the subject of 
patent rights. ARSO  shall not be held responsible for identifying any or all such patent rights.  
 
This African Standard was prepared by ARSO/THC 02 -6 Technical Working Group on  Coffee, Cocoa, 
Tea and Similar Products  under the mandate of ARSO /THC 02 -6, Technical Harmonization Committee 
Number 2 on Agriculture and Food Products  (ARSO/THC 0 2-6) 
 
 
 
 
 
© African Organisation for Standardisation  2020 — All rights reserved* 
 
ARSO Central Secretariat  
International House 3rd Floor  
P. O. Box 57363 — 00200 City Square  
NAIROBI, KENYA  
 
Tel. +254 -20-2224561, +254 -20-3311641, +254 -20-3311608  
 
E-mail: arso@arso -oran.org  
Web: www.arso -oran.org  
  
                                                 
* © 2020 ARSO — All rights of exploitation reserved worldwide for African Member States’ NSBs.  DARS 1000 -3:2020  
iv © ARSO 2020 — All rights reserved   
Copyright notice  
 
This ARSO document is copyright -protected by ARSO. While the reproduction of this document 
by participants in the ARSO standards development  process is permitted without prior permission 
from ARSO, neither this document nor any extract from it may be reproduced, stored or 
transmitted in any form for any other purpose without prior written permission from ARSO.  
 
Requests for permission to repro duce this document for the purpose of selling it should be 
addressed as shown below or to ARSO’s member body in the country of the requester:  
 
 
© African Organisation for Standardisation 20 20 — All rights reserved  
 
ARSO Central Secretariat  
International Ho use 3rd Floor  
P.O. Box 57363 — 00200 City Square  
NAIROBI, KENYA  
 
Tel: +254 -20-2224561, +254 -20-3311641, +254 -20-3311608  
 
E-mail: arso@arso -oran.org  
Web: www.arso -oran.org  
 
Reproduction for sales purposes may be subject to royalty payments or a licensing agreement. 
Violators may be p rosecuted.  
 
 
 
  DARS 1000 -3:2020  
© ARSO 2020 — All rights reserved  v Introduction  
 
This Standard,  ARS 100 0-3, contains Requirements for Cocoa Certification Scheme for sustainably 
produced cocoa. Sustainably produced cocoa beans are obtained by fulfilling the requirements in ARS 
1000-1 Requirements for Cocoa Farmer as an Entity/Farmer Group/Cooperative Management System s 
and Performance and ARS 100 0-2 Cocoa Quality and Traceability. The F armer as an E ntity/Farmer 
Group/Cooperative shall be certified by a third party (Certification Bodies) to demonstrate compliance 
to this Standard . The third party shall be appointed by th e Regulator /Legal  Entity , who shall be the sole 
owner  of the Certification Scheme.  
 
This Standard  is the third part of sustaina bly produced cocoa requirements .  
 
This African standards  serie  1000  is designed to be relevant to interested parties within the cocoa sector  
and is in three parts as follows:  
 
Standard  Title Subject  
 
 
 
 
ARS 1000 -1 Requirements for 
Cocoa Farmer as an 
Entity/Farmer 
Group/Cooperative 
Management 
System s and 
Performance  The Standard is intended to structure the Management 
System s of the Farmer as  an Entity/Farmer 
Group/Cooperative to enhance performance in the 
production of sustainable cocoa and their livelihood. The 
requirements include economic, social and environmental 
aspects .  
 
ARS 1000 -2 Requirements for 
Cocoa Quality and 
Traceability  The Standard is to be used by all stakeholders in the cocoa 
value chain to promote and maintain the quality of cocoa 
beans and establish traceability from the c ocoa farm  to the 
point of export . 
 
 
 
ARS1000 -3  
 
Requirements for 
Cocoa Certification 
Scheme  The Standard is intended for certification bodies involved in 
auditing cocoa farms as well as for registered farm ers wishing 
to be audited by a third-party  certification body in order to 
make claims of conformity. This Standard also addresses 
requirements for the Regulator/Legal Entity  and Supervisory 
council.  
 
Sustainably produced cocoa beans are obtained by fulfilling the requirements in the ARS 1000 -1 and 
ARS 1000 -2 Standards . Farmers as Entities/Farmer Group/Cooperative shall be certified by a third 
party approved by the Regulator /Legal Entity  to demonstrate compliance to these two Standards .  
 
In this document:  
 
— “shall” indicates a requirement;  
 
— “should” indica tes a recommendation;  
 
— “may” indicates a permission;  
 
— “can” indicates a possibility or a capability.  
 
Information marked “N ote” is for guidance in understanding or clarifying the associated requirement.  
 
 DARS 1000 -3:2020  
© ARSO 2020 — All rights reserved    
Sustainable cocoa — Part 3: Requirements for Cocoa Certification 
Scheme  
 
 
1 Scope  
 
This draft African Standard specifies requirements for the Cocoa Certification Scheme for sustainable 
cocoa, in relation to cocoa supply chain actors and for the certification of Farmer as an Entity/Farmer 
Group/Cooperative. It is to be used jointly with ARS 1000 -1 and ARS 10 00-2. 
 
Only Certification Bodies that fulfil the requirements in this Standard  shall audit Farmer as an 
Entity/Farmer Group/Cooperative, which produce sustainabl e cocoa beans. Only Farmer as an 
Entity/Farmer Group/Cooperative that fulfil the requirements i n this Standard  can make claims of 
sustainably produced cocoa beans.   
 
 
2 Normative references  
 
The following referenced documents are indispensable for the application of this Standard . For dated 
references, only the edition cited applies. For undated references, the latest edition of the referenced 
document (including any amendments) applies.  
 
ARS 1000 -1, Sustainable cocoa — Part 1 : Requirements for cocoa farmer as entity, farmer group, 
cooperative — Management system s and performance  
 
ARS 1000 -2, Sustainable cocoa — Part 2: Requirements for cocoa quality and traceability  
 
 
3 Terms and definitions  
 
For the purpose of this standard the following definitions apply.  
 
3.1 
accreditation  
third-party attestation related to a conformity assessment body conveying formal demonstration of its 
competence to carry out specific conformity assessment tasks.  
 
3.2 
accreditation body  
Authoritative body conducting accreditation activities  
 
(ISO/IEC 17000 : 2020, 4.7)  
 
3.3 
certificate  
document issued by a certification body indicating that a designated object has met the certification 
requirements  
 
3.4 
certification  
Third -party Certificate granted regarding a subject -matter of conformity assessment, except for 
accreditation  
 
(ISO/IEC 17000: 2020, 7.6)  
 
Note 1 : Certification of a Management System is also called registration.  
 
Note 2 : Certification is applicable to all objects of conformity assessment except for conformity assessment bodies themselves, 
to which accreditation is applicable.  
AFRICAN STANDARD   
2 © ARSO 2020 — All rights reserved  3.5 
certification body  
authoritative body carrying out certification activities.  
 
3.6 
certification requirement  
specified requirement that is fulfilled by the client as a condition of establishing or maintaining 
certification.  
 
Note :  Certification requiremen ts are obligations imposed on the client by the certification scheme and Regulator /Legal Entity  
via the certification agreement to meet the requirements of this standard . 
 
3.7 
certification scheme  
conformity assessment system related to specified products, processes, services and management 
systems, to which the same specified requirements, specific rules and procedures apply.  
 
Note 1:  The term “conformity assessment system” is defined in ISO/IEC 17000:2004, 2.7.  
 
Note 2 : The rules, procedures an d management for implementing product, process, service and management system 
certification are stipulated by the certification scheme.  
 
3.8 
client  
entity or person responsible to a Certification Body for ensuring that certification requirements are 
fulfilled.  
 
Note : Whenever the term “client” is used in this Standard , it applies to both the “applicant” and the “client”, unless otherwise 
specified.  
 
3.9 
cocoa supply chain  
sequence of the stages and operations involved in the movement and processing o f cocoa, from farm 
to the point of exit from the factory door of the manufacturer of the final retail product.  
 
3.10 
cocoa supply chain actor  
person or entity that physically handles , legally takes possession  of, or makes claims of sustainably 
produced cocoa.   
 
3.11 
complaints  
expression of dissatisfaction, other than an appeal, filed by a person or an organisation to a Conformity 
Assessment Body or to an accreditation  body in relation to the activities of this said body, to which a 
response is expected  
 
(ISO/IEC 17000: 2004, 6.5)  
 
3.12 
conformity assessment  
demonstration that the requirements are met  
 
Note 1: The conformity assessment process can lead to a negative result, i.e. by demonstrating that the requirements are not 
met. 
 
Note 2: Conformity assessment includes activities carried out elsewhere in this document, such as, but not limited to testing, 
inspection, validation, verification, certification and accreditation  
 
(ISO/IEC 17000: 2020)  
 
 
 
 DARS 1000 -3:2020  
© ARSO 2020 — All rights reserved   3.13 
farmer premium  
funds payment to a registered farmer for sustainably produced cocoa in addition to the actual price for 
equivalent cocoa.  
 
Note 1:  Premium is paid  in cash or bank transfer or any legal accepted form of payment.   
 
Note 2 :  Premium is additional  money paid by the first buyer of a certifi ed sustainable cocoa product to compensate the farmer 
for effort made t o be in compliance with ARSO standards.  
 
Note 3: Farmer as an Entity,/Farmer Groups /Cooperatives also benefit from this premium.  
 
3.14 
impartiality  
presence of objectivity  
 
NOTE 1  Objectivity means that conflicts of interest do not exist, or are resolved so as not to adversely influence subsequent 
activities of the Certification Body.  
 
NOTE 2  Other terms that are useful in conveying the element of impartiality include “independence” , “freedom from conflict of 
interests”, “freedom from bias”, “lack of prejudice”, “neutrality”, “fairness”, “open mindedness”, “even -handedness”, “detachment”, 
“balance”.  
 
3.15 
object  
anything that can be perceived or designed . (Example: Product, service, process, person, organization, 
system, resource ) 
 
(ISO 9000 : 2015, 3.6.1)  
 
3.16 
regulator/legal entity  
organization responsible for the development and maintenance of a specific Certification Scheme and 
the approval of Certification Bodies to implement the  Certification Scheme.  
 
3.17 
scope of certification  
identification of:  
 the product(s), process(es), service(s), cocoa field(s) or farm(s), or management systems for which 
the certification is granted;  
 
 the applicable Certification Scheme;  
 
 the standard(s) and other normative document(s), including their date of publication, to which it is 
judged that the product(s), process(es), service(s) or management systems comply.  
 
3.18 
supervisory council  
body established by the Regulator /Legal Entity  through Government consisting of independent 
members who represent interested parties.  
 
3.19 
surveillance audit  
systematic iteration of conformity assessment activities as a basis for maintaining the validity of the 
statement of conformity.  
 
3.20 
third -party mark of conformity  
protected mark issued by a body performing third -party conformity assessment, indicating that an object 
of conformity assessment (product, process, person, system or body) is in conformity with specified 
requirements.  
 
NOTE 1  A protected mark is a mark legally protected against unauthorized use.   
4 © ARSO 2020 — All rights reserved   
NOTE 2  The specified requirements are generally stated in “normative” documents such as International Standards, regional or 
national standards, regulations and specifications.  
 
3.21 
verification  
control mechanism or process with objective evidence that demonstrate that specified requirements 
have been met. 
 
3.22 
Recertification  
Third -party Certificate granted regarding a new criteria after obtaining Bronze or Silver certificates. 
Recertification audit takes place every 5 years and each time relates to new criteria.   
 
Note  : The initial certification audit (12 months after the Farmer’s registration), 
the surveillance audits (2 .5 years after the initial certification audit Bronze lev el/ 
2.5 years after the recertification audit - Siver level/ 2 .5 years after the 
recertification audit - Gold level) and the recertification audits ( 5 years after the 
recertification audits Silver and Gold levels) relate each time to new criteria.  
 
 
4 Regulator /Legal Entity  requirements  
 
4.1 The Regulator /Legal Entity  shall be a legal body such as a government body or any other 
national structure that coordinates the cocoa sector in the cocoa producing country and  develops a 
Cocoa Certification Scheme  in which one or more Certification Bodies participate  and in which the 
various stakeholders are involved.  
 
4.2 The Regulator /Legal Entity shall be independent of certified clients and cocoa chain actors and 
shall not influence the certification decision.  
 
4.3 The Regulator /Legal Entity  shall identify any risks to its impartiality on an ongoing basis. If a 
risk to impartiality is identified, the Regulator shall be able to demonstrate how it eliminates or minimizes 
such risk. This shall include those risks t hat arise from its activities, or from its relationships, or from the 
relationships of its personnel.  
 
The Top Management of the Regulator /Legal Entity  shall have a policy on impartiality and demonstrate 
their commitment to impartiality.  
 
Note:  A relations hip that threatens the impartiality of the Regulator /Legal Entity  can be based on ownership, governance, 
management, personnel, shared resources, finances, contracts, marketing (including branding), and payment of a sales 
commission or other inducement for  the referral of new clients, etc.  
 
4.4 The Regulator /Legal Entity  shall have an independent Supervisory Council appointed by the 
Government. The composition of the independent Supervisory Council shall be transparent.  
 
 
4.5 The Supervisory Council shall not engage in any activities that can conflict with their 
independence of judgment and integrity in relation to activities of the Regulator /Legal Entity , or have 
functions that can influence the outcome of certification decisions.  
 
Note : Examples of confl icts are personal involvement in complaints, appeals, finances, contracts, marketing (including branding), 
payment of a commission, fraud and bribery, etc.  
 
4.6 The responsibilities of the Supervisory Council shall include the following:  
 
a) ensuring the impartiality and independence of the scheme, including ensuring the scheme does 
not allow commercial, financial, political or other pressures to compromise impartiality;  
 DARS 1000 -3:2020  
© ARSO 2020 — All rights reserved   b) overseeing the risk management policies and processes associated with ensuring imp artiality 
and independence;  
 
c) approving the operational framework of the scheme;  
 
d) addressing unresolved complaints and appeals, and the Regulator /Legal Entity ’s actions for 
resolving them, including recommending to the Regulator /Legal Entity  further a ctions for 
resolution;  
 
e) reviewing and validating annually the activities report from the Regulator /Legal Entity ;  
 
f) conduct an annual review of scheme -related activities and provide feedback to the 
Regulator /Legal Entity . 
 
4.7 The Regulator /Legal Entity shall have a sufficient number of competent personnel to effectively 
perform its activities.  
 
 
5 Scheme development and management  
 
5.1 The Regulator /Legal Entity  shall be responsible for developing and maintaining its Certification 
Scheme in accordance with this document.  
 
5.2 The Regulator /Legal Entity  shall set up a structure for the development, operation and 
management of the scheme and provide guidance when required.  
 
Note : General Guidance for the development and operation of  schemes is given in ISO/IEC 17067.  
 
5.3 The Regulator /Legal Entity shall create, control and maintain adequately documented information 
via an “Implementation Guide” for the operation, maintenance and improvement of the scheme. 
The documented information shall specify the rules and the operating procedures of the scheme 
and, in particular, the responsibilities for governance of the scheme  
 
5.4 The Regulator /Legal Entity  shall evaluate and manage the risks arising from its activities.  
 
5.5 The Regulator /Legal Entity  shall establish requirements for the Certification Bodies involved in 
the certification process. These requirements shall include accreditation of Certification Bodies to 
ISO/IEC 17021 -1 by an accreditation Body operating in accordance with ISO/I EC 17011.  
 
5.6 The Regulator /Legal Entity  shall establish criteria for the access of Certification Bodies and clients 
to the scheme. The Regulator /Legal Entity  shall specify what the Certification Bodies and clients 
shall report to the Regulator.  
 
5.7 The Regulator /Legal Entity  shall have an input in the development of contracts between all 
parties. The rights, responsibilities and liabilities of the various parties should be defined in the 
contracts.  
 
5.8 The Regulator /Legal Entity  shall ensure consistenc y of audits performed by Certification Bodies. 
The Regulator /Legal Entity  shall define what shall be considered as major nonconformities . The 
Regulator /Legal Entity  shall establish a sanctions policy to be applied by Certification Bodies.  
 
5.9 The Regulato r shall define procedures on actions to be taken and any sanctions to be imposed if 
the Certification Bodies fail to meet scheme requirements.  
 
Note :  Annex C gives guidance for risk -based control and review of Certification Bodies . 
 
 
5.10 The Regulator /Legal Entity  shall establish and maintain a traceability system in order to monitor 
and validate sustainable cocoa as specified in ARS 100 0-2. The traceability system shall 
distinguish between the types of traceability allowed as specified in ARS 100 0-2. The traceability 
system should allow the Regulator /Legal Entity  to control the use of certificates, claims or third - 
6 © ARSO 2020 — All rights reserved  party marks of conformity in accordance with this Standard .  
 
5.11 The Regulator /Legal Entity shall have a procedure/ legal document for ne gotiation of farmer 
premiums, cost recovery mechanisms and the right of refusal between:  
 
a) the first buyer and the Farmer group  producing cocoa bean ; 
 
b) the cocoa bean producing farmer group and registered farmers.  
 
The procedure shall provide that the outcome of the negotiations is documented and confirmed by both 
parties, and that the payments of cost recovery mechanisms and farmer premiums are recorded and 
verified.  
 
The premium shall be paid in cash or bank transfer or any legal accepted form of pay ment.  
 
In the development of the above procedures or legal document for negotiation of farmer premiums, cost 
recovery mechanisms and the right of refusal, the Regulator /Legal Entity shall  estimate and consider the 
costs of implementing ARS series 1000 .  
 
5.12 The Regulator /Legal Entity shall  make arrangements to protect the confidentiality of information 
provided by the parties involved in the schem e. 
 
5.13 The Regulator /Legal Entity  shall define a process for reviewing the operation of the scheme. This 
review shall identify aspects requiring improvement, taking into account feedback from interested 
parties, including Farmer as an entity/Farmer Group/Cooperative, hired workers/registe red 
farmers and cocoa supply chain actors. The review should include provisions for ensuring that 
the scheme requirements are being applied in a consistent manner.  
 
5.14 The Regulator /Legal Entity shall have a process for making the necessary changes in the 
scheme whenever changes in these documents occur, and for managing the implementation of 
the changes (e.g. transition period) by the Certification Bodies, clients and, where necessary, 
other interested parties.  
 
5.15 The Regulator /Legal Entity should e ngage in periodic peer assessment of its scheme in 
accordance with the principles of ISO/IEC 17040. The result of this peer assessment of the 
scheme shall also be available to its Supervising Council.  
 
5.16 The Regulator /Legal Entity shall describe the sp ecific actions taken or planned to be taken, within 
a defined timeframe, to remedy any identified nonconformities and to inform the Supervising 
Council accordingly.  
 
5.17 The Regulator/ Legal Entity shall have the financial stability and resources required to play its 
 role in the operation of the scheme.  
 
 
6 Publicly available information  
 
The Regulator /Legal Entity  shall ensure the following information is maintained and made publicly 
available in a timel y manner, as appropriate:  
 
a) operational framework and organizational structure of the scheme;  
 
b) policy on impartiality and the processes associated with ensuring impartiality and independence;  
 
c) list of Certification Bodies that are approved to audit  clients to the scheme requirements;  
 
d) list of accreditation bodies having accredited the above -mentioned Certification Bodies;  
 
e) procedure for control and review of Certification Bodies;  
 DARS 1000 -3:2020  
© ARSO 2020 — All rights reserved   f) current list of clients, including the issuer and expiry date of their certificates;  
 
g) list of clients whose certificates have been withdrawn;  
 
h) policy on premium and cost recovery negotiation(s) and its procedures;  
 
i) policy on sanctions for noncompliance to sustainable cocoa production ; 
 
j)  types of audits performed, including methodology, sampling requirements and frequency of 
assessment ; 
 
k)  list of certification bodies whose accreditations have been withdrawn . 
 
 
 
7 Complaints and appeals to Certification Bodies and the Regulator /Legal 
Entity  
 
7.1 The Regulator /Legal Entity  shall define and make publicly available a procedure for the handling 
of complaints and appeals against a client, a Certification Body or the Regulator itself. At a 
minimum, the procedure shall provide that:  
 
a) complaints to be given to the certification body and the copy given to the regulator /Legal Entity  
for them to be informed of all that is happening.  
 
b) complaints about contractual obligations between a client and the Certification Body, complaints 
about a client, and appe als against the decision of a Certification Body shall be addressed to the 
Certification Body in the first instance and resolved according to the Certification Body’s 
complaints - and appeals -handling processes (see ISO/IEC 17021 -1:2015);  
 
c) complaints ab out the certification activities of a Certification Body shall be addressed to the 
Certification Body in the first instance and, in addition, the Certification Body shall provide a copy 
to the Regulator /Legal Entity upon receiving and resolving the complaint;  
 
d) complaints and appeals that have not been, or cannot be, resolved by the Certification Body shall 
be addressed to the Regulator /Legal Entity.  
 
e) complaints and appeals about nonconformity to the Regulator’s policies, procedures and 
certific ation requirements, including complaints relating to misleading statements or potential 
fraud, shall be addressed directly to the Regulator /Legal Entity copy to the Supervisory Council.  
 
f) complaints and appeals filed by clients, certification bodies or any other stakeholder in the chain 
against the Regulator/Legal Entity shall be first submitted to the Regulator/Legal Entity itself, with 
a copy to the Supervisory Council, which shall deal with them if such complaints and appeals by 
clients have not been or cannot be settled by the Regulator/Legal Entity.  
 
g) The Regulator /Legal Entity  shall facilitate complaints (from clients and the public) regarding the 
Regulator /Legal Entity ’s policies, procedures, systems and certification scheme requirements via 
an open and transparent  platform .. 
 
7.2 The Regulator /Legal Entity  shall investigate and take appropriate action regarding any claims, 
including  reviewing the management of its system and taking any necessary corrective action.  
 
7.3 The Regulator /Legal Entity  shall retain documented information of all complaints and appeals, 
including actions undertaken to resolve them and inform the Supervisory Council at regular 
intervals . 
 
7.4 The Regulator /Legal Entity  shall ensure that the submission, investigation and de cision on 
complaints and appeals shall not result in any discriminatory actions against the complainant or 
appellant.   
8 © ARSO 2020 — All rights reserved   
7.5 The Regulator /Legal Entity  shall provide an annual summary report to the Supervisory Council, 
as a means to support its role.  
 
 
8 Requirements for Bodies performing audits for certification  
 
8.1 General  
 
8.1.1  Bodies performing audits and certification shall fulfill the requirements specified in ISO/IEC 17 065. 
Certification Bodies shall permit clients to make claims of product conformity to the Certification 
Scheme in conformity to this document  African Standard . 
 
8.1.2  The Certification Body shall identify risks and provide recommendation to the Farmer as an 
Entity/Farmer Group/Cooperative on the remedial processes to address the identified risks. The 
Certification Body shall not provide consultancy services to its clients.  
 
8.1.3  The Regulator/Legal Entity shall determine the information needed for the applic ation of 
certification and shall inform interested parties accordingly.  
 
In case of a change of Certification Body, the client shall inform the new Certification Body prior to the 
certification and audit of its fulfillment of requirement level and status, achievements of conformity with the 
requirements of this Standard , ARS 10 00-1 and ARS 100 0-2 within the past certification period.  
 
Note:  Examples of information to be shared with the new Certification Body are certification reports and internal auditing reports.  
 
8.1.4  There shall be a contract between the Certification Body and the Farmer as an E ntity/Farmer 
Group/Cooperative for the provision of certification activities, in reference to 5.7 and in 
accordance with the relevant requirements of this Standard . This contrac t shall include the scope 
of certification, timeframe and fees.  
 
8.1.5  The Certification Body shall determine  
 
a) the time needed for considering application forms from clients for certification of sustainable cocoa;  
 
b) the time needed to plan and accompl ish a complete and effective audit of the client;  
 
c) information needed from the client before proceeding to audit planning.  
 
The Certification Body shall inform clients accordingly and shall do so in a timely manner once the client 
has applied for certif ication.  
 
The client may request the Certification Body to accept a change of scope of the certification (e.g. change 
in volume, numbers of registered farmers or number of sites). The Certification Body shall, in response to 
an application for expanding th e scope of a certification already granted, undertake a review of the 
application and determine any audit activities necessary to decide whether or not the extension may be 
granted. This may be conducted in conjunction with a surveillance audit. A Certific ation Body can decline 
an extension if the client does not provide sufficient evidence that the change in scope is justified.  
 
 
8.2 Audit cycle for sustainable cocoa  
 
8.2.1  The Certification Body shall conduct a certification audit to assess all the requirements specified 
in ARS 100 0-1 and ARS 100 0-2, as appropriate.  
 
8.2.2  The Certification Body shall conduct surveillance audits after the initial certification audit per 
Annex D.  
 
8.2.3  The Certification Body should conduct audits of certified client s at short notice or unannounced 
as necessary following the risk -based approach , or to investigate complaints, or in response to DARS 1000 -3:2020  
© ARSO 2020 — All rights reserved   changes, or as follow up on suspended clients, if applicable. The unannounced audit should be 
done within the stages of the aud it (between initial certification audit and first surveillance audits, 
between the first and second surveillance audit and the second surveillance audit and the renewal 
audit).  
 
8.2.4  The Certification Body shall identify, in consultation with the Farmer a s entity/Farmer 
Group/Cooperative, whether or not the client has a seasonal production cycle, and shall plan the 
certification and recertification audit accordingly to take place within four (4) months before the 
beginning of a harvest period.  
 
8.2.5  In ca se where the initial certification audit in a seasonal production cycle leads to a positive 
certification decision, within four months after the beginning of the harvest period, the cocoa 
harvested since the beginning of this harvest shall be certified.  
 
8.2.6 In case where the initial certification audit in a continuous production cycle leads to a positive 
certification decision, the cocoa harvested after the date of this decision shall be certified.  
 
8.2.7  In cases where the initial certification audit l eads to a negative certification decision, the client can 
seek re -audit six (6) months minimum from the initial certification audit.  
 
 
8.3 Audit Procedure s 
 
8.3.1  The Certification body shall effectively implement a documented procedure for:  
 
a) predefining  the audit sample;  
 
b) ensure that the physical audit is carried out with minimum sample sizes equal to the square root 
of the number of Farmers to be certified;  
 
c) announcing and adjusting the audit sample during the audit;  
 
d) reporting and recording the actual audit sample after the audit.  
8.3.2  Such a procedure of the Certification Body shall include sample sizes for at least the following:  
 
a) Farms to be audited;  
b) farmers to be physically visited and/or interviewed without visiting their farms  
c) employees to be interviewed  
d) workers to be interviewed at each site  
e) workers to be interviewed at farm visits  
f) procedures to be reviewed  
g) records to be reviewed  
h) intermediaries/subcontractors/service providers to be verified  
i) internal inspectors to be intervi ewed and witnessed  
 
8.3.3  The Regulator shall review and approve such procedure as deem necessary.  
 
 
8.4 Methods to obtain information during audit  
 
The Certification Bodies shall use various methods for obtaining information during the audit to triangulate 
audit findings and/or confirm non -conformity, including but not limited to:  
 
a) check and interview Farmer as an Entity/Farmer Group/Cooperative;  
 
b) on-site audit, including observation of activities;  
  
10 © ARSO 2020 — All rights reserved  c) checking of facilities;   
 
 
d) interviews with registered farmers and their workers within the Farmer as an Entity/Farmer  
Group/Cooperative;  
 
e) confirmation of data (e.g. good agricultural practices, working c onditions, nonconformities);  
 
f) reviews of complaints and allegations;  
 
g) interviews with staff of the Farmer as an Entity/Farmer Group/Cooperative;  
 
h) performing stakeholder engagement sessions;  
 
i) performing off -site investigation in high -risk cases;  
 
j) reviewing of policies, procedures, records pertaining to processes and activities withing the  
   certification scope;  
  
k) auditing subcontractors, service providers and other actors directly linked to the processes and  
activities within the certification sco pe, such as intermediaries, transportation services, 
processing/warehouse services.  
 
8.5 Time needed for an audit  
 
8.5.1  For Farmer as an Entity/Farmer Group/Cooperative, the following minimum time allowances shall 
be respected for on -site audit activitie s, if necessary, more time must be allocated: : 
 
a) for cocoa fields, a minimum of one -sixth of a man -day, excluding time needed to travel between 
locations;  
 
b) for a management system, one man -day.  
 
c) for one individual interview of employees/workers, the minimum duration is 0.25 hours;  
 
d) for one group interview, the minimum duration is 0.5 hours;  
 
e) for a visit to a house of a farmer or a worker’s, the minimum duration is 0.25 hours.  
 
8.5.2  Depending on the size, the risks, the complexity of the c ocoa fields and/or the management 
system and/or the risks emerged from interviews and/or house visits, the Certification Body shall 
allocate additional audit hours accordingly.  
 
8.5.3  The C ertification Body shall record the actual amount of time for each visit and each quality 
management system audit, each interview and justifications as to how such amount of time was 
decided to be sufficient.  
 
Note: Reference may be made to guidelines established in ISO/IEC TS 17023 for determining the duration of manage ment system 
audit and/or ISO/TS 22003 or any other established management system guideline for audit time determination (such as IAF MD 5  
:2015,Version 3 , Determination of audit time of quality management systems and environmental management systems ). 
 
 
 
 
 
8.6 Timeframe for resolving nonconformities  
 DARS 1000 -3:2020  
© ARSO 2020 — All rights reserved   8.6.1  In cases where nonconformities have been identified during the initial certification audit, 
certification renewal or surveillance audit, both the Certification Body and the client shall agree 
on a timefra me, in which the corrections and corrective actions shall be undertaken, with a 
maximum of three (3) months for initial or renewal audit or six (6) months for surveillance audit 
from the date of the audit report. Unless the certificate is suspended or with drawn, the client and 
its cocoa is considered certified during this timeframe, provided it is not an initial certification audit. 
The Certification Body shall issue a decision to a Farmer as an Entity/Farmer Group/Cooperative 
not more than twenty eight ( 28) days after the official written notification of corrections and 
corrective actions of any non -conformities.  
 
8.6.2  If the Farmer as an Entity/ Farmer Group/ Cooperative fails to demonstrate the implementation of 
the correction or corrective action for any nonconformity within three (3) months from the date of 
the audit report for the certification or renewal audit, the Certification Body shall not grant a 
certificate or recertify the Farmer as an Entity/ Farmer Group/ Cooperative . The Certification Body  
shall issue a decision to the Farmer as an E ntity/ Farmer Group/ Cooperative not more than 
twenty eight (28) days after the three (3) months from the date of the initial or renewal audit report.  
 
8.6.3  If the Farmer as an Entity/ Farmer Group/ Cooperative  does not demonstrate the implementation 
of corrections and corrective actions of any nonconformity within six (6) months from the date of 
the audit report , the Certification Body shall withdraw the certificate. The Certification Body shall 
issue a decision  to the Farmer as an Entity/ Farmer Group/ Cooperative not more than twenty 
eight (28) days after the six (6) months from the date of the surveillance audit report.  
 
8.6.4  In order to become recertified, the client shall receive a new certification audit. Certification can 
be restored six (6) months or more after the surveillance audit that led to the withdrawal of the 
certificate.  
 
8.6.5  Prior to the selection of auditors, the Regulator /Legal Entity  shall engage the auditors on the 
principles, procedures, and all the parameters that will go into the audit before a list of auditors is 
made available.  
 
8.6.6  Guidelines for the audit shall therefore be signed and countersigned between the Regulator /Legal 
Entity and the auditors.  
 
8.6.7  Before refusing to gran t certificate to a Farmer as an Entity/ Farmer Group Cooperative , the 
Certification Body shall engage the Regulator /Legal Entity  to evaluate the circumstances leading 
to the refusal for possible remedy.  
 
 
8.7  Expiration of a certificate   
 
When a client’s certification expires, the Certification Body shall inform the clients that they cannot, from 
the expiration date of the certificate, claim that their cocoa is certified to the scheme specified in this 
document.  
 
Note : The Farmer as an Entity/ Farmer Grou p/Cooperative should take the necessary steps to ensure the renewal of certificates 
four (4) months before the expiration of the certificate.  
 
 
8.8 Re-obtaining a certificate  
 
In cases where a client has re -obtained certification, the Certification Body shall not allow claims that the 
cocoa produced under the expired certificate is certified to the scheme specified in this Standard . 
 
 
 
 
8.9 Requirements for competence of auditor s 
 
8.9.1  In addition to the requirements specified in ISO/IEC 17021 -1, the Certification Body shall ensure  
12 © ARSO 2020 — All rights reserved  that auditors' competences include , at least:  
 
a) knowledge of agronomy and skills to identify the adoption of good agricultural and environmental 
practices;  
 
b) knowledge to determine whether a client has identified and evaluated its compliance with all 
applicable statutory and regulatory requirements, and its conformity with other specified 
requirements within the specific aspect to be audited.  
 
c)  knowledge of social topics that are applicable in the standard as well as relevant practices in the 
local context;  
 
8.9.2  The auditors shall demonstrate a high level of auditing skills and practices with rich auditing 
experience . The auditor shall hav e training and auditing experience of at least:  
 
a) 10 audits or 40 relevant days auditing good agriculture practices/standard as an auditor;  
 
b) 10 audits or 40 relevant days auditing social topics/standard as an auditor or auditor in training in 
a recognized program , e.g SA 8000 Certifications;  
 
c) 10 audits or 40 relevant days auditing environmental topics/standard as an auditor or auditor in 
training in a recognized program;  
The auditor shall have passed a lead auditor training (IRCA -certified or equivalent of 40 hours) for one of 
the following programs: ISO 9001; and may have training in ISO 14001; ISO 22000, ISO 19011.  
 
Note 1 : Legal and regulatory requirements can be expressed by the term legal requirements.  
. 
Note 2 : Other requirements may include national, international and sectoral volontary protocols for environmental reporting.  
 
d) Personnel involved in competence evaluation shall have, as a minimum, equivalent competence to the  
functions being evaluated.  
 
9 Claims  
 
 General requirements  
 
a) Claims or third -party marks of conformity for sustainable cocoa conforming to the ARS 1000 
series are optional.  
 
b) If the Regulator/Legal Entity allows  claims or third -party marks of conformity, these shall be claims 
or marks of product conformity (i.e. clai ms or marks of sustainable cocoa), and the 
Regulator /Legal Entity shall  control the use of claims or third -party marks of conformity.  
 
c) The Regulator/Legal Entity shall define a policy and procedure(s) related to misleading use of 
certificates, marks or cla ims, and for situations in which the cocoa no longer fulfils requirements.  
 
d) The Regulator/Legal Entity shall establish rules for the use of claims or third -party marks of 
conformity. These rules shall meet the requirements and conditions of this standard  and shall be 
made publicly available.  
 
 
10 Third -party mark of conformity  
 
The Regulator /Legal Entity  shall ensure that the application of third -party marks of conformity is in 
accordance with the requirements specified in ISO/IEC 17030.  DARS 1000 -3:2020  
© ARSO 2020 — All rights reserved    
 
11 Licencing and control  
 
11.1 Where the scheme provides for the use of certificates, third -party marks of conformity or other 
statements of conformity, the scheme shall control such use through a licence or other form of enforceable 
agreement with clients.  Licences may be  between two or more of the following:  
 
a) Regulator; /Legal Entity;  
 
b) Certification Body;  
 
c) client of the Certification Body.  
 
11.2 Licences shall include provisions to ensure that statements of conformity are in accordance with 
the requirements specif ied in Clause 9.  
 
11.3 Licences shall include provisions related to the use of the certificate, third -party mark of conformity 
or other statement of conformity in communications about the certified product, and certification shall 
remain valid at all stage s of the processes.  
    
14 © ARSO 2020 — All rights reserved  Annex A  
(normative)  
 
Check list for different stages of certification audit  
 
Part 1: Requirements for Cocoa Farmer as Entity/Farmer Group/Cooperative Management 
System s and Performance  
 
Clause  Registration of  the 
Farmer as an 
Entity/Farmer 
Group/Cooperative  Bronze Level : 
Initial Certification 
Audit (12 Months 
After Registration 
of the Farmer as an 
Entity/Farmer 
Group/Cooperative ) 
 Silver Level : 
Initial 
Certification or 
Recertification  
Audit ( 5 years 
after Bronze 
certification 
level ) Gold Level 
Initial 
Certification or 
Recertification 
Audit ( 5 years 
after Silver 
certification 
level).  
 Gold Level 
Recertification  
Audit  (5 Years  
after 
certification to 
Gold level ) 
4.1  X X X X 
4.2.1  X X X X X 
4.2.2   X X X X 
5.1   X X X 
5.2   X X X 
5.3   X X X 
6.1   X X X 
6.2   X X X 
7.1.1    X X X 
7.1.2  X X X X X 
7.2  X X X X 
7.3  X X X X 
7.4  X X X X 
8   X X X 
8.2.1   X X X  
9.1   X X X 
9.2  X X X X 
9.3   X X X 
10   X X X 
11.2    X X 
11.3.1 - 
11.3.10   X X X X 
11.3.11    X X X 
12.2 – 
12.3, 12.5 
– 12.6  X X X X 
12.4, 12.7    X X X 
12.8 - 12.9    X X 
13.2    X X 
13.3 (a, b, 
c)  X X X X 
13.3 (d, e)     X X 
13.4    X X 
13.5   X X X 
13.6   X X X 
 
 
Part 2: Requirements for Cocoa Quality and Traceability  
 DARS 1000 -3:2020  
© ARSO 2020 — All rights reserved   Clause  Bronze Level: Initial 
Certification Audit (12 
Months After 
Registration of the 
Farmer as an 
Entity/Farmer 
Group/Cooperative)  
 2nd initial 
certification audit or 
recertification audit: 
Silver level (5 years 
after the Bronze level 
certification audit)  3rd initial certification 
audit or 
recertification audit: 
Gold level (5 years 
after the Silver level 
certification audit)  Renewal audit (Every 
5 years after the Gold 
Level certification 
audit)  
4 X X X X 
5 X X X X 
6 X X X X 
7 X X X X 
8 X X X X 
9 X X X X 
10 X X X X 
12 X X X X 
13.1 X X X X 
13.2  X X X 
13.3 X X X X 
14 X X X X 
15  X X X 
16  X X X 
17  X X X 
 
 
    
16 © ARSO 2020 — All rights reserved  Annex B 
(informative)  
 
Sample of risks to be assessed  
 
 
B.1 Standards -related risks  
 
a) Poorly written and vague standards leading to varying interpretations.  
 
b) Intent of standards unclear or missing.  
 
c) Frequent changes to standards, interpretive guidance or assessment methodologies.  
 
d) Lack of leadership by the Regulator/Legal Entity  on the need for standards clarification.  
 
 
B.2 Assessment process -related risks  
 
a) Lack of client understanding or incentive to conform.  
 
b) Lack of personnel competence (skills, knowledge or attributes).  
 
c) Audit staff over -familiar with clients, leading to lack of impartiality.  
 
d) Inadequate calibr ation between auditors (leading to inconsistent audit results).  
 
e) Lack of local or relevant auditor capacity (insufficient auditors trained and fluent in the local 
language in a region).  
 
f) Inconsistent audit planning and lack of coordination.  
 
g) Inadequacy of sampling methodology.  
 
h) Lack of knowledge of cultural attitudes to conformity assessment.  
 
 
B.3 System -related risks  
 
a) Price competition among Certification Bodies may result in reduced quality of conformity 
assessment.  
 
b) Clients moving  between Certification Bodies in a quest for a more lenient assessment.  
 
c) Potential for corruption (audito rs, clients, assurance provider ). 
 
d) Lack of adequate safeguards to prevent positive or negative bias by auditors.  
 
e) Difficulty engaging interest ed parties where their input is necessary to the conformity 
assessment process (lack of interest, lack of resources).  
 
f) Misleading representation of products and services (claims and label ling issues).  
 
g) Inadequate complaints system.  
 
h) Inadequate surveillance system.  
 
i) Lack of follow -up of nonconformities.    DARS 1000 -3:2020  
© ARSO 2020 — All rights reserved   Annex C 
(informative)  
 
Risk -based control and review of Certification Bodies  
 
 
C.1 The Regulator /Legal Entity that prescribe s a risk -based approach to determine the frequency 
and intensity of oversight of Certification Bodies should develop a separate procedure that characterizes 
the risk factors and categories appropriate to oversight and that contains the same elements as 
desc ribed in audit frequency and intensity.  
 
Risk factors to consider when developing a sampling protocol include:  
 
a) the history of the Certification Body within the Certification Scheme;  
 
b) the growth rate of Certification Bodies;  
 
c) the history of low -quality audits in evaluations by Certification Bodies (e.g. where 
nonconformities have been raised previously about the quality of Certification Bodies’ audits);  
 
d) complaints.  
 
C.2 The Regulator /Legal Entity should  ensure that the oversight audit process i ncludes a review of 
the performance of Certification Bodies and auditors in the field.  
 
C.3 The Regulator /Legal Entity should  ensure that the Certification Body oversight personnel meets at 
least the requirements for the Certification Body auditors and shall be independent and impartial in all 
the Certification Body oversight activities.  
 
C.4. The Regulator /Legal Entity should  ensure that its Certification Body oversight system follows and 
respects the applicable requirements in the ISO 17011.  
    
18 © ARSO 2020 — All rights reserved  Annex D 
(normative)  
 
Audit Cycle  – Guidance for Farmer as Entity/Farmer Group/Cooperative and 
Certification Bodies  
 
D.1 Types of Audit  
 
Types  of audit  Calendar and frequency  
1. Bronze Level Initial Certification Audit  
 12 Months After Registration of the Farmer as an 
Entity/Farmer Group/Cooperative .  
After Farmer registration and before the initial certification 
audit, twelve (12) months the farmer as entity/farmer 
group/cooperative shall make a diagnosis of the farm 
necessary to establish the CFDPs for all registered 
farmers.  
 
2. Surveillance audit ( Risk - based audit)  
 2.5 years after the Bronze level Initial Certification Audit  
3. Silver level Recertification Audit  
 Five ( 5) years after the Bronze Level Initial Certification 
Audit  
4. Surveillance audit ( Risk - based audit)  
 2.5 years after the Silver level Recertification Audit  
5. Audit de recertification  : Niveau Or  
Five ( 5) years after the Silver level Recertification Audit  
The Farmer as Entity/Farmer Group/ Cooperative shall 
have established a minimum of 100% CFDPs for the 
registered farmers.  
6. Surveillance audit ( Risk - based audit)  
 2.5 years  after the Gold recertification audit  
7. Renewal Audit  Every five (5) years after the Gold recertification audit . 
CFDP shall be maintained fully at 100% implementation in 
all subsequent renewal audits every five (5) years and 
surveillance audits two and a half years after every renewal 
audit.  
 
 
D.2 Certification is carried out by an Entity which can be  : 
a) A farmer as an Entity;  
b) A Farmer Group;  
c) A cooperative.  
 
 
D.3 Progressive levels of certification shall be awarded based on compliance with the requirements 
of the sustainability African S tandards  ARS 1000 -1 and ARS 1000 -2. Three (03) levels of certification 
are established for the Farmer as entity/Farmer Group/Cooperative.  
 
a) Bronze level: Initial level corresponding to the satisfaction of twelve (12) requirements, i.e. 38% 
of the requiremen ts of ARS 1000 -1 and eleven (11) requirements, i.e. 78% of the requirements 
of ARS 1000 -2. 
 
b) Silver Level: Intermediate level, corresponding to the satisfaction of twenty -nine (29) 
requirements, i.e. 90% of the requirements of ARS 1000 -1, and eleven (11), i .e. 100% of the 
requirements of the ARS 1000 -2 standard.  DARS 1000 -3:2020  
© ARSO 2020 — All rights reserved    
c) Gold Level: Highest level, all requirements of ARS 1000 -1 and ARS 1000 -2 are met by the 
Farmer as entity/Farmer Group/Cooperative.  
 
D.4 The audit criteria are the requirements of ARS 1000 -1 and 1000 -2 that the Farmer as 
entity/Farmer Group/Cooperative shall carry out. In its organization and its farms.  
 
D.5 The ARS 1000 standards are sustainability standards that aim to enable the Farmer as 
Entity/Farmer Group/Cooperative to achieve the highest level of sustainability. No Farmer as 
entity/Farmer Group/Cooperative can claim to remain at the initial or intermediate level.  
 
 
D.5.1  the Farmer as Entity/Farmer Group/Cooperative  may apply for an intermediate or higher -level 
certification audit at the first certification audit.  
 
D.5.2 To apply for certification audit, the Farmer as Entity/Farmer Group/ Cooperative does  not have to 
wait for the maximum period of time. This can be performed at any time.  
 
D.5.3 New farmers entering th e Farmer Groups/Cooperatives after the initial certification audit to the 
Bronze Level shall develop the CFDP, shall have implemented a minimum of 20% CFDP and shall be 
audited for the CFDP during Bronze Level surveillance audit.  
 
D.5.4 New farmers entering the Farmer Groups/Cooperatives after the initial or re -certification audit 
to the Silver and Gold Levels shall develop the CFDP, shall have implemented a minimum of 20% 
CFDP but shall not be audited for 100% CFDP during the surveillanc e audit.  
 
 
  
20 © ARSO 2020 — All rights reserved  Alphabetic index of terms  
 
 
 
Accreditation         3.1 
 
accreditation body        3.2 
 
certificate          3.3 
 
certification         3.4 
 
certification body        3.5 
 
certification requirement        3.6 
 
certification scheme        3.7 
 
client          3.8 
 
cocoa supply chain        3.9 
 
cocoa supply chain actor       3.10 
 
complaints         3.11 
 
conformity assessment        3.12 
 
farmer premium        3.13 
 
impartiality         3.14 
 
object          3.15 
 
regulator/legal entity        3.16 
 
scope of  certification        3.17 
 
supervisory council        3.18 
 
surveillance audit        3.19 
 
third-party mark of conformity       3.20 
 
verification         3.21 
 
recertification         3.22 
 
 
 
 
 
 
 
 
 
 
 DARS 1000 -3:2020  
© ARSO 2020 — All rights reserved   Bibliography  
 
 
 
[1] ISO 34101 -4:2019 , Sustainable and Traceable Cocoa — Part 4: Requirements for Certification 
Schemes  
 
[2] ISO 9000:2015 , Quality Management Systems — Fundamentals and Vocabulary  
 
[3] ISO 9001:2015 ,Quality Management Systems — Requirements  
 
[4] ISO 14001:20 15, Environmental Management Systems  — Requirements with Guidance for 
Use 
 
[5] ISO/IEC 17000:2020 , Conformity Assessment — Vocabulary and General Principles  
 
[6] ISO/IEC 17011, Conformity assessment — Requirements for accreditation bodies accrediting 
conformity assessment bodies  
 
 
[7] ISO/IEC 17021 -1, Conformity Assessment — Requirements for bodies providing audit and 
certification of management systems — Part 1: Requirements  
 
I[8] SO/IEC TS 17023:2013, Conformity Assessment — Guidelines for Determining the Duration of 
Management System  Certification Audits  
 
[9] ISO/IEC 17030 , Conformity assessment — General requirements for third -party marks of 
conformity  
 
¡10] ISO/IEC 17040 , Conformity assessment — General requirements for peer assessment of 
conformity assessment bodies and accreditation bodies  
 
[11] SO 19011:2018 , Guidelines for Auditing Management Systems  
  
[12] ISO 22000:2018 , Food Safety Management Systems — Requirements for Any Organization in 
The Food Chain,  
 
[13] ISO/TS 22003:2013 , Food Safety Management Systems — Requ irements for Bodies Providing 
Audit and Certification of Food Safety Management Systems  
 
[14] IAF MD 5 Determination of Audit Time of Quality and Environmental Management Systems  
 
[15] ISO/IEC 17065:2012, Conformity assessment — Requirements for organizations certifying 
products, processes and services