GHANA 
STANDARD  DGS IG  
3: 2023  
First Edition 2023
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
National Implementation Guide for GS ARS 1000 — Part 3: 
Requirements for Cocoa Certification Schemes 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Reference No. DGS 3:2023(E) ICS 
67.140.30 
 
 
© GSA  2023 
 Preface  
Conformity to the requirements of ARS 1001 is necessary for instituting and implementing a management system for 
achieving continuous production of sustainable and traceable cocoa. This system is vital for the acceptance of the 
cocoa beans the farm produce s, both the national and international market, as sustainably produced and to be sold 
as such. In Ghana as well as within the African Region, the implementation of management systems for a food produce 
commodity is a relatively new concept especially for p rimary production companies. With the adoption of these 
regional standards, ARS 1001:2021 series, by Ghana as the national standards for the implementation of sustainable 
and traceable cocoa production (STMS) in cocoa farms, these documents are intended to  provide guidance on the 
requirements of the ARS 1001 series of standards and recommendation on how the requirements of the standards 
should be implemented throughout the local cocoa industry.  
 
Acknowledgements  
This document was developed by a Technical W orking Group comprising key stakeholders and experts including the 
Ghana Cocoa Board, Ghana Standards Authority, farmers, World Cocoa Foundation, Fairtrade International and 
Mondelez Ghana. We acknowledge their time and dedication to the development of thi s document. Special 
acknowledgement goes to the management of Ghana COCOBOD for funding the development process.  
 
Introduction  
1. Cocoa plant, varieties grown in Ghana  
Cocoa, Theobroma cacao L, is an essential crop in the provision of raw materials, food, employment, income, poverty 
reduction [1] and also serves as a support to the multibillion global chocolate industry. Cocoa thrives well in areas 
with rainfall between 1100mm and 3000mm per annum but for optimum production, preference is g iven to areas with 
rainfall between 1500mm -2000mm and a dry season of not more than three months with less than 100mm rain per 
month. In addition, cocoa requires maximum temperatures ranging between 30 -320C and minimum 18 -210C with 
relative humidity of 100 % at night and about 70 -80% during the day. Cocoa is successfully grown in the forested areas 
of Ghana. Types of cocoa grown in Ghana are the forastero (Eg. Amelonado), criollo, Trinitario and the hybrid.  
 
Forastero cocoa has its origin from high Amazonia (Peru, Ecuador and Colombia) and the Amazon basin (Brazil) and 
is commonly used for selection of breeding varieties. The criollo which has its origin from Mexico, Nicaragua, 
Guatemala, Colombia, Venezuala and Indonesia possesses pleasant aroma but is vulne rable to diseases. The 
trinitario which originated from Trinidad and Venezuela is an intermediate between Forastero and Criollo and also 
known to be highly susceptible to black pod disease. Hybrid cocoa presents several advantages over other cocoa 
types. H ybrid cocoa yields more pods per tree; has more than two harvest seasons in a year (compared with 
“Amelonado”); and has a shorter gestation period of three years as opposed to at least five years for older cocoa 
varieties. The introduction of the hybrid co coa in Ghana is one of the numerous agricultural innovations to improve 
yield for sustainable cocoa production. The average yield of cocoa in Ghana is about 400 kilograms per hectare which 
falls below the expected optimal production level.   
  
In Ghana, majo rity of the farmers operate individually as owners of the farms, with few operating collectively as 
cooperative or contract farming. Cocoa production serves as a major source of livelihood for most rural dwellers in 
the ten (10) cocoa growing regions of th e country in the provision of income to sustain farm families. The dry cocoa 
beans produced are sold to COCOBOD through the Licensed Buying Companies (LBC’s). Private partners play 
instrumental role in the cocoa value chain including service provision, inp ut credit and global market accessibility 
through certification for sustainable cocoa production. In Ghana, the cocoa industry is regulated by Ghana Cocoa 
Board; the only government institution mandated by law to monitor and control the activities of actor s in the cocoa 
value chain.  
 
2. Farming practices and challenges  
The contribution of Africa to the chocolate industry is well emphasized as about 70% of production is generated from 
the continent. This remarkable contribution had its source from smallholders  that strive for daily improvement of 
livelihoods in their bid for sustainable production.  
 
Ghana became the leading cocoa producer and exporter of dried cocoa beans from 1939 to mid -1960 [3] but currently 
is the second in the world’s cocoa production and  export after Cote D’Ivoire. The cocoa sector plays a major role in 
the development of the economy of Ghana as the sector contributes over 30 percent of the overall foreign earnings 
and also has the potential of reducing poverty and income insecurity in th e country [4, 5]. To improve productivity of 
cocoa, adherence to good agronomic practices such as pruning, integrated soil fertility and pest management, timely 
weeding, timely harvesting and proper fermentation is required.  
 
The assessment of global cocoa  economy between 2011/2012 and 2022/2023 identified steady decline in cocoa stock 
[2]. The cocoa sector just like the other sectors has some challenges that if not addressed are likely to militate against 
the realization of the sectors objectives. Factors that affect cocoa production include low cocoa productivity, declining 
soil fertility, pests and diseases, unavailability of inputs, high cost of inputs, planting of low yielding varieties, outdat ed 
production systems, inefficient marketing systems, poor f arm management practices, adverse effects of weather, low 
adoption of innovations and agronomic practices, technology and knowledge transfer as well as inadequate extension 
and advisory services.  
 
The production of cocoa is largely dominated by smallholde rs who operate at very low levels of productivity due to 
limited resources. In the past, most of the increases in agricultural production were achieved through the expansion 
of cultivated land and intensive use of labour, rather than the use of improved fa rming technologies. As agricultural 
land becomes scarce due to increased population growth coupled with the rise in environmental problems, and the 
migration of economically active rural dwellers to the urban areas, the adoption of innovative farm technolo gies, for 
instance, hybrid seeds and new farm practices to increase output, has become necessary. Nevertheless, where there  
 is the introduction of new crop varieties, the expectation of increased output has not been fully achieved since adoption 
remained s low across farmers. Pests and diseases have emerged to threaten cocoa production as well as 
sustainability to the farmer, environment and industry [6, 7]. Pests and diseases could reduce crop yield from 20 to 
86% in West Africa [8].  
 
Another challenge to t he sustainability of Ghana’s cocoa is agricultural land use conflict between cocoa farming and 
gold mining. Gold mining has taken precedence over cocoa farming due to the higher and quick returns to gold mining 
as land use [9]. The competition for agricult ural land between cocoa farmers and illegal miners remains a challenge 
to the cocoa sector as land used for cocoa are converted by illegal miners for mining purposes. The influx of miners 
in the coca growing communities has also resulted in the shift in la bour from the agricultural sector to the mining sector 
leading to high cost of labour which adversely affects cocoa farmers. The pollution of water bodies in farming 
communities results in difficulty in nursery establishment and spraying of pesticides on f arms.  
 
The land tenure in most cocoa growing areas may not favour cocoa farmers as farms are mostly held under tenure 
arrangements as customary land owner’s cocoa farms and tenant cocoa farms. One of the challenges that confronts 
cocoa production is the low adoption of good agronomic practices on the part of cocoa farmers. Information related 
to good agronomic practices such as pruning, weeding, integrated pest management, fertilizer application, harvesting 
and fermentation are propagated by Extension Age nts of Cocoa Health and Extension Division. Cocoa farmers are 
educated and trained in good agronomic practices from land preparation to harvesting and drying which are 
categorized into training modules for the operational year. This serves as a means to im prove Ghana’s premium 
quality cocoa through sustainable production systems.  
 
Child labour being one of the relevant social issues is a major concern to Ghana Cocoa Board as farmers are 
sensitized through the various extension media platforms.  
 
Ghana Cocoa  Board has rolled out productivity enhancement programmes namely: mass pruning, cocoa rehabilitation 
programme for the control of cocoa swollen shoot virus disease, irrigation, cocoa disease and pest control and fertilizer 
subsidy. In addition, farmers are  also trained in climate smart agriculture to ensure resiliency and adaptation in the 
face of climate change.  
 
To ensure farmers livelihood enhancement in the cocoa sector, there is the need to strengthen coordination of 
sustainable livelihood programmes among stakeholders. Developing Africa standards for cocoa would ensure the 
production of sustainable cocoa through improved farming systems, quality and traceable cocoa. This would 
complement the efforts of stakeholders in addressing the challenges in the cocoa sector.  
 
3. Local cocoa production volumes   
 VOLUME OF COCOA PRODUCTION IN GHANA  
YEAR  VOLUME (TONNES)  
2016/17  969,510.69  
2017/18  904,740.00  
2018/19  811,746.50  
2019/20  770,694.44  
2020/21  1,045,074.38  
 
4. Why the need for ARS series?  
The ARSO Standard is being implemented to promote the production of sustainable cocoa beans in response to 
demands from consuming countries for sustainably produced cocoa. The Standards therefore addresses the three 
pillars of sustainability, namely: economic, soci al and environmental. The standards therefore address challenges 
such as: deforestation, climate change, worst forms of child labour, building farmers’ capacity to run their farms as 
businesses to improve their livelihoods and ensuring the traceability and  quality of cocoa produced. The Standard is 
practicalized with a country implementation guide that takes cognizance of traditions, cultures, land tenure systems & 
laws of the relevant country.  
 
The ARSO series have been developed with the welfare of the co coa farmer at the Centre, to protect their ownership 
and access to land for farming, build their capacity as an entrepreneur to access financial options that are available 
and protect and improve their incomes and livelihoods.  
The Standards further recogni zes the regulatory power of COCOBOD as a legal entity responsible for the development 
of the Implementation Guide and approval of Certification bodies to implement the Certification Scheme.  
 
5. Development of the ARS series  
The ARS 1001 series was developed from the ISO 34101 series which stipulated requirements for the production of 
sustainable and traceable cocoa at the international level. It was noted however that there were critical issues 
bordering on the different farming practices for differ ent regions of the world. Since Africa comprises the world’s largest 
cocoa producers, it was necessary to initiate the development of home -grown standards which would address unique 
issues that face cocoa farmers in Africa. Both series of standards are ext ensive in addressing various aspects of 
cocoa farming and trade. C ompliance to the standards will be the optimal approach to assuring sustainable quality in 
cocoa production. The standards outline the controls required to manage risks that may impact on th e quality of cocoa 
beans as well as tools to help the cocoa farmers to improve upon their operations, become more profitable and ensure 
customer satisfaction.  
 
In 2019, shortly after the publication of ISO 34101 series, the governments of Ghana and Cote d ’Ivoire formed a joint 
presidential technical committee to tease out critical issues for the proper implementation of these standards in the 
African context. The Ghana Cocoa Board and Conceil de Café de Cacao engaged a consultant to prepare working  
 draft d ocuments in this regard. They presented a proposal to ARSO Secretariat for the development of regional 
standards for sustainably produced cocoa and requirements for its equivalent certification scheme.  
 
In January 2020 the process commenced for the develop ment of regional standards for sustainable and traceable 
cocoa production in Africa. It was agreed by ARSO TMC that all countries within the region involved in cocoa 
production will be engaged in the work of the Technical Committee. In June 2021, the docum ents were approved and 
published by ARSO.  
 
Purpose And Scope  
The purpose of this document is for use as a guideline for establishing and implementing a cocoa farming 
management system that ensures production of sustainable and traceable cocoa beans. It also gives guidance to 
certification bodies and scheme owners on  implementing a certification scheme and auditing the cocoa farm 
management system to ensure compliance to regulatory and other quality requirements.  
 
References  
The following references are the source material used in the development of this implementati on guide:  
ARS 1001 -1  Sustainable cocoa — Part 1: Requirements for Cocoa Farmer as an Entity/Farmer Group/ Farmer 
Cooperative — Management systems and Performance  
ARS 1001 -2  Sustainable cocoa — Part 2: Requirements for Cocoa Quality and Traceability  
ARS 1 001-3  Sustainable cocoa — Part 3: Requirements for Cocoa Certification Scheme  
 
  
 
GHANA  
STANDARD  DGS IG  
3: 2023  
First Edition 2023
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Sustainable cocoa — Part 3: Requirements for Cocoa Certification 
Schemes 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Reference No. DGS  3:2023(E) ICS 
67.140.30 
 
 
© GSA  2023DGS IG 3:2023 
2 © GSA  2023 — All rights reserved © GSA  2023 — All rights reserved 2
2
2  
 
 
 
 
  
 
Table of contents 
 
 
1      Scope ............................................................................................................................. ................  1 
 
2      Norm ative references .....................................................................................................................  1 
 
3      Terms  and definitions .....................................................................................................................  1 
 
4      Regulator/Legal Entity requirements ..............................................................................................  4 
 
5      Scheme development and management........................................................................................  5 
 
6      Publicly available informa tion .........................................................................................................  7 
 
7      Com plaints and appeals to Cert ification 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 ..........................................................................................  9 
 
8.3       Audit procedures..................................................................................................................  10 
 
8.4       Methods to obtain information during audit .........................................................................  10 
 
8.5       Time needed for an audit .....................................................................................................  11 
 
8.6       Timeframe for resolving nonconformities ............................................................................  11 
 
8.7       Expiration of a certificate .....................................................................................................  12 
 
8.8       Re-obtaining a certificate .....................................................................................................  12 
 
8.9       Requirements for competence of auditors...........................................................................  12 
 
9      Claims............................................................................................................................. ..............  12 
 
10    Third-party mark of conformity .....................................................................................................  13 
 
11    Licensing and control ...................................................................................................................  13 
 
Annex A (norma tive) 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 
 DGS IG 3:2023 
 
 
  
 
Sustainable Cocoa — Part 3: Requirements for Cocoa Certification 
Schemes 
 
1         Scope 
 
This draft African Standard specifies requirements for the Cocoa Cert ification 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 1000-2. 
 
Only Cert ification Bodies  that  fulfil  the  requirements in  this  Standard shall audit Farmer  as  an 
Entity/Farmer  Group/Cooperative, which  produce  sustainable cocoa  beans.  Only  Farmer  as  an 
Entity/Farmer Group/Cooperative that fulfil the requirements in this Standard can make claims of 
sustainably produced cocoa beans. 
 
2         Norma tive 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 systems and performan ce 
 
ARS 1000-2, Sustainable cocoa — Part 2: Requirements for cocoa quality and traceability 
 
 
ARS 1000 -3 
 
3         Terms and definitions 
 
For the purpose of this standard the following definitions apply. 
 
3.1 
accreditation 
third party attestation (3.3) related to a conformity assessment body (3.14), conveying formal demonstration 
of its competence, impartiality (3.17) and consistent operation in performing specific conformity assessment 
(3.13) activities. 
 
(ISO/IEC 17000 -2020, 7.7) 
 
3.2 
accreditation body 
authoritative body that performs  accreditation (3.1). 
 
Note  1:  The  authority  of  an  accreditation  body  can  be  derived  from  government,  public  authorities,  contracts,  ma rket acceptance or scheme 
owner s. 
 
(ISO/IEC 17000: 2020, 4.7) 
 
3.3 
attestation 
issue of a statement, based on a decision (3.15), that fulfilment of specified requirements (3.24) has been 
demonstrated. 
 
Note 1: The resulting statement, referred to in this document as a “statement of conformity”, is intende d to convey the assurance that the 
specified requirements (3.24) have been fulfilled. Such an assurance does not, of itself, provide contractual or other legal guaran tees. 
 
Note 2: First-party attestation and third-party attestation are distinguished by the terms declaration, certification (3.5) and accreditation (3.1), but there 
is no correspond ing term applicable to second-party attestation. 
 
3.4  
certificate DGS IG 3:2023 
 
 
 document issued by a certification body (3.6) indicating that a designated object (3.19) has met the 
certification requirements (3.7). 
 
3.5 
certification 
third-party Certificate (3.4) grant ed regarding a subject-matter of conformity assessment (3.13), except 
for accreditation (3.1). 
 
Note : Certification is applicable to all objects of conformity assessment except for conformity assessment bodies themselves, to which accreditation 
(3.1) is applicable. 
 
(ISO/IEC 17000: 2020, 7.6) 
 
3.6 
certification body 
authoritative body carrying out certification  (3.5) activities.  
 
3.7 
certification requirement 
specified requirement (3.24) that is fulfilled by the client (3.9) as a condition of establishing or 
maintaining certification (3.5). 
 
Note:  Certification requirements are obligations imposed on the client by the certification scheme (3.8) and Regulator/Legal 
Entity (3.22) via the certification agreement to meet the requirements of this Standar d. 
 
3.8 
certification scheme 
conformity assessment system related to specified product s, processes, services and management 
systems, to which the same specified requirements (3.24), specific rules and procedures (3.21) apply.  
Note 1:  The term “conformity assessment system” is defined in ISO/IEC 17000 :2004 , 2.7. 
 
Note  2:  The  rules,  procedure s  and  manage ment  for  implem enting  product,  process,  service  and  manage ment  system certification are 
stipulated by the certification scheme. 
 
3.9  
client 
person or entity that could or does receive a product or a service that is intended for or required by th is 
person or entity. 
 
3.10 
cocoa  supply chain 
sequence of the stages and operations involved in the movement and processing of cocoa, from farm to  the 
point of exit from the factory  door of the manufacturer of the final retail product. 
 
3.11 
cocoa  supply chain actor 
person or entity that physically handles, legally takes  possession of, or makes claims of sustainably 
produc ed cocoa. 
 
3.12  
complaints 
expression of  dissatisfaction, other  than  an  appeal, filed  by  a  person  or  an  organisation to  a Con formity 
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: 2020, 6.5) 
 
 
 
3.13 
conformity assessment 
demonstration that the requirements are met. DGS IG 3:2023 
 
 
  
Note 1: The conformity assessment process can lead to a nega tive result, i.e., by demonstrating that the requirements are not met. 
 
Note 2: Conformity assessment includes activities carried out elsewher e in this document, such as, but not limited to testing, inspection, validation, 
verification (3.28), certification (3.5) and accreditation (3.1). (ISO/IEC 17000: 2020) 
 
3.14 
conformity assessment body 
body that performs conformity assessment activities, excluding accreditation (3.1). 
 
3.15  
decision 
conclusion, based on the results of review, that fulfilment of specified requirements (3.24) has or has not 
been demonstrated  
(ISO/IEC 17000: 2020, 7.2.). 
 
3.16 
farmer premium 
funds payment to a registered farmer for sustainably produced cocoa in addition to the actual price for 
equivalent cocoa. 
 
Note 1:    Farmer premium is paid in cash or bank transfer or any legal accepted form of payment. 
 
Note 2:    Farmer premium is additional money paid by the first buyer of a certified sustainable cocoa produ ct to compensate the farmer for effort 
made to be in complia nce with ARSO Standar ds. 
 
Note 3: The Recognized Entities also benef it from this farmer premium. 
 
3.17 
impartiality 
presence of objectivity. 
 
Note 1:    Objectivity means that conflicts of interest do not exist, or are resolved so as not to adversely influence subseque nt activities of the 
Certification Body. 
 
Note 2 :   Other terms that are useful in conveying the eleme nt of impartiality include “independen ce”, “freedo m from conflict of interests”,   “freedo m  
from  bias”,  “lack   of   prejudice”,   “neutrality”,   “fairness”,   “open  mindedn ess”,   “even-handednes s”, “de tachment”, “balance”. 
 
3.18 
non-conformity 
non-compliance with a requirement. 
 
3.19 
object 
anything  that  can  be  perceived  or  designed.  (Example:  Product,  service,  process,  person, 
organization, system, resource).  
(ISO 9000: 2015, 3.6.1) 
 
3.20 
peer assessment 
assessment of a body against specified requirements (3.24)  by representatives of other bodies in, or 
candidates for, an agreement group  
Note 1: “Cand idates” are included for the situation wher e a new group is being formed, at which time there would be no bodies in the group . 
 
Note 2: The  term “peer assessment” is sometimes referred to as “peer evaluation”. 
 
(ISO/IEC 17000: 2020 6.7) 
 
3.21  
procedure 
specified way to carry out an activity or process. 
 
Note: procedures can be documented or not 
 DGS IG 3:2023 
 
 
 (ISO 9000: 2015, 3.4.5.) 
 
3.22 
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. 
 
3.23 
scope of certificati on 
identification of: 
⎯ the product(s), process(es), service(s), cocoa field(s) or farm(s), or management systems for wh ich 
the certification is grant ed; 
 
⎯ the applicable Certification Scheme; 
 ⎯ the standard(s) and other norma tive document(s), including their date of publication, to which it is judged 
that the product(s), process(es), service(s) or management systems comply. 
 
3.24 
specified  requirement  
need or expectation that is stated 
 
Note  1:  Specified  requirements  can  be  stated  in  normative  documents  such  as  regulations,  standard s  and  technical specifications. 
 
Note 2: Specified requirements can be detailed or genera l. (ISO/IEC 17000 :2020 , 5.1.). 
3.25 
supe rvisory  council  
body  established by Governm ent or  relevant authority consisting of  independent members who 
represent interested parties. 
 
3.26 
surveillance audit 
systematic iteration of conformity assessment activities as a basis for maintaining the validity of the 
statement of conformity. 
 
3.27 
third-party mark of conformity 
prote cted mark issued by a body performing third-party conformity assessment (3.13), indicating that an object 
(3.19) of conformity assessment (3.13) (product, pro cess, person, system or body) is in conformity with 
specified requirements (3.24). 
 
Note 1: A protected mark is a  mark legally protected against unau thorized use. 
 
Note 2: The specified requirements are genera lly stated in “normative” documents such as International Standards , regional or national standards ,  
regulations and specifications. 
 
3.28  
verification 
control mechanism or process with objective evidence that demonstrate that specified requirements have 
been met. 
 
 
3.29  
recertification 
third-party certificate granted regarding a new criterion after obtaining Bronze or Silver certificates. 
Recertification audit takes place every 5 years and each time relates to new criteria. 
 
Note 1: Refer to Annex D. 
 
 
 DGS IG 3:2023 
 
 
 ARS 1000 -3  
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. 
 
Guidance  
The Regulator (COCOBOD) should setup a unit to coordinate the implementation of ARS 1000 series, including a 
national cocoa certification scheme in which certification bodies shall participate in as well as define necessary 
steps certification bodies must take to be licensed.  
Year of Application  
Year 1  
 
  
  
 
ARS 1000 -3  
4.2       The Regulator/Legal Entity shall be independent of certified clients and cocoa chain actors a nd 
shall not influence the certification decision. 
Guidance  
The unit shall be independent, impartial and be responsible for evaluating the performance of certification bodies 
and make recommendation to the Supervisory Council.  
Year of Application  
Year 1  
 
 
 
ARS 1000 -3  
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  that  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 relationship that threatens the impartiality of the Regu lator/Lega l Entity can be based on owner ship, governan ce, manage ment, personne l, 
shared resources, finances, contracts, marketing (including brand ing), and payment of  a sales commission or other inducement for the referral of 
new clients, etc. 
Guidance  
The unit should develop a risk management tool and maintain a registry of risk that may affect its integrity in the 
discharge of its duties. If a risk is identified, the unit should put in place mitigation measures to minimize such risks. 
Such risk should include those th at arise from its activities, relationships or relationships of its personnel.  
 
The unit should communicate the impartiality policy to all stakeholders and should be responsible for monitoring 
and evaluation of the implementation of the policy.  
The unit sh ould ensure periodic review of the policy.  
 
Complaints regarding the abuse of the impartiality policy should be made to the Regulator in the first instance 
and may be escalated to the Supervisory Council where the complainant is dissatisfied.  
Year of Application  
Year 1  
 
 
ARS 1000 -3  
4.4       The Regulator/Legal Entity shall have an independent Supervisory Council appointed by the 
Governme nt. The composition of the independent Supervisory Council shall be transparent. 
 
Guidance  
 Government acting through the ministry with oversight responsibility over cocoa industry should appoint members 
of the council. There should be fair representation of stakeholder groups in the cocoa sector including farmers, 
LBCs,  Scheme Owners,  CBs, COCOBOD, Private sector, CSOs, MOFA, MOTI, MOFEP. The head of the Unit will 
serve as the Secretary of the Supervisory Council. The Chair of the Council should not be from Regulator.  
Appointment of members of the independent Supervisory Council should be based on merit and competence. 
Members appointed should not be below the rank of Director or its equivalent.  The responsible ministry should  
write to the stakeholder groups requesting for their reps on the S upervisory  Council . 
 
Year of Application  
Year 1  
 
 
 
  
  
ARS 1000 -3  
4.5      The Supervisory Cou ncil 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 fun ctions that can influence 
the outcome of certification decisions. 
 
Note:  Examples  of  conflicts  are  personal  involvement  in  complaints,  appea ls,  finances,  contracts,  marketing  (including brand ing), payment of a 
commission, fraud and bribery, etc. 
 
Guidance  
Members of the Council should declare any issues that may compromise their objective judgement as 
well as sign a conflict of interest declaration form. Signed forms should be kept in the relevant unit of 
the regulator.  The unit will develop a policy that will govern the tenure, TORs, voting protocol, etc. for 
the SC. This policy will be approved by the responsible Ministry . 
Year of Application  
Year 1  
 
 
ARS 1000 -3  
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; 
 
b) overseeing the risk management policies and processes associated with ensuring impartiality 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  actions 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. 
 
Guidance  
The Unit should develop the TORs of the SC based this clause [4.6]  
Year of Application  
Year 1  
 
 
ARS 1000 -3  
4.7 The  Regulator/Legal  Entity  shall  have  a  sufficient  number  of  competent  personnel  to 
effectively perform its activities. 
Guidance  
The unit should have an adequate number of competent staff to effectively perform its activities.  
Year of Application  
Year 1  
 
ARS 1000 -3  
4.8 The regulator should clearly define the skills required for its staff, in particular those involved in 
standard setting functions and overseeing certification bodies. 
Guidance  
The Regulator/Legal Entity should provide training for its staff to ensure they have the necessary demonstrable 
skills and knowledge to perform their roles.  
Year of Application   
 Year 1  
 
 
 
ARS 1000 -3  
5         Scheme development and man agement  
 
5.1        The Regulator/Legal Entity shall be responsible for developing and maintaining its Certification 
Scheme in accordance with this Standard. 
Guidance  
The Regulator with inputs from stakeholders should be responsible for development of the certification scheme.  
 
The Regulator should also develop the standard operating procedures (SOPs) for auditing the standards and 
ensure the integrity of the scheme is fully maintained throughout the supply chain.  
Year of Application  
Year 1  
 
ARS 1000 -3  
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: Genera l Guidance for the development and operation of schemes is given in ISO/IEC 17067 . 
Guidance  
 The Unit should oversee the development, operationalization and maintenance of the scheme. The structure 
would clearly indicate who would be responsible for what. The Regulator would take steps to communicate this 
structure to stakeholders and provide ade quate information about where stakeholders can receive enough 
information about the scheme.  
Year of Application  
Year 1  
 
ARS 1000 -3  
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 
Guidance  
 All documented information relating to the operation, maintenance and improvement of the Scheme would be 
extracted and developed alongside the creation of the Scheme.  
 
The certification scheme should consist of various relevant components such as rules fo r CBs, rules for auditing, 
sanctions, claims, grievance mechanism, etc.  
 
 
Consider giving guidance/clarity in terms of what the certification scheme consists of (e.g. this guidance, rules 
for CBs, rules for auditing, sanctions, claims, grievance mechanism,  etc.) 
Year of Application  
Year 1  
 
ARS 1000 -3  
5.4        The Regulator/Legal Entity shall evaluate and manage the risks arising from its activities. 
Guidance  
 The Regulator should develop a risk register to identify possible risks that could hinder the successful 
implementation of the ARS standards in Ghana. Together with stakeholders, the Regulator would develop 
mitigation plan to address these risks. The Regulator should take steps to update the risk register periodically 
and also communicat e to the stakeholders on the status of these risks.   
Year of Application  
Year 1  
  
 ARS 1000 -3  
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 and ISO/IEC 17065 by an accreditation Body operating in accordance with ISO/IEC 17011. 
Guidance  
The Regulator should develop requirements for Certification Bodies for the certification process. The Regulator 
should ensure that the Certification Bodies are accredited to the right ISO/IEC standards. The Regulator should 
take steps to ensure all Certifi cation Bodies have a valid accreditation on an annual basis. The Regulator would 
have a dedicated unit responsible for engaging with CBs and assessing their eligibility to participate in the 
auditing for certification.  
 
Bodies performing audit who do not have accreditation may be approved by the Regulator to carry out audits to 
ARS 1000 series and should be required to commit to a roadmap leading to accreditation within a certain time 
frame. This would be communicated to a ll stakeholders. The procedure and processes for accreditation and 
approval would also be communicated to stakeholders.   
Year of Application  
Year 1  
  
ARS 1000 -3  
5.6 Prior to the selection of the Certification Bodies, the Regulator/Legal Entity must make the latter aware of 
the principles, procedures and all parameters that will enter into the audit before the list of Certification 
Bodies is available. 
Guidance  
 The Regulator should contribute to the capacity building of the Certification Bodies on the standards, 
implementation guide and the procedures needed to successfully audit the ARS standards. All CBs must go 
through this training at the beginning of the implementation of the standards and could be repeated periodically 
at an interval agreed be tween the Certification Bodies and the Regulator. Evidence of these capacity building 
should be recorded and should be one of the requirements for a CB to be approved. The list of accredited CBs 
should be communicated to stakeholders periodically.  
Year of  Application  
Year 1  
   
ARS 1000 -3  
5.7 The Regulator/Legal Entity shall establish criteria for the assessment 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. 
Guidance  
The Regulator should develop a tool and a Standard Operating Procedure (SOP) for objective assessment of the 
Certification Bodies on a periodic basis. The assessment process should be done in a transparent manner with 
the view to improve the system. The outcome of the assessment should be communicated to the CB or client to 
remedy when non conformities are identified by the Regulator.  
Year of Application  
Year 1  
 
 
ARS 1000 -3  
5.8        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. 
Guidance  
 The Regulator should have the opportunity to review and input on the contract between all parties including 
Certification Bodies and entities indicating the rights, responsibilities and liabilities. The Regulator should be 
involved in the dispute resolution mechanisms between all parties. Copies of the signed contracts betw een such 
parties should be kept by the Regulator.  The Regulator should provide contract template or minimum contract 
content for CBs and clients to use. This template/content should publicly available on the Regulator website.  
Year of Application  
Year 1   
  
ARS 1000 -3  
5.9        The Regulator/Legal Entity shall ensure consistency 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. 
Guidance  
 The Regulator together with Certification Bodies should develop compliance criteria (checklist) for conducting 
audits. This compliance criteria should clearly indicate which requirements would be considered as a major 
nonconformity or minor nonconformities. The Regulator should as part of its capacity building programme, work 
with Certification Bodies to train the staff of the CBs on the compliance criteria and its applicability in Ghana. The 
training should also focus on the local context to allow for proper interpretation.  
 
There should be clear sanction regime in place developed by the Regulator in partnership with the CBs. This 
would indicate the sanctions for recognized entities for not complying with the standards. The sanctions regime 
would also indicate the timelines av ailable for an entity to address the non -conformities leading to the lifting of the 
sanctions. For example, the Regulator can have regimes such as Permission to Trade , Cancellation of 
permission to Trade,  Certified, Suspended, Decertified etc.  
 
The sanctio n regime should also clearly indicate what a recognized entity can be entitled/lose when under any of 
the prescribed sanctions and this should be  clearly communicated and applied objectively.  
Year of Application  
Year 1  
 
ARS 1000 -3  
5.10      The Regulator/Legal Entity 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. 
Guidance  
 The Regulator should develop regime and Standard Operating Procedure for sanctions. This should be clearly 
communicated to CBs and recognized entities. The Regulator should contribute to the capacity building of the 
CBs and recognized entities on the sanct ion regime. There should be a complaint and appeal system in place 
both for CBs and recognized entities to ensure that complaints are properly dealt with whenever they come up 
within the chain during the certification process.  
 
The Regulator should remain  objective in these processes to maintain the integrity of the system. A System for 
complaints could be created by the Regulator including a dedicated desk, email, phone number or WhatsApp  
etc. to address such issues. These systems should be designed to pr otect any complainant from victimization or 
intimidation. The system should make it possible for any stakeholder within the supply chain to have enough 
confidence to report any misconduct of a CB or a recognized entity within the chain.  
Year of Applicatio n 
Year 1  
 
 
 
ARS 1000 -3  
5.11      The Regulator/Legal Entity shall establish and maintain a traceability system in order to monitor and 
validate sustainable cocoa as specified in ARS 1000-2. The traceability system should allow the 
Regulator/Legal Entity to control the use of certificates, claims or third-party marks of conformity in 
accordance with this Standard. 
Guidance  
In Ghana, the Cocoa Management System takes care of the traceability system as provided in the standard. 
The Regulator will ensure that the traceability system is well communicated and that capacity of stakeholders 
is adequately built.  
   
  
  
Year of Application  
Year 1  
 
ARS 1000 -3  
5.12      The Regulator /Legal Entity shall have a procedure/ legal document for annual negotiations 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 farmer premiums and cost recovery mechanisms are recorded and verified. 
 
The premium shall be paid in cash or bank transfer or any legally accepted form of payment. 
 
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. 
Guidance  
The Regulator should support the recognized entity by providing a template to form the basis for negotiation of 
farmer premium.  
  
The Recognized entity with input from the Regulator shall have a contract between the first buyer and the 
recognized entity. The contract would indicate a number of clauses including the  
 
▪ agreed volumes;  
▪ quality specifications;  
▪ price, defined according to the requirements of the pricing section;  
▪ amount of Premium to be paid (indicated separately from the price)  
▪ who is responsible for paying the premium and price  
▪ the form of payment, which must be transparent, and traceable;  
▪ the date of the exchange rate to be used in case the payment of the price and the premium is made in 
a different currency;  
▪ the terms and amount of pre -finance, if applicable;  
▪ procedures in case of quality problems;  
▪ terms of delivery using international commercial terms (Incoterms);  
▪ terms of payment according to ARS product standards;  
▪ definition or mentioning of “Forc e Majeure”;  
▪ applicable jurisdiction should be Ghana;  
▪ an alternative dispute resolution mechanism to resolve conflicts.  
▪ Both contracting parties have equal contract termination rights.  
 
The Regulator should share cost of implementing ARS including certifica tion fees as well as other cost related 
to implementation with recognized entities to inform the negotiation of the premium with first buyers.  
 
The system for invoicing should also be clearly indicated. The invoice should indicate the address of the 
recog nized entity and their bank details for receiving the premium from the first buyer.  
 
The Entity with the support of the Regulator shall negotiate farmer premiums with first buyers, over and above 
the base price of cocoa beans, service fees and other relat ed cost.  Additionally, the regulator  should work 
towards getting a minimum premium for sustainably produced cocoa. (further discussion needed)  
 
Upon receipt of the invoice by the first buyer, premium should be paid into the recognized entities’ bank accou nt 
through a bank transfer or cash deposit; whichever is practically possible within 15 working days. All payments 
should be made into a bank account. No cash payment should be permitted from the first buyer to the recognized 
entity to allow for transparen t tracking and auditing of the use of funds.   
  
Upon receipt of the premium by the recognized entity, the recognized entity should ensure that premium is 
expended based on the approved Development Plan by the General Assembly. The leadership of the recogniz ed 
entity should take steps to ensure that needs of members together with cost recoveries if any are done in 
accordance with the approved plans of the recognized entity. The leadership of the recognized entity shall 
communicate and share copies of the appr oved plans with the regulator   
 
The costs of implementation of ARS should be transparent, published on a yearly basis on the Regulator’s 
website as well as the costs structure of the Regulator and who is going to pay/share those costs among the 
Recognized entities, first buyers, or the Regulator itself.   
 
Cost of cocoa beans, service fees and other related cost will be paid directly to the Regulator.  
Year of Application  
Year 1  
 
 
ARS 1000 -3  
5.13      The Regulator/Legal Entity shall make arrangements to protect the confidentiality of information provided 
by the parties involved in the scheme.  
Guidance  
The Regulator should not disclose any confidential information regarding a recognized entity or a CB to another 
party without the consent of the party involved, unless otherwise required by law.  Furthermore, the Regulator 
should put in place relevant measures to protect collected data against unintentional, unlawful, or unauthorized 
access, or theft.  
 
Align with data sharing in ARS 1 000-1  
Year of Application  
Year 1  
 
ARS 1000 -3  
5.14      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/registered farmers  
and  cocoa  supply  chain  actors.  The review  should  include provisions for ensuring that the scheme 
requirements are being applied in a consistent manner. 
Guidance  
The Regulator should have a system in place to make it possible to review the implementation of the Scheme  
periodically to allow for continuous improvement, ensure continuous relevance of the Scheme  and also align with 
changes occurring within the sector. This should be done at least once every two years through stakeholder 
engagements, such as consultations, i nterviews, surveys, etc. The process, period/timelines, stakeholders, 
approaches etc. for the review should be clearly communicated. Results of such engagements may provide inputs 
to ARSO for the review and/or revision standards.  
 
During the review, consul tation with all actors within the supply chain should be well documented and the 
feedback from this consultation properly analyzed and communicated.  The Regulator should at all times work 
with stakeholders to take a decision on these requirements. Stakeho lders together with the Regulator should be 
convinced that such a review would be beneficial to the existence of the scheme.   
Year of Application  
Year 1  
 
ARS 1000 -3  
5.15      The Regulator /Legal Entity shall have a procedure or a defined 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. 
Guidance  
 The Regulator should have a system to allow for review of the scheme. The Regulator should clearly 
communicate when such revised requirements (either new or modified) would be applicable for implementation 
by a recognized entity. This could be do ne by clearly indicating the dates (month and year) at which the  
 respective requirement would be applicable for audit. The applicability could also depend on the stage of the 
recognized entity (bronze, silver or gold). The Regulator during the transition p eriod should contribute to the 
capacity building of recognized entities, CBs and other interested parties to ensure that parties are on the same 
page with the Regulator before the due date of implementation of these requirements. The Regulator should 
alway s take steps to involve all stakeholders in such a review process to make implementation of such 
requirement easy. The Regulator should also ensure that it provides adequate timeframe for the implementation 
of such new or modified requirements to enable re cognized entities and CBs to adjust to the new changes.  
Year of Application  
Year 1  
 
ARS 1000 -3  
5.16      The Regulator/Legal Entity shall engage in periodic peer review of its scheme in accordance with the 
principles of ISO/IEC 17040. The result of this peer review of the scheme shall be available to its 
Supervisory Council and also to the public. 
Guidance  
The peer review should be both in -country and with other countries implementing a similar scheme.   
 
The outcome of the peer review should be objective and transparent. The outcome of the peer review should be 
shared with stakeholders to allow for input an d suggestions for improvements.  
Year of Application  
Year 1  
  
ARS 1000 -3  
5.17      The Regulator /Legal Entity shall describe the specific actions taken or planned to be taken, within a 
defined timeframe, to remedy any identified nonconformities from the peer assessment and to inform 
the Supervisory Council. 
Guidance  
 The Regulator should clearly communicate actions to be taken to resolve any identified non conformities. Plans 
or objective evidence of resolved non conformities can be communicated to stakeholders. This would increase 
the confidence stakeholders have in the scheme as well as ensure continuous improvement.  
Year of Application  
Year 1  
 
 
ARS 1000 -3  
5.18      The Regulator/ Legal Entity shall have the financial stability and resources required to play its role in 
the operation of the scheme. 
Guidance  
 The Regulator would demonstrate its financial stability through the publication of its audited financial report 
annually.  
Year of Application  
Year 1  
 
 
ARS 1000 -3  
6         Publicly available information 
 
The Regulator/Legal Entity shall ensure the following information is maintained and made publicly 
available in a timely 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 that have accredited the Certification Bodies mentioned above in (c);  
  
e)         procedure for control, assessment of  performance and review of  activities of  Certification 
Bodies; 
 
f)          current list of clients, including the issuer and expiry date of their certificates; 
 
g)         list of clients whose certificates have been withdrawn or approved; 
 
h)         policy on premium and cost recovery negotiation(s) and its procedures; 
 
i) policy  on  sanctions  for  noncompliance  to  this  African  Standard  for  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. 
Guidance  
The regulator should ensure that information in a), c), d), f), g) and k) is published annually on a specially 
dedicated website for Certification that would be accessible to the public. The information on the website should 
be kept up to date.  Furthermore, as and when the updates of items c), d), f), g) and k) are available, these should 
be published to facilitate the use of correct, up -to-date information by parties involved.  
 
The regulator  should come up with policy document to Govern the implementation of the ARS 1000 series 
Certification Scheme and this should cover topics such as but not limited to information provided in b), e), h), i) 
and j)  
  
 
Year of Application  
Year 1  
 
ARS 1000 -3  
7         Compla ints and  appeals to Certification Bodies and  the Regulator/Legal Entity 
 
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 appeals 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 about 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 
certification 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 decision on complaints 
and appeals shall not result in any discriminatory actions against the complainant or appellant. 
 
7.5 The Regulator/Legal Entity shall provide an annual summary report to the Supervisory Council, to 
support its role. 
 
Guidance  
The Regulator should have a system that allows CBs or clients of CBs to feel safe to make complaints without 
fear of victimization. This may include the use of relevant communication channels  such as  a suggestion box, 
call centres/phone call, WhatsApp, ema il etc.  
 
The Regulator should have a mechanism for receiving complaints including hotlines, focal persons, complaint 
form, log book, grievance committee, grievance resolution, etc. This mechanism should be communicated to all 
interested parties. Receipt o f complaints should be acknowledged within 14 days and records kept. Complaints 
should be received by a dedicated staff or team and forwarded to the management of the Regulator for action, 
where necessary, and treated in confidence.  
 
Feedback should be pr ovided to the complainant within 14 days of the issue being resolved.  
The Regulator should take steps to ensure that stakeholders are well informed about the opportunity to make 
complaints on the operations of the CBs and the Regulator itself.  
Year of Application  
Year 1  
 
ARS 1000 -3  
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 
17065. Certification Bodies shall permit clients to make claims of product conformity to the 
Certification Scheme in conformity to this African Standard. 
Guidance  
The regulator should ensure that bodies performing audit and certification have the requisite accreditation in 
fulfillment of the specified ISO/IEC. The CB should be able to demonstrate that they have in -house capacity on 
cocoa agronomy and production systems.  
 
Bodies performing audit who do not have accreditation may be given a provisional approva l by the Regulator to 
carry out audits to ARS 1000 series and should be required to obtain  accreditation within a maximum of 2 year . A 
CB with such provisional approval that fails to obtain the necessary accreditation within 2 years will no longer be 
eligible to carry out audits under the Scheme. This arrangement sh ould be transparently communicated to all 
stakeholders. The procedure an d processes for accreditation and approval would also be communicated to 
stakeholders.  
Year of Application  
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 ARS 1000 -3  
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. 
Guidance  
The CB; beyond the non -conformities identified during an audit, should also share identified risks that could lead 
to future non conformities with the recognized entities  and may give recommendations on what should be 
addressed  at no cost to the recognized entity . . The support provided should be documented by recognized 
entity.  
Year o f Application  
Year 1  
 
ARS 1000 -3  
8.1.3     The  Regulator/Legal Entity  shall  determine  the  information needed for  the  application of certification  
 
In case of a change of Certification Body, the client shall notify the Regulator/Legal Entity. The client shall 
inform the new Certification Body prior to the certification and audit of its fulfilment of requirement level and 
status, achievements of conformity with the requirements of this Standard, ARS 1000-1 and ARS 1000-2 within 
the past certification period. The new Certification Body shall verify this with the Regulator/Legal Entity. 
 
Note: Examples of information to be shared with the new Certification Body are certification repor ts and internal auditing reports. 
Guidance  
The Regulator should develop a template for interested parties to use to apply for Certification. This template 
should be easily accessible by all parties, including via the website of the regulator. The Regulator should have 
an internal register with the list  of each recognized entity and their respective CBs. If there is a change of a CB by 
a recongnized entity, the regulator should be notified to update the register.  The recognized entity should always 
share the certification reports and internal auditing re ports w ith the new CB.   
Year of Application  
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ARS 1000 -3  
8.1.4     There shall be a contract between the Certification Body and the Farmer as an Entity/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 contract shall include the scope of 
certification, timeframe and fees.  
Guidance  
The contract would be signed by both parties and copies kept by the Regulator. The Regulator may not be 
automatically involved in the contract dispute. The grievance/complaint mechanism and its escalation process 
of the CB should be handling contract dispu tes as well. When it escalates to the Regulator, then the Regulator 
should be involved.   
The Regulator should provide contract template or minimum contract content for CBs and clients to use. This 
template/content should be publicly available on the Regula tor’s website.  
 
The CB should indicate in the contract the conditions to guarantee a change of scope.  
 
Year of Application  
Year 1  
 
 
ARS 1000 -3  
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 accomplish 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 certification. 
 
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 the 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 w ith a surveillance audit. A Certification Body can decline an extension if the client 
does not provide sufficient evidence that the change in scope is justified. 
Guidance  
 CBs should make publicly available the application process as well as timelines and required information (and 
perhaps include these directly in their application templates). The CB may further prompt the applicant on same 
at the point of submitting the sig ned contract.  
 
Year of Application  
Year 1  
 
ARS 1000 -3  
8.2       Audit cycle for sustainab le cocoa  
 
8.2.1     The Certification Body shall conduct a certification audit to assess all the requirements specified in ARS 
1000-1 and ARS 1000-2, 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 clients at short notice or unannounced as 
necessary following the risk-based approach, or to investigate complaints, or in response to changes, 
or as follow up on suspended clients, if applicable. The unannounced audit should be done within the 
stages of the audit (between initial certification audit and first surveillance audits, between the first and 
second surveillance audit and the second surveillance audit and the renewal audit). 
Guidance  
The Regulator, in maintaining the quality and integrity of the scheme may assign CBs to conduct unannounced audits 
of certified clients.  
Year of Application  
Year 1  
 
 
ARS 1000 -3  
8.2.4   The Certification Body shall identify, in consultation with the Farmer as 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. 
Guidance  
In Ghana, certification and recertification audits should be conducted between June and September each year 
for the main crop and between February and May for the light crop. Recognized entities and CBs have to 
therefore plan their schedules to ensure that audits are completed within this time frame.  
Year of Application  
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ARS 1000 -3  
8.2.5     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. 
Guidance   
 For example, if a recognized entity obtains its initial certificate in January or November, the cocoa produced 
from the previous October or July for main crop season and light crop season respectively, would be considered 
certified. Therefore, the Recogniz ed entity should take steps to ensure that records of all the cocoa produced 
within that period are available and also adheres to the traceability requirements.  
 
The recognized entity should negotiate with the regulator if it wishes for its beans to be he ld beyond the 30 -days 
holding period of the Regulator in anticipation of a positive certification decision.  
Year of Application  
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ARS 1000 -3  
8.2.6     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     Where the initial certification audit leads to a negative certification decision, the client can  
request for a re-audit a minimum of six (6) months after the initial certification audit. 
Guidance  
When a client fails its initial audit, it can request for another audit after a period of six 6 months. The client should 
notify the CB of any change in scope.  
The client need not wait for six (6) months to apply to a different CB, if they believe they can qualify under their 
current scope or a modified scope.  
Year of Application  
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ARS 1000 -3  
8.3       Audit Procedures 
 
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)   reporti ng and recording the actual  audit sample after the au dit. 
 
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 interviewed and witnessed 
Guidance  
The CB should develop an SOP that indicates the audit process. This should be communicated to clients or 
recognized entities to acquaint themselves with the process.  
Year of Application  
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ARS 1000 -3  
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; 
 
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 conditions, 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   scope,   such   as   intermediaries,   transportation   services, 
processing/warehouse services. 
 
Guidance  
Methods to obtain information during audit should be addressed in the SOP indicating the audit process.  
Year of Application  
Year 1  
 
 
  
  
 
 
ARS 1000 -3  
8.5       Time  needed for an au dit 
 
8.5.1     For Farmer as an Entity/Farmer Group/Cooperative, the following minimum time allowances shall 
be respected for on-site audit activities, if necessary, more time must be allocated for: 
 
a)   cocoa fields, a minimum of one-sixth of a man-day, excluding time needed to travel between 
locations; 
 
b)   a management system, one man-day. 
 
c)   one individual interview of employees/workers, the minimum duration is 0.25 hours; 
 
d)   one group interview, the minimum duration is 0.5 hours; 
 
e)    a home visit to a farmer/employee or hired worker, the minimum duration is 0.25 hours. 
 
8.5.2     Depending on the size, the risks, the complexity of the cocoa 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 Certification Body shall record the actual amount of time for each visit and each quality 
management system audit and for each interview.  
 
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 
2200 3 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 manage ment systems and environmental management systems). 
Guidance  
The CB should clearly communicate in writing the time allocation for conducting audits to the recognized entity prior 
to the audit and share with recognized entity the actual amount of time used.  
Year of Application  
Year 1  
 
 
ARS 1000 -3  
8.6       Time frame for resolving nonconformities 
 
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 timeframe, 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 withdrawn, 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. 
Guidance  
The regulator will not allow suspended entities to sign trade contracts with new buyers but may sign new contracts 
with current buyers for no more than 50% of previous or current contracts.   
Year of Application  
Year 1  
 
 
ARS 1000 -3  
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 Entity/ 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. 
Guidance  
The recognized entity should provide the CB with documented evidence of their implementation of corrections and 
corrective actions of any nonconformity. The CB may verify this upon receipt of the documented evidence or during 
the next scheduled or unannounced audit.  
Year of Application  
Year 1  
 
 
ARS 1000 -3  
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. 
Guidance  
Recognized entities that lose their certification would have to wait for six (6) months before requesting for re-
certification with their current CB or a new one.  
Year of Application  
Year 1  
 
ARS 1000 -3  
8.6.5     Prior to the selection of the Certification Bodies , the Regulator /Legal Entity shall make the Certification 
Bodies  aware of the principles, procedures and all the parameters that will be included in the audit before 
any list of Certification Bodies  is made available. 
Guidance  
See Guidance to clause 5.6  
Year of Application  
Year 1  
 
ARS 1000 -3  
8.6.6     Guidelines for the audit shall therefore be signed and countersigned between the Regulator /Legal 
Entity and Certification Bodies . 
 
8.6.7   Before refusing to grant 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. 
Guidance  
Recognized entities may share a copy of their audit reports with the Regulator in seeking support for possible remedy.  
Year of Application  
Year 1  
 
 
ARS 1000 -3  
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 Standard.  
Note: The Farmer as an Entity/ Farmer Group/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 auditors 
 
8.9.1     In addition to the requirements specified in ISO/IEC 17021-1, the Certification Body shall ensure 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 have 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:    Lega l and regulatory requirements can be expressed by the term legal requirements. 
. 
Note 2:    Other requirements may include national, international and sectoral voluntary protocols for environmental reporting. 
 
d) Personnel involved in competence evaluation shall have, as a minimum, equivalent competence to the 
functions being evaluated. 
Guidance  
A certification body that has granted a certificate should notify the certified entity of an upcoming expiry of its 
certification  
Year of Application  
Year 1  
 
 
ARS 1000 -3  
9         Claims 
 
9.1 G eneral 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. claims 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 claims, 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. 
Guidance  
In Ghana, the Regulator allows for claims and the use of third -party marks of conformity. The Regulator should  
in consultation with the ARSO develop/design a mark to indicate conformity to ARS 1000 series. This mark may 
be used on cocoa conforming to ARS 1000 or together with other third -party marks of conformity.    
 
The Regulator should come up with policy, procedures and rules governing claims and third party marks of 
conformity.  
 
The Regulator should approve all marks used for sustainably produced cocoa.  
Year of Application  
Year 1  
 
ARS 1000 -3  
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. 
Guidance  
The Regulator should register the mark of conformity to ARS 1000 series with the Registrar General’s 
Department as a trademark. Any Recognized Entity that uses the mark should have received written approval 
from the Regulator.  
 
The use of any additional t hird-party marks of conformity should also be approved by the Regulator . 
Year of Application  
Year 1  
 
 
ARS 1000 -3  
11       Licensing 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 specified 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 stages of the processes. 
Guidance  
 
Year of Application  
Year 1  
 
   
 Annex A 
(normative) 
 
Check list for dif ferent stages of certification audit 
 
Part 1: Requiremen ts for Cocoa Farmer as Entity/Farmer Group/Coop erative Management 
Systems and Performance 
 
Clause Registration of the 
Farmer as an 
Entity/Farmer 
Group/Cooperative Bronze Level: 
Initial Certi fication 
Audit (12 Months 
After Registration 
of the Farmer as an 
Entity/Farmer 
Group/Cooperative) Silver Level: 
Initial 
Certif ication or 
Recertification 
Audit (5 years 
after Bronze 
certification 
level) Gold Level 
Initial 
Certif ication 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 
12.10  X X 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 DGS IG 3:2023 
 
© GSA  2023 — All rights reserved 28 © GSA  2023 — All rights reserved  
 
 
  
 
 
Part 2: Requiremen ts for Cocoa Quality and Traceability  
 
Clause Bronze Level: Initial 
Certif ication 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 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 © GSA  2023 — All rights reserved 29 © GSA  2023 — 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 calibration 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 (auditors, clients, assurance provider). 
d)         Lack of adequate safeguards to prevent positive or negative bias by auditors. 
 
e) Difficulty  engaging  interested  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 labelling issues). 
g)         Inadequate complaints system. 
h)         Inadequate surveillance system. 
 
i)          Lack of follow-up of nonconformities.DGS IG 3:2023 
 
© GSA  2023 — All rights reserved 30 © GSA  2023 — All rights reserved  
 
 
  
 
Annex C 
(informative) 
 
Risk-based control and review of Certification Bo dies 
 
 
C.1       The Regulator/Legal Entity that prescribes 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 described 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 includes a review 
of the performan ce of Cert ification 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. 
 
 
 
 
 
 
 
 © GSA  2023 — All rights reserved 31 © GSA  2023 — All rights reserved  
 
 
 Annex D 
(normative) 
 
Audit Cy cle – Guida nce for F armer as Entity/Farmer Group/Coo perative and 
Certifi cation Bodi es 
 
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 Gro up/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. Bronze Level Surveillance Audit (Risk- based 
audit) 2.5 years after the Bronze Level Initial Certification Audit. 
 
Farmer   Group/Cooperative   shall   have   established   a 
minimum of 20 % CFDP for the registered farmers. 
3.    Silver Level: Initial or Recertification Audit Farmer as Entity/Farmer Group/Coope rative may choose to 
be initially certified to this Silver Level or do so Five (5) 
years after the Bronze Level Initial Certification Audit. 
 
Farmer Group/Cooperative shall have established a 
minimum of 60 % CFDP for the registered farmers. 
4. Silver Level Surveillance Audit (Risk- based 
audit) 2.5  years  after  the  Silver  Level  Initial  or  Recertification 
Audit. 
 
Farmer   Group/Cooperative   shall   have   established   a 
minimum of 80 % CFDP for the registered farmers. 
5.    Gold Level: Initial or Recertification Audit Farmer as Entity/Farmer Group/Coope rative may choose to 
be initially certified to this Gold Level or do so Five (5) years 
after the Silver Level Initial or Recertification Audit 
 
The Farmer Group/Cooperative shall have established 
100% CFDPs for the registered farmers. 
6. Gold Level  Surveillance Audit (Risk- based 
audit) 2.5 years after the Gold Level Initial or Recertification Audit 
7.    Renewal Audit Every   five   (5)   years   after   the   Gold   Level   Initial   or 
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 Farmer Cooperative. 
 
 
D.3       Progressive  levels  of  certification  shall  be  awarded  based  on  compliance  with  the 
requirements of  the sustainability African Standards ARS 1000-1 and ARS  1000-2. Three  (03) levels 
of certification are established for the Farmer  as entity/Farmer Group/Cooperative.DGS IG 3:2023 
 
© GSA  2023 — All rights reserved 32 © GSA  2023 — All rights reserved  
 
 
  
 
 
a)   Bronze level: Initial level corresponding to the satisfaction of twelve (12) requirements, i.e., 
38% of the requirements 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 1 000-1, and eleven (11), i.e., 100% of the 
requirements of the ARS 1000-2 standard. 
 
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 (Bronze) or intermediate (Silver) 
levels. 
 
D.5.1  the Farmer as Entity/Farmer Group/Cooperative may apply for an intermediate (Silver) or high 
(Gold) 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 the 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 surveillance audit. 
 
 
 
 
 
 
 © GSA  2023 — All rights reserved 33 © GSA  2023 — All rights reserved  
 
 
 Alphab etic index of terms 
 
 
 accreditation 3.1 
 
accreditation body  
3.2 
 
attestation  
3.3 
 
certificate  
3.4 
 
certification  
3.5 
 
certification body  
3.6 
 
certification requirement  
3.7 
 
certification scheme  
3.8 
 
client  
3.9 
 
cocoa supply chain  
3.10 
 
cocoa supply chain actor  
3.11 
 
complaints  
3.12 
 
conformity assessment  
3.13 
 
conformity assessment body  
3.14 
 
decision  
3.15 
 
farmer  premium  
3.16 
 
impartiality  
3.17 
 
non-conformity  
3.18 
 
object  
3.19 
 
peer assessment  
3.20 
 
procedure  
3.21 
 
regulator/legal entity  
3.22 
 
scope of certification  
3.23 
 
specified requirement  
3.24 
 
supervisory council  
3.25 
 
surveillance audit  
3.26 
 
third-party mark of conformity  
3.27 
 
verification  
3.28 
 
recertification  
3.29 DGS IG 3:2023 
 
©GSA  2023 — 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 14001:2015, 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 manage ment systems — Part 1: Requirements 
 
[8] SO/IEC TS 17023:2013, Conformity Assessment — Guidelines for Determining the Dura tion 
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  —  Requirements  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 
product s, processes and services 
 
 
Glossary  
 
1. The Unit…  
2. Confidential information…