RAINFOREST
ALLIANCESUSTAINABLE
AGRICULTURE
STANDARD
FARM REQUIREMENTS
Version 1.2

ABOUT THE RAINFOREST ALLIANCE
The Rainforest Alliance is creating a moresustainable world by using social and market
forces to protect nature and improve the livesof farmers and forest communities.

Document name:

Document code:

Version:Rainforest Alliance Sustainable Agriculture Standard,
Farm Requirements

SA-S-SD-1-V1.2

1.2

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For any question related to the precise meaning of
the information contained in the translation, pleaserefer to the official English version for clarification.

Date of first publication:

Date of revision:

Valid from:

Expires by:June 30th, 2020

January 31st, 2022

July 1st, 2022

Until further notice

Any discrepancies or differences in meaning due totranslation are not binding and have no effect forauditing or certification purposes.

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

Rainforest Alliance Department Standards and Assurance

Approved by
Director of Standards and Assurance

Linked to:
SA-S-SD-2 Rainforest Alliance 2020 Sustainable Agriculture Standard, Supply Chain Requirements
All other annexes, guidances and policies listed in this document.

Replaces:
SA-S-SD-1-V1.1 Rainforest Alliance 2020 Sustainable Agriculture Standard, Farm requirements

The Standard Requirements are binding and must
be complied with for certification.

Applicable to:Country/Region:

Farm certificate holdersAll

Any use of this content including reproduction,
modification, distribution or republication,
without the prior written consent of Rainforest
Alliance is strictly prohibited.

Crops:

SA-S-SD-1-V1.2

All crops in the scope of the Rainforest Alliance certification

Type of certification:
Farm certificate holders

system; please see Certification Rules.

Rainforest Alliance | 2020 Farm Requirements | About

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KEY changes in version 1.2
Overview of key adaptations in this document
SA-S-SD-1-V1.2 Rainforest Alliance Sustainable Agriculture Standard, Farm Requirements, published January 31st, 2022,
compared to
SA-S-SD-1-V1.1 Rainforest Alliance Sustainable Agriculture Standard, Farm Requirements, published January 31st, 2021

Requirement

Subject

ChangeSmart meters andClarification on processes for working with smart meters and indicators.

number
p. 9, 10, 14

indicators
1.1.1

Group management

Addition of indictor on scores of capacity assessment for consistency with requirement 1.1.2.

commitment
1.2.4

Guidance removed

Guidance P
1.2.8

Guidance P: How to use the Group Member Registry, is removed. Guidance is now incorporated in theGroup Member Registry Tool.

Agreement between

Addition that agreements must include group members’ consent for data sharing with the Rainforestgroup and group

Alliance.

members
1.2.12, 1.2.13

Annex added

Annex S17: Annex on Collecting Geolocation Data has been added to provide clarity on the procedure.

1.3.6

Management support

New indicator on number of group members (M/F) that have a business plan for their farm replaces

to Group Members

the indicators on training and support from group management to members on finance,

1.5.1

Grievance mechanism

Amendment. The grievance committee is formed by management and must include at least one

2.1.2

Traceability of certified

This requirement is no longer applicable for small farms in a group as group management is

production

responsible to implement this requirement.

Assessment of living

Amendment to requirement to assess actual net income of group member households and only for a

income against Living

sample of group members.

Income Benchmark

Addition of new indicators covering Average and median net income, Average and median gap to the(self-selected)

Living Income benchmark (monetary and %) and % of producers meeting the Living Income

member/worker representative.

3.1.2

benchmark to replace previous indicator.
The Living Income Tool is replaced by a new assessment approach detailed in Annex S5.
3.1.2

Guidance removed

Guidance Q
3.2.2

3.2.4

Guidance Q: How to use the Living Income Tool, is removed. The adapted Living Income approach does
not require this Guidance

Use of Sustainability

Sustainability Differential may now be spent for the benefit of workers and/or for the producer

Differential for large

him/herself. Replaces Guidance SA-G-SD-22-V1 Use of Sustainability Investments for the benefit of

farms

workers.

Payment of

Amendment. Depending on the crop, next to contractual agreements, commitments may be in place

Sustainability

which specify the amount and other terms around Sustainability Differential.

Differential

SA-S-SD-1-V1.2

Rainforest Alliance | 2020 Farm Requirements | Table of contents

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Key changes continued
Requirement

Subject

ChangeRecording of the

Simplification of the requirement, more specific details are in Annex S14 Shared Responsibility.

number
3.2.6

Sustainability
Differential
3.3.5

Recording of the

Simplification of the requirement, more specific details are in Annex S14 Shared Responsibility.

Sustainability
Investment
3.3.6

Payment of

New requirement added that the responsible certificate holder must have clear contractual

Sustainability

agreements or commitments in place which specify the amount and other terms around

Investments

Sustainability Investments. This requirement now aligns with requirement 3.2.4 requiring the same
contract agreements or commitments for Sustainability Differential.

5.1.5

Assess-and-address

Clarification. In year one of certification, the in-depth risk assessment on address-and-address isfor child labour, forced

required only for medium/high risk issues for child labor and/or forced labor.

labour, discrimination,
workplace violence andharassment
5.3.1

Written contracts for

Clarification that written employment contracts are required for permanent and temporary workers

workers

who are employed for three consecutive months or more.

5.3.3

Minimum wage

Annual inflation correction of wages is removed. This clause is now included as a separate self-

5.3.5

Wage Deductions

Addition to specify that the employer carries out these remittances fully and timely.

5.3.11

Verbal contracts for

Clarification that at least verbal employment contracts are required for permanent and temporary

workers on small farms

workers who are employed for three consecutive months or more.

Written contracts for

Clarification that written employment contracts in the worker’s own language are required forworkers available inpermanent and temporary workers who are employed for one month or more.

selected requirement 5.3.13.

5.3.12

appropriate language
5.3.13

Minimum wage

Annual inflation correction of wages. New self-selected requirement to cover inflation correction

5.4.2

Living Wage

Wage Improvement Plan. Annual Inflation correction of wages is removed.

5.5.2

Overtime

Extension of exceptional circumstances in which additional overtime may be allowed to cover crops

removed form requirements 5.3.3 and 5.4.2.

with a short harvest window of up to 6 weeks.
6.5.6

SA-S-SD-1-V1.2

Rainwater harvesting

Amendment to the use of harvested rainwater to include other agricultural purposes beyond irrigation.

Rainforest Alliance | 2020 Farm Requirements | Table of contents

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TABLE OF CONTENTSINTRODUCTION

6CHAPTER 4: FARMING

44

Our Vision2020 Certification Program
Structure of the Farm RequirementsCore Requirements and Understanding
Smart Meters
Overview of the Farm Requirements
Certification process
Overview of the Improvement Process
Longer Term Outcomes

6
7
8
9
11
12
15
16

4.1
4.2
4.3
4.4
4.5
4.6

45
46
47
48
50
52

Using This Document

17

CHAPTER 1: MANAGEMENT

18

1.1
1.2
1.3
1.4
1.5
1.6

Management
Administration
Risk Assessment and Management Plan
Internal Inspection and Self-Assessment
Grievance Mechanism
Gender Equality

20
21
25
27
29
30

1.7

Young Farmers and Workers

32

CHAPTER 2: TRACEABLITY

33

2.1 Traceability
2.2 Traceability in the Online Platform

34
36

2.3 Mass Balance

37

CHAPTER 3: INCOME AND
SHARED RESPONSIBILITY

38

3.1 Production Costs and Living Income
3.2 Sustainability Differential

39
40

3.3 Sustainability Investments

42

SA-S-SD-1-V1.2

Planting and Rotation
Pruning and Renovation of Tree Crops
Genetically Modified Organisms (GMOs)
Soil Fertility and Conservation
Integrated Pest Management (IPM)
Agrochemicals Management

4.7 Harvest and Post-Harvest Practices

56

CHAPTER 5: SOCIAL

57

5.1 Assess-and-Address Child Labor,
Forced Labor, Discrimination, Workplace
Violence and Harassment
5.2 Freedom of Association andCollective Bargaining
5.3 Wages and Contracts
5.4 Living Wage
5.5 Working Conditions
5.6 Health and Safety
5.7 Housing and Living Conditions

63
64
68
69
71
74

5.8 Communities

77

CHAPTER 6: ENVIRONMENT

78

59

6.1 Forests, Other Natural Ecosystems
and Protected Areas
6.2 Conservation and Enhancement
Of Natural Ecosystems and Vegetation
6.3 Riparian Buffers
6.4 Protection of Wildlife and Biodiversity
6.5 Water Management and Conservation
6.6 Wastewater Management
6.7 Waste Management
6.8 Energy Efficiency

81
83
84
85
86
87
88

6.9 Greenhouse Gases Reduction

89

80

Rainforest Alliance | 2020 Farm Requirements | Table of contents

Annexes
S1
S2
S3
S4
S5
S6
S7
S8
S9

S10
S11
S12
S13
S14
S15
S16
S17

Glossary
Management Capacity Assessment Tool
Risk Assessment Tool
Remediation Protocol
Living Income
Traceability
Pesticides Management
Salary Matrix Tool
Methodology for Measuring Remuneration
and Gaps with a Living Wage
Living Wage Benchmarks per Country
Free, Prior and Informed Consent(FPIC) Processes
Additional Details on Requirements
for No-Conversion
Group Member Registry
Shared Responsibility
Additional Details on Conservation and
Restoration Areas Outside Farm Boundaries
Sustainability Investment Plan Template
Collecting Geolocation Data

Guidances (non-binding)N
O

General Guide
How to use the Management Capacity Assessment Tool
Template of Management Plan
Creating a Farm Map
Geolocation Data Requirements And
Risk Maps
Grievance Mechanism
Gender equality
Yield estimation
Integrated Pest Management (IPM) strategy
Pruning
Soil fertility and Conservation
Housing and Living onditions
Assess-and-Address
Natural Ecosystems andVegetation
Energy Efficiency
GHG Emission Reductions

R

Assess-and-Address Monitoring Tool

A
B
C
D
E
F
G
H
I
J
K
L
M

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INTRODUCTIONOUR VISIONREIMAGINING
CERTIFICATION
The merger of the Rainforest Alliance and UTZ in2018 was a natural moment for us to combine ourexperience and develop a strong, forward-looking
approach to certification that is fit for the challenges now facing sustainable agriculture andrelated supply chains.
‘Reimagining certification’ is our long-term vision,
based on a set of core principles: continuous
improvement; data-powered; risk-based
assurance; contextualization; and shared
responsibility.

2020 SUSTAINABLE AGRICULTURE
STANDARD: FARM REQUIREMENTS
The need for sustainable agriculture has neverbeen greater. By providing a practical frameworkfor sustainable agriculture, and a targeted set ofinnovations, the Farm Requirements can help farmers
produce better crops, adapt to climate change,
increase their productivity, set goals to achieve theirsustainability performance and target investments toaddress their greatest risks. The Farm Requirements
are designed to support certificate holders tomaximize the positive social, environmental, andeconomic impact of agriculture, while offering
farmers an enhanced framework to improve theirlivelihoods and protect the landscapes where they
live and work.

The Farm Requirements and Supply Chain
Requirements together form the Rainforest Alliance
Sustainable Agriculture Standard. Requirements thatcan be applicable to farm certificate holders, aretaken up in the Farm Requirements document.
Requirements that can be applicable to supply
chain certificate holders, are taken up in the Supply
Chain Requirements document. This means thenumbering in each of these two documents canshow gaps.

As the first step towards our Reimagining Certification
vision, the Farm Requirements of the Sustainable
Agriculture Standard introduce a number of innovations, such as a contextualized package ofrequirements adapted to the circumstances of eachcertificate holder, strengthened risk assessment to
identify and manage sustainability risks, and shared
responsibility requirements to reward farmers forsustainable production and target investments toachieve sustainability goals. A detailed exploration ofthese innovations can be found in the ‘2020 Sustainable Agriculture Standard – Introduction’ document
available from the Rainforest Alliance website.

The Rainforest Alliance is a full member of ISEAL.
The 2020 Sustainable Agriculture Standard has
been developed, for the relevant parts, in accordance with the ISEAL Standard-Setting Code ofGood Practice, ensuring that the documents are
relevant, transparent, and reflecting a balanceof stakeholder interests.

Rainforest Alliance | 2020 Farm Requirements | Introduction
SA-S-SD-1-V1.2

STANDARD
DEVELOPMENT

6 OF 89

2020 CERTIFICATION PROGRAM
The Rainforest Alliance 2020 Certification Programprovides the foundation for our approach toreimagining certification. The new standard,
assurance system and related data andtechnology systems are designed to deliver morevalue to the many people and businesses aroundthe world that use Rainforest Alliance certification
as an essential tool to support sustainable

SUSTAINABLE
AGRICULTURE STANDARDFARMREQUIREMENTS

SUPPLY CHAINREQUIREMENTS

Annexes (binding):
Compliance with the content of the annexes is required in order to be certified.
Guidances (non-binding):
Documents to help users understand, interpret and implement the requirements,
but are not binding for audits.

ASSURANCESYSTEM• Certification Rules to set out how
auditors evaluate compliancewith the farm and supply chain
requirements• Auditing Rules to ensure that
Certification Bodies consistently
deliver Rainforest Alliance auditsof the highest quality• Rules for Authorizing Certification
Bodies to determine which organizations can carry out audits against
the new Rainforest Alliance standard• Rules for Certification Bodies’
Personnel

Rainforest Alliance | 2020 Farm Requirements | Introduction
SA-S-SD-1-V1.2

agricultural production and supply chains.
Our 2020 Certification Program is made up of
three principal components that are designed
to work closely with each other:

DATA SYSTEMSAND TOOLS

Certificate holders at Farm andSupply Chain level will register
for membership, manage audit
processes and record sales
transactions of certified products
in a new IT platform.
New IT-based tools will
progressively be made available tofarmers, certificate holders andsupply chain actors to better trackand manage sustainability
performance against therequirements of the Sustainable
Agriculture Standard.

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STRUCTURE OF THE FARM REQUIREMENTS
Our certification program is designed for producers
who are committed to sustainable agriculture, andcontinuous improvement isa fundamental tenet of sustainability: the farmrequirements aim to serve these aims. In addition

to prescribing practices, the focus is on enabling
and measuring improvements towards sustainability outcomes. The Farm Requirements include
three different types of requirements – core,mandatory improvements, and self-selected

requirements. All topics have pass/failrequirements. On top of this, a number of‘Smart Meters’ have been added.

REQUIREMENT TYPECOMPLIANCE MEASUREMENTCORE REQUIREMENTS
These are requirements that always have to be met in order to achieve certification.
Most core requirements prescribe good practices with respect to key sustainability
risk topics and are formulated as compliance requirements (a binary pass/fail).

• Always pass/fail• In some cases, the core requirement will containa set threshold (e.g. payment of minimum wage)that must be measured and reported against.

IMPROVEMENTREQUIREMENTS
Designed to further
promote and measureprogress.

• Some requirements are pass/fail – andimprovements are in steps - Level 1 (year 3) and Level
2 (year 6)

MANDATORY IMPROVEMENT REQUIREMENTS
Need to be included in the standard complianceas the producer or producer group advances on
its journey to sustainability.

• Some are Smart Meters, measuring indicators, setting
targets and implementing improvement actions

SELF-SELECTED IMPROVEMENT REQUIREMENTS
Chosen by certificate holders based on their own
risk assessment or aspirations. The selection may
depend on external support received for a certain
improvement, such as renovation of tree crops.

Rainforest Alliance | 2020 Farm Requirements | Introduction
SA-S-SD-1-V1.2• Some are pass/fail, with no levels.
• Certificate holder defines if and when to comply• Some are Smart Meters, measuring indicators

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CORE REQUIREMENTS AND UNDERSTANDING SMART METERS
The foundation of this document can be found inits core requirements, which address fundamental
areas of sustainable agriculture. These always
have to be met in order to achieve certification,
similar to the critical or mandatory requirementsof the previous Rainforest Alliance and UTZ
standards. The core requirements prescribe goodpractices with respect to key sustainability topics andare formulated as pass/fail requirements, sometimes
containing a set threshold. Also, there are mandatory
improvement requirements with a pass/fall approach.
However, our Reimagining Certification vision aims
to go beyond the traditional ‘pass/fail’ approachof sustainability standards, and towards promoting
continuous improvement, through insights from
data, and a more accurate measurement ofprogress. To this end, we have introduced a new
approach to requirements – Smart Meters.

TARGET

IMPROVEMENTA
Smart meters 1.1.2 and 5.4.4:
PRODUCER CONDUCTS BASELINEMEASUREMENT OF THE SMART
METERS
AUDITOR CHECKS QUALITY
OF BASELINE MEASUREMENTPREPARATIONB
All other smart meters:
CERTIFICATE HOLDER SETS
TARGETS FOR YEAR 3, DEFINESACTIONS IN MANAGEMENT PLAN,
IMPLEMENTS THE ACTIONSCPRODUCER MEASURESINDICATORS YEARLY TO
ASSESS PROGRESS AND
ADAPTS ACTIONS IF NEEDEDAUDITOR CHECKS WHETHERTARGET HAS BEEN SET AND
ACTIONS ARE DEFINED IN PLAN

YEAR 1YEAR 2

YEAR 3Rainforest Alliance | 2020 Farm Requirements | Introduction
SA-S-SD-1-V1.2

MEASURED INDICATORYEAR 4

YEAR 5YEAR 69 OF 89

How Smart Meters work
Smart Meters aim to give farmers a structured
way to incorporate continuous improvementon context-specific data.
Smart Meters do not have predefined targets set
by the Rainforest Alliance. Instead, the producers
themselves set the targets for these indicatorsand define the adequate actions to take to realize
these improvements.
Producers conduct a baseline assessment anddefine targets for these indicators in the
preparation phase (for smart meters 1.1.2 and5.4.4) or year 1 (for the other smart meters), planand implement actions to achieve the targets, andthen monitor progress towards the targets.
Producers use the indicator data to reflect yearlyon the progress, and to adapt the activities incase no or little progress is shown. This provides
producers with a feedback loop so that they cancontinuously improve their practices.

Auditing of Smart Meter Data
• For the mandatory smart meter indicators: thequality of the data and the actions undertaken
will be verified through the assurance process.
The measured level of the indicator data will not
influence the certification decision. However,
if no data have been collected, or if the qualityof the data is very low, this may haveconsequences for certification. The Rainforest
Alliance will use the indicator data for learning
purposes, and to establish the context and crop
specific optimum levels for these indicators, tobe used by the certificate holders as a reference
for their improvements.
• For the self-selected smart meter improvements,
data on the smart meters that have beenverified, may be published certificate holder on
their profile or in other external communication
if they wish.
The certification body checks whether the baseline
and subsequent yearly measurements have been
conducted and then will verify the quality of thedata. The surveillance audits check whether the
yearly monitoring and use of the data for learning
takes place. The objective of these surveillance
audits regarding the smart meter requirements isto provide feedback to the certificate holders on
the quality and the use of the data for learningand improving

Rainforest Alliance | 2020 Farm Requirements | Introduction
SA-S-SD-1-V1.2

Certificate Holder profiles
A certificate holder profile for farms and groups
is another innovation that will be used tocommunicate sustainability performance andimprovements. Certificate Holder profiles will be
shaped by data and indicators from the standard,
and will allow producers to demonstrate theirresults, challenges, and improvements. The profile
can become a valuable tool to drive continuous
improvement, empower producers, build demandfor certified product, and channel supply chain
investments.

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OVERVIEW OF THE FARM REQUIREMENTS
1. Management

5. Social
5.1

Assess-and-Address Child Labor, Forced Labor,
Discrimination, Workplace Violence and Harassment

Risk Assessment and Management Plan

5.2

Freedom of Association and Collective Bargaining

1.4

Internal Inspection and Self-Assessment

5.3

Wages and Contracts

1.5

Grievance Mechanism

5.4

Living Wage

1.6

Gender Equality

Smart Meter

5.5

Working Conditions

1.7

Young Farmers and Workers

Self-selected

5.6

Health and Safety

2. Traceability

5.7

Housing and Living Conditions

2.1

Traceability

5.8

Communities

2.2

Traceability in the Online Platform

6. Environment

2.3

Mass Balance

6.1

Forests, other Natural Ecosystems and Protected Areas

6.2

Conservation and Enhancement of Natural Ecosystems
and Vegetation

1.1

Management

1.2

Administration

1.3

Smart Meter

3. Income and shared responsibility
Self-selected

Smart Meter

Smart Meter

Smart Meter

3.1

Production Costs and Living Income

3.2

Sustainability Differential

6.3

Riparian Buffers

3.3

Sustainability Investments

6.4

Protection of Wildlife and Biodiversity

4. Farming

6.5

Water Management and Conservation

4.1

Planting and Rotation

6.6

Wastewater Management

4.2

Pruning and Renovation of Tree Crops

6.7

Waste Management

4.3

Genetically Modified Organisms (GMOs)

6.8

Energy Efficiency

Smart Meter

4.4

Soil Fertility and Conservation

Smart Meter

6.9

Greenhouse Gas Reduction

Self-selected

4.5

Integrated Pest Management (IPM)

Smart Meter

4.6

Agrochemicals Management

4.7

Harvest and Post-Harvest Practices

Smart Meter

Rainforest Alliance | 2020 Farm Requirements | Introduction
SA-S-SD-1-V1.2

Smart Meter

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CERTIFICATION PROCESS
Users of the Farm Requirements go througha number of key steps on the certification journey.

SA-S-SD-1-V1.2

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Applicability and Contextualization Framework
The first step towards Rainforest Alliancecertification is registration in Rainforest Alliance’s
Multitrace system. This is done by farms andgroups of farms that are interested in becoming
certified, and also by farms that have alreadybeen certified in the earlier UTZ and Rainforest
Alliance programs.
Once they have been registered, they will receivea digital contextualized standard, which can also
be downloaded for offline use. This means they will
receive a list of applicable requirements based on
the risk profile for their country and the type of
certificate. For example, a group of small cocoa
farmers, who are seeking to achieve Rainforest
Alliance certification, will receive the requirementsthat apply to “Small Farms” and to “GroupManagement”, but will not receive therequirements applicable for large farms.
They will see both the core requirements to comply
with for the first certification audit, as well as the
mandatory Smart Meters and improvement
requirements to comply with over time. The
self-selected requirements will be included in thisoverview as optional requirements.
The Rainforest Alliance provides a customized
package with the training guidance, the Risk
Assessment Tool and the Management Capacity
Assessment Tool (for groups).

Preparation
The preparation phase starts with the producer
conducting a preparatory assessment, which
includes an initial assessment of risks, gaps andbaseline.
The basic risk assessment provides insight into themore pressing aspects that producers can focus
on in order to achieve certification, and in the gapsthat need to be bridged to reach compliance withthe standard. The Management Capacity
Assessment Tool will be used by groups of small
farms to identify the areas to strengthen
management capacities.
These preparatory assessments and other sourcesof information, such as maps of farm units, areused as input to draft an initial management plan,
describing the actions to be taken to reachcompliance with the core requirements of thestandard. Subsequently, the producer will conduct
internal inspections to assess compliance of groupmembers with the standard (in the caseof a group), and to conduct the baseline for theapplicable smart meters. Before the external
audit takes place, the groups and individual
farms need to conduct a self-assessment toevaluate the compliance with the standard.
Note: the different parts of the risk assessment,
including the basic and in-depth risk assessment,
the gender and climate risk assessment, are all
included in the Risk Assessment Tool.

Rainforest Alliance | 2020 Farm Requirements | Introduction
SA-S-SD-1-V1.2

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Audits
Rainforest Alliance farm certification operates ona three-yearly cycle. It begins with the preparation
phase, and year 1 starts after the first positive
certification audit.
a. Certification Audits
After this preparation phase, the producer has thefirst certification audit carried out by anindependent audit organization. If the audit ispassed, the first year of certification starts. For the
first certification audit all certificate holders mustcomply with all core requirements applicable totheir category (small or large farms, individual
or group).
The in-depth risk assessment will be the firstaction. This includes an in-depth gender assessment, as well as an in-depth assessment of therisks on child labor, forced labor, discrimination
and workplace violence and harassment. For
group certification, this in-depth assess-andaddress assessment is mandatory only if there is amedium/high risk of child labor or forced labor.
This in-depth risk assessment also includes a
climate change risk assessment as a selfselected improvement requirement.
The internal inspections will be conducted yearly,
with a focus on the topics identified in the risk
assessment, the results of earlier inspections, andthe data gathering for the smart meters.

b. Surveillance Audits
In the two years between Certification Audits,
Surveillance Audits are carried out. These audits
have a number of objectives:• To verify whether the management system of
the organization is still ensuring complianceof all activities falling under its responsibility•

To monitor progress on improvements.

Using the indicators, producers can show the
progress made. In the event that a producer has
not managed to make progress, they can explain
the causes of this situation and the activities
undertaken to work on this improvement. If they
are not able to show this effort, this will lead toa non-conformity or decertification.

Small farms that make use of any type of hired
labor equivalent to five or more full-time workers
on a yearly basis, need to comply with additional
requirements (see Annex S1 Glossary).

Reporting indicator data
Producers yearly report their indicator data to
the Rainforest Alliance.
Scope of the requirements
The scope of the Farm requirements is thewhole farm.
Chapter 4, Farming focuses on the certified crop,
except for the requirements on Integrated Pest
Management and pesticides which apply to thewhole farm.

Rainforest Alliance | 2020 Farm Requirements | Introduction
SA-S-SD-1-V1.2

Small farms
For this standard the following descriptionof small farms is used:
Small farms are small-scale agricultural producers
that primarily rely on family or household labor orworkforce exchange with other members of thecommunity. They might hire temporary workers
for seasonal tasks or even hire (few) permanent
workers. Small farmers are usually organized ina group to be certified and rely on the groupmanagement for record development andrecord keeping.

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OVERVIEW OF THE IMPROVEMENT PROCESS

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LONGER TERM OUTCOMES
Livelihoods are improved and humanrights are fully respected for farmers
and farm workers, their families, andlocal communities

Management and shared
responsibility

Farming

SocialEnvironment

Group management is more effective at
providing services and supporting improvement based on group members’ needs
and risks

Farm resilience is increased through climatechange adaptation, diversification, and othermeasuresChild labor, forced labor, discrimination andworkplace violence and harassment are
effectively assessed, prevented andremediated

Forests and other natural ecosystems on
certified production units are effectively
protected and restored

Farmers and workers are more knowledgeable about sustainability issues andpractices

Outcomes

Forests and natural ecosystems areprotected and restored, biodiversity andecosystem services are conserved, andclimate change is mitigatedStrengthened position and capacities ofyoung and female farmers and workers
Group management channels the sustainability differential effectively to groupmembers and farm management spends
SD in the benefit of workers

Soil fertility, water resources, and otherecosystem services are maintained orenhanced
Farmers have optimized crop productivity,
input use efficiency, and profitability
Reduced environmental and health risks frompesticides

Other human rights of farmers, workers, andcommunities are fully respected

Effective group management andsupporting field intervention contribute toprotection and restoration of forests andother natural ecosystems in the surrounding
landscape

Farm workers and their families enjoy healthyand safe living and working conditions

Natural vegetation on farms is maintainedand enhanced

Farmers, workers and their families enjoy an
improved standard of living [toward the
Living Wage or living income level]

Sustainability Investment is effectively usedby farms and groups to support key
sustainability practices and improvements

Increased protection of wildlife andbiodiversity
Increased efficiency in water and energy use
and reduced wastewater and solid waste
pollution
Reduced on-farm greenhouse gas emissions

Traceability

Supply Chain outcomes

Increased credibility of assurance andResponsible business practices are instituted

traceability of certified products

through companies’ entire supply chains

Human rights are fully respected on
operations within the supply chain of thecertified crop

Reduction of environmental risks on
operations within the supply chain of thecertified crop

Legend for the outcome’s tables in this document
Longer term outcomes
and impact

Outcomes of the standard

Principles for the

Principles for the

Principles for the self-selected

mandatory improvements

core requirements

improvements

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USING THIS DOCUMENT
Navigating around the Farm Requirements
The Sustainable Agriculture Standard Farm Requirements document is divided into six chapters, each centred around a specific area – farm management,
traceability, income and shared responsibility, farming, social and environment. The requirements in each chapter are presented in tables like the one below.

Topic name------------

1.1 MANAGEMENTCore requirement:------------

No.

has to be compliedCore requirements

S-farms

1.1.1

Mandatory Smart Meter

1.1.2(Text requirement)------------

No.

Mandatory Improvement(Text requirement)------------

1.1.3
L1

----

No.

Self-selected Requirements

1.1.4(Text requirement)------------

Mandatory Improvement:
has to be complied with fromthe indicated time

L-farms(Text requirement)

No.

Mandatory Smart Meter:
measured each year,
from year one onwards

Level 1 (L1) after three yearsof certification.
Level 2 (L2) after six yearsof certification
Self-selected:
Not required. Can be chosen
at any timeInd. cert.
-------

with always

Improvement Level:Group certification------

Group mgt.

S/L

Small farms:
each member of agroup has to comply
with these requirements
Large farms:
each large farm in
the group has tocomply with theserequirements
Group management:group management
is responsible for
implementation ofthese requirements forthe group members
Individual certification:
small or large farms
that are certified
individually have tocomply with theserequirements

Definitions of underlined terms are explained in Annex S1, Glossary

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CHAPTER 1:
MANAGEMENT
Farming is not just a way of life but is also abusiness, and successful business needs
management. The Rainforest Alliance wants to see
certified farms managed in an efficient,transparent, inclusive and economically viable
manner. Here, it is essential that farms and groups
implement an integrated planning andmanagement system, with processes and systems
for continuous improvement. Good planning andmanagement contribute to farm productivity andefficiency, and to reduced environmental impact.
Increased efficiency in the use of land, water,
fertilizers, and pesticides also supports climatechange adaptation and mitigation (Climate
Smart Agriculture).

SA-S-SD-1-V1.2

To help achieve this outcome, the Management
chapter includes topics related to management
capacity, farm and group administration, data
management, sustainability assessment andmanagement planning. Requirements on these
topics follow a process of assessment, planning,
implementation, evaluation, and adjustment.
Based on the Risk Assessment, specific mitigation
and adaptation practices are defined. Farm andgroup administrators play a key role in facilitating
this planning process.
This chapter also includes requirements on thecollection of geolocation data to assure traceability of certified products; that they do not comefrom deforested area nor from protected areas in

Rainforest Alliance | 2020 Farm Requirements | Chapter 1: Management

which production is strictly forbidden. Collectionof GPS polygons provides more accurate data on
farm size, which in turn can also support farmmanagement for instance by facilitating analysis
for volume estimation.
Finally, this chapter includes the cross-cutting
themes of gender and youth participation.
The inclusion of these topics in the management
chapter recognizes the fundamental importanceof these issues, and that they apply to multiple
dimensions of farm and group activity. Rather
than requiring a certain level of gender oryouth participation, the standard encourages
farm-specific and context-specific targets andactivities to reach member’s appropriate goals.

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1. Group management commits to sustainable

Chapter 1 - Farm
Outcomes

agriculture and assesses its capacity
1. Group management capacities are improved

2. Basic data gathered on group members,
workers, (GPS) location of farms
2. Farms have accurate polygon data to improve yield
estimation, farm management and assuranceGroup management is more effective at providing services
and supporting improvement based on group members’
needs and risks

Farmers and workers are more knowledgeable aboutsustainability issues and practices
Strengthened position and capacities of young and female
farmers and workers

4. Internal inspections and self-assessments are implemented
to assess compliance and to inform improvements
4. Digitized internal inspection data forenhanced use and analysis of data
5. Group members, workers, staff and other stakeholders
can safely report violence of human rights and grievanceson any other issues
6. Management commits to improve
gender equality

3. Management conducts risk assessments and develops amanagement plan. Management support group members
and workers with services, including training

6. Participation and decision taking by female

3. Group members are trained and supported to improveaccess to finance and to diversify their income

7. Participation and decision taking by young

farmers and workers is enhanced

farmers and workers is enhanced
Supply chain Outcomes

1. The supply chain actor has devised, adopted and disseminated policies for ensuring responsible business conduct in its
own operations, supply chain and other business relationship

SA-S-SD-1-V1.2

Responsible business practices are instituted throughcompanies’ entire supply chains

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1.1 MANAGEMENT
No.

Core requirements

Group certification
S-farms

1.1.1

L-farms

Group mgt.

Ind. cert.
S/LGroup management demonstrates a commitment to sustainable agriculture by dedicating adequate resources
and staff to the implementation of the Rainforest Alliance Sustainable Agriculture Standard.
Group management assesses at least every three years its management capacity to ensure compliance withthe standard and the ability to make sustainability performance changes. Group management uses theManagement Capacity Assessment Tool that includes the following topics:• Group organization and management structure• Strategic management• Financial management• Member engagement and membership planning• Member training and services provision• Sales and marketing• Internal Management System (IMS)Group management scores a minimum of one point on each of the seven topics of the Management Capacity
Assessment Tool.
Indicator:• Scores on each of the topics of the Management Capacity Assessment Tool

Please see Annex S2: Management Capacity Assessment Tool
Please see Guidance Document A: How to use the Management Capacity Assessment Tool

No.
1.1.2

Mandatory Smart Meter
Group management improves its management capacities, and includes actions in the management plan.
Indicator:• Scores on each of the topics of the Management Capacity Assessment Tool
Please see Guidance Document B: Template of Management Plan

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1.2 ADMINISTRATION
No.

Core requirements

Group certification
S-farms

1.2.1

L-farms

Group mgt.

Ind. cert.
S/LManagement complies with applicable laws and collective bargaining agreements (CBA) within the scopeof the Rainforest Alliance Sustainable Agriculture Standard.
In the case that an applicable law or CBA is stricter than a requirement in the standard, such law or CBA will prevail
unless such law has become obsolete. In the case that an applicable law or CBA is less strict than a requirement in
the standard, the requirement in the standard will prevail, unless the requirement explicitly allows for such law or
CBA to apply.

1.2.2

Mechanisms are in place to ensure that service providers comply with applicable requirements of the
Rainforest Alliance Sustainable Agriculture Standard.
This is valid for service providers that work on field, processing and/or labor provision within the physical limits of the
farm.

1.2.3

There is a list of current subcontractors, suppliers, and intermediaries of certified product that confirms theircompliance to certification rules prior to or at the moment of an activity.
For farms, this list of suppliers refers only to other farms they buy from.

1.2.4

An up-to-date registry of group members is kept, containing for each group member the required informationaccording to the group registry template on the Rainforest Alliance certification platform.
Please see Annex S13: Group Member Registry

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No.

Core requirements

Group certification
S-farms

1.2.5

L-farms

Group mgt.

Ind. cert.
S/L

An up-to-date list of permanent and temporary workers is kept, containing for each worker:••••

Full name
GenderYear of birthStart and end date(s) of employment• Wages
For workers for whom housing is provided, the registry additionally contains:• Housing address• Number of family members• Year of birth of family members

Applicablein case of
average≥ 5 hiredworkers

For children conducting light work (12-14 years) and young workers (15 – 17 years), the registry additionally contains:••••

Housing address
Name and address of parent(s) or legal guardian(s)School registration (if applicable)
Type of work or tasks• The number of daily and weekly working hours
Note on applicability: for supply chain certification, this requirement is only applicable to those certificate
holders that present a high risk in social topics and therefore must comply with the requirements in chapter 5.

1.2.6

An up-to-date list of permanent and temporary workers is kept, containing for each worker:• Full name
• Gender• Year of birth• WagesIlliterate group members can give the above information orally.

1.2.7

SA-S-SD-1-V1.2

Management ensures that wherever the Rainforest Alliance Sustainable Agriculture Standard requires to informworkers or group members, the information is given in the predominant language(s) of the workers or group members.

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No.

Core requirements

Group certification
S-farms

1.2.8

L-farms

Group mgt.

Ind. cert.
S/L

A signed (or marked) agreement is in place between the group and each group member, specifying the rights
and obligations of each party including at least:• The group member’s obligation to comply with the Rainforest Alliance Sustainable Agriculture Standard• The group member’s obligation to accept both internal inspections and external audits and sanctions• The group member’s guarantee that any product sold as certified comes only from their farm
• The group member’s right to appeal decisions made by the group management by using thegrievance procedure• The group member’s agreement to share such member’s farm data with group management andthe Rainforest Alliance for use, publication and sharing as described in the Rainforest Alliance General
Terms and Conditions and its Privacy Policy
Each group member understands the agreement. Agreements are centrally archived, anda copy is available for each group member.

1.2.9

Records for certification purposes and compliance are kept for at least four years.

1.2.10 An up-to-date map of the farm (large farms) or the farm area (group of small farms) is available, including:
•
•
•
•
•
•
•
•

Farms/farm units/production zones
Processing facilities
Human habitation areas
Schools
Medical centres/first aid sites
Natural ecosystems, including water bodies and forests, and other existing natural vegetation
Riparian buffer zones
Agroforestry systems• Protected areas
The map also includes risk areas identified in the Risk Assessment (see 1.3.1). The date of the latest
update is displayed on the map.
Please see Guidance Document C: How to Create a Farm Map

1.2.11

A sketch of the farm is available, including:• The production area of certified crop
• Forests• Water bodies• Buildings

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No.

Core requirements

Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

1.2.12 For 100% of the farms, geolocation data of the largest farm unit with the certified crop is available.
For at least 10% of the farms, this is in the form of a GPS polygon. For all other farms, this can be in the form of
a location point.
Please see Annex S17: Collecting Geolocation Data

Please see Guidance Document D: Geolocation Data Requirements and Risk Maps

1.2.13 A polygon is available of the farm. If the farm has multiple farm units, a polygon is provided for each farm unit.
Please see Annex S17: Collecting Geolocation Data
Please see Guidance Document D: Geolocation Data Requirements and Risk Maps

No.

Mandatory Improvement

Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

1.2.14 Geolocation data is available for 100% of all farm units. At least 30% is in the form of polygons.
L1

Yearly progress on the indicators needs to be shown, corresponding to the target to reach at the end of year three.
Indicator:• % of farm units with geolocation data
• % of farm units with polygons

1.2.15 Polygons are available for 100% of the farm units.
L2

Yearly progress on the indicators needs to be shown, corresponding to the target to reach at the end of year six.
Indicator:• % of farm units with geolocation data
• % of farm units with polygons

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1.3 RISK ASSESSMENT AND MANAGEMENT PLAN
No.

Core requirements

Group certification
S-farms

1.3.1

L-farms

Group mgt.

Ind. cert.
S/LManagement conducts a Risk Assessment in relation to the requirements in this standard, by using the Risk
Assessment Tool, at least every three years. The risk mitigation measures are included in the management plan.
Please see Annex S3: Risk Assessment Tool

1.3.2

Management makes a management plan that includes the goals and actions based on the
Risk Assessment (1.3.1) and self-assessment (1.4.2). For groups, the management plan is additionally based on theManagement Capacity Assessment Tool (1.1.1) and internal inspection (1.4.1). Management reports on theimplementation of the management plan yearly. The management plan is updated yearly.
Please see Guidance Document B: Template of Management Plan

1.3.3

Management provides group members with services based on the management plan. Services can include
training, technical assistance, support in record keeping, access to inputs (e.g., seedlings), awareness-raising
activities, etc.
Management documents the services provided.
Indicators:• # of training activities provided to members• Topics of the training activities• # and % of members attending training activities (M/F)• # and type of services (other than training) provided to members

1.3.4

Management provides workers with services based on the management plan. Services can include
training, awareness-raising activities, etc. Management documents the services provided.
Indicator:• # of training activities provided to workers• Topics of the training activities• # and % of workers attending training activities (M/F)• # and type of services (other than training) provided to workers

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No.

Self-Selected Improvement

Group certification
S-farms

1.3.5

L-farms

Group mgt.

Ind. cert.
S/L

Based on the outcomes of the basic Risk Assessment (1.3.1), management carries out the in-depth climatechange Risk Assessment to assess in more detail climate threats and corresponding mitigation measures
tailored to the regional context.
Please see Annex S3: Risk Assessment Tool

1.3.6

Management supports group members with• Training on finance, business management and understanding production costs and net income• Facilitating access to financial services (e.g., bank account, mobile payment, loans for farm investments)
Indicator:• # of group members (M/F) that have a business plan for their farms

1.3.7

Management supports group members:• To make informed decisions on adequate income diversification strategies• Facilitating access to needed knowledge, inputs, services, markets to enable the implementation of the income
diversification strategies• Extending support to the household and/or community
Indicators:• # and gender of group members that diversify their income through at least one of the following:• other income generating activity (specified per type)• upgrading of the product (e.g., wet processing)

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1.4 INTERNAL INSPECTION AND SELF-ASSESSMENT
No.

Core requirements

Group certification
S-farms

1.4.1

L-farms

Group mgt.

Ind. cert.
S/L

An internal inspection system is in place to assess compliance of group members (for farms), sites, and/or otheractors in scope with the Rainforest Alliance Sustainable Agriculture Standard. The system includes:• Yearly inspection of each group member (for farms), (processing) site and any other actor (including subcontractors, intermediaries, service providers) in the certification scope. Before the first certification audit, all these actors
need to be internally inspected.
• The scope in the first year of certification is: all applicable requirements of the Rainforest Alliance Sustainable
Agriculture Standard• The scope during consecutive years is based on the Risk Assessment (for farms, see 1.3.1), on the previous year’sinternal inspection and on audit results
For farm scope only: a rotation system is in place so that each farm unit is inspected at least every 3 years. In caseof remote farm units, this is done at least every 6 years.
Note on applicability: internal inspections are carried out when more than one entity (group members, sites,
service providers, subcontractors) is included in the certificate.

1.4.2

Management carries out a yearly self-assessment to evaluate its own compliance and that of all actors in its
certification scope with the Rainforest Alliance Sustainable Agriculture Standard.
For farm certificate holders, the self-assessment includes the results of the internal inspections of the groupmembers and other entities covered in the certificate (including subcontractors, intermediaries, service providers,and processing sites).
For multi-site supply chain certificate holders, the self-assessment includes the internal inspections of the sites,
including subcontractors.

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No.

Core requirements

Group certification
S-farms

1.4.3

L-farms

Group mgt.

Ind. cert.
S/L

An approval and sanction system are in place in relation to the compliance of group members (for farms) and/orsites with the Rainforest Alliance Sustainable Agriculture Standard. The system includes:••••

A written approval and sanction procedure
An approval and sanction manager or committee
A mechanism to follow up on group members’/sites’ improvement and corrective measures
A decision on each group member’s/site’s certification status that is signed and documented and included in
the final internal inspection report

1.4.4 The ratio between the number of internal inspectors and farms has to be at least one internal inspector to 250
farms. An internal inspector cannot inspect more than 6 farms per day. Internal inspectors have been trained,
evaluated based on the training content, and have acquired skills on good internal inspection practices.

No.

Mandatory Improvement

1.4.5
L1

Internal inspection data is collected through a device (e.g., phone, tablet, etc.), and used in a digitized
format for at least 30% of the group members.
Indicator:• % of group members whose internal inspection data are collected and used by the group management
in a digitized format.

1.4.6
L2

Internal inspection data is collected through a device (e.g., phone, tablet, etc.), and used
in a digitized format for at least 90% of the group members.
Indicator:• % of group members whose internal inspection data are collected and used by the group management
in a digitized format.

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1.5 GRIEVANCE MECHANISM
No.

Core requirements

Group certification
S-farms

1.5.1

L-farms

Group mgt.

Ind. cert.
S/L

A grievance mechanism is in place that enables individuals, workers, communities, and/or civil society, including
whistle-blowers to raise their complaints of being negatively affected by specific business activities and/or
operations of any nature, including technical, social, or economic nature. The grievance mechanism may be provided directly through collaboration with other companies, or through an industry program or institutionalized mechanism and is in accordance with the United Nations Guiding Principles (UNGPs) on Business and Human Rights.
The grievance mechanism should be accessible, in local languages, and also for those who cannot read or do nothave access to internet. The grievance mechanism should include at least the following elements:• A grievance committee with decision making power, with knowledge about the grievances, that is
impartial, accessible, and gender sensitive• The grievance committee is formed by management, and must include at least one member/worker
representative• The grievance mechanism has appropriate submission channels, for internal and external stakeholders,
including workers, members, staff, buyers, suppliers, indigenous peoples, and communities• Anonymous grievances are accepted, and confidentiality is respected• Human and labor rights grievances are remediated in accordance with the Remediation Protocol, and incollaboration with the Assess-and-address Committee and/or the Gender Committee/Person as
appropriate, depending on the case
• Grievances and agreed follow up actions are documented, and shared with the persons involved withina reasonable timeframe• Submitters of grievances are protected against employment/membership termination, retribution, or threats
as a consequence of using the grievance mechanism
Assess-and-Address Committee (if applicable): see
5.1.1 Gender Committee/Person: see 1.6.1

Please see Annex S4: Remediation Protocol
Please see Guidance Document E: Grievance Mechanism

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1.6 GENDER EQUALITY
No.

Core requirements

Group certification
S-farms

1.6.1

L-farms

Group mgt.

Ind. cert.
S/LManagement commits to promoting gender equality by:• A written statement that is communicated to group members/workers• Appointing a committee that is responsible for the implementation, monitoring, and evaluation of
measures that promote gender equality and women’s empowerment. Management can choose to appointa responsible person instead of a committee, except in the case of large farms.
The responsible committee/person:• Is knowledgeable about gender equality and women’s empowerment• In case of a committee, includes at least one woman and at least one person from management• Is known, accessible and trusted by the group members/workers
Please see Guidance Document F: Gender Equality

1.6.2

The responsible committee/person performs the following activities:• Implements measures that promote gender equality following the basic Risk Assessment (1.3.1) andincludes these measures in the management plan (1.3.2)• Raises awareness on gender equality and women’s empowerment with management and (group) staff
at least annually• Is involved in remediation cases concerning gender-based violence and gender-based discrimination inaccordance with the Remediation Protocol
Please see Annex S3: Risk Assessment Tool
Please see Annex S4: Remediation Protocol

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No.

Mandatory Smart Meter

Group certification
S-farms

1.6.3

L-farms

Group mgt.

Ind. cert.
S/L

From year 1 onwards, the responsible committee/person:• Implements the gender in-depth Risk Assessment Tool and repeats this at least every three years• Prioritizes at least three indicators from the gender in-depth Risk Assessment Tool with their respective
mitigation measures• Incorporates the prioritized mitigation measures in the management plan
• Implements and monitors the mitigation measures• Reports yearly to management on the mitigation measures and the indicators
Please see Annex S3: Risk Assessment Tool

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1.7 YOUNG FARMERS AND WORKERS
No.

Self-Selected Smart Meter

Group certification
S-farms

1.7.1

L-farms

Group mgt.

Ind. cert.
S/LManagement promotes the participation and development of young persons (< 35 years) in farming andmanagement activities.
• It motivates their involvement in farming activities• It supports their skills development, including literacy and numeracy skills• It encourages their participation in training and in decision making• It encourages them to become farmers
Management defines targets for (a selection of) the proposed indicators and monitors yearly the progresson these targets, disaggregated by gender.
Indicators:• # and % of group members that are young persons (under 35 years)• # and % of participants in training that are young persons (under 35 years)• # and % of young trainers (under 35 years)• # and % of young internal inspectors (under 35 years)• # and % of young farmers with access to land (under 35 years)• # and % of young persons (under 35 years) in management positions

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CHAPTER 2:
TRACEABILITY
A successful, credible sustainable agriculture
certification program must be able to provide its
users with the confidence that certified products
are indeed produced according to the standard.
This requires a robust, transparent system to track
products from the farmer along the supply chain
up to the level of the retailer.

1. An accurate estimation, segregation and documentation of
the production is in place to improve the traceability of thecertified products

The requirements in this chapter provide
producers with a framework to accurately
and credibly record the quantities of certified
production within their operations, theirsegregation from non-certified products,
sales transactions, conversion methods,
and trademark use.

Chapter 2 - Farm and Supply chain Outcomes

Increased credibility of assurance andtraceability of certified products

3. For crops for which mass balance is permitted, the rules forselling as certified are enforced

2. All transactions are recorded in the Rainforest Alliance
traceability platform.
Use of the Rainforest Alliance is in accordance with
the Labelling and Trademark Policy

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2.1 TRACEABILITY
No.

Core requirements

Group certification
S-farms

2.1.1

L-farms

Group mgt.

Ind. cert.
S/L

The total certified production and the certified production for each producer (in kg, in stems for flowers) is estimatedonce a year. The calculations are based on a credible methodology for yield estimation (in kg/ha, stems/ ha forflowers) of a representative sample of farms or farm units. The methodology and calculation are documented.
Indicator:• Estimated certified production volume (kg or stems)
Please see Guidance Document G: Yield estimation

2.1.2

Management takes stock annually of:• The total harvested certified production (in kg, in stems for flowers)• The balance of products purchased, produced, sold and in stock
In case the difference between estimated production and actual production is >15 %, a reasonable justification
is given, and measures are taken to prevent such differences from occurring.
For groups, the differences is checked and justified both on the group level and for the individual members.
Indicator:• Total harvested production of the certified crop (kg or stems)

2.1.3

Certified products are visually segregated from non-certified products at all stages, including transport,
storage, and processing.

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No.

Core requirements

Group certification
S-farms

2.1.4

Management has mapped the product flow up to the final location of the certificate scope, including all intermediaries (collection points, transport, processing units, warehouses, etc.) and activities carried out on the
product.

2.1.5

Products that are sold as certified can be traced back to the certified farm(s) where these were produced.

L-farms

Group mgt.

Ind. cert.
S/LManagement keeps purchase and sales documents linked to physical deliveries from the certified, multi-certified
and non-certified products, and management ensures that all intermediaries do the same.
The purchase and sales documents include data, product type, (percentage of) certified volume, group member
and, if relevant, traceability type.
In case of group certification, group management ensures that group members receive a receipt for each delivery
from the group member to the group or an intermediary, specifying name of group member, group member ID,
date, product type and volume.

2.1.6

Shipments of certified products do not exceed the total production (for farms), purchase of certified products plus
remaining stock balance from the previous year.

2.1.7

There is no double selling of volumes: products sold as conventional product or sold under another scheme orsustainability initiative are not also sold as Rainforest Alliance Certified. Selling products which are certified
under more than one scheme is possible.

2.1.8Group members keep sales receipts, including name of group member, group member ID, date, producttype, and volume.

2.1.9

The correct methodology for the calculation of conversion factors is demonstrated and documented
for each certified product and reflected accordingly in the traceability platform.
Please see Annex S6: Traceability

2.1.10SA-S-SD-1-V1.2

Equipment used to define the weight or volume of the certified product is calibrated annually.

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2.2 TRACEABILITY IN THE ONLINE PLATFORM

Applicable to certificate holders working in crops for which online traceability is offered within the Rainforest Alliance Certification Program.
No.

Core requirements

Group certification
S-farms

2.2.1

L-farms

Group mgt.

Ind. cert.
S/L

Volumes sold as certified are recorded in the Rainforest Alliance traceability platform at thelatest two weeks after the end of the quarter within which the shipment took place.
Please see Annex S6: Traceability

2.2.2

Buyers of Rainforest Alliance Certified product have a procedure in place to regularly verify that transactions in the
traceability platform match invoices for certified products purchased and/or shipped.

2.2.3 Volumes not sold as Rainforest Alliance Certified and/or lost are removed from the traceability platform
within two weeks after the end of the quarter in which the shipment took place or volume was lost.
Please see Annex S6: Traceability

2.2.4 In case of public facing trademark use, an approval is obtained in accordance with the Rainforest Alliance Labelling
and Trademarks Policy for on and off product trademarks prior to use.

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2.3 MASS BALANCE
Applicable to certificate holders applying mass balance in the crops that permit the traceability type mass balance.
Please see Annex S6, Traceability
No.

Core requirements

Group certification
S-farms

2.3.1

L-farms

Group mgt.

Ind. cert.
S/L

Volume credits are only converted for a process that can occur in reality; product conversion cannot go
backwards to a previous product.

2.3.2 The volume of product sold as mass balance is 100% covered by volumes purchased as certified.
2.3.3 Volumes sold as certified meet the minimum percentage requirements for origin information.
Please see Annex S6: Traceability

2.3.4 Purchase and sales documentation for volumes sold as certified includes origin information to country level
for incoming certified and non-certified volumes.
Please see Annex S6: Traceability

2.3.5 Credit trading is limited to within a certificate, movement from one certificate to another shall be accompanied by
shipment of relevant product.

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CHAPTER 3:
INCOME AND SHARED RESPONSIBILITY
The Rainforest Alliance aims to make sustainability
the norm in the sectors in which it operates.
This entails a fundamental transformation of
the operating principles of the supply chain in
the given sector – moving to a system where
sustainability in agricultural production is valued
and priced as a material service on top of the costof the commodity and the investments needed toadvance sustainability practices at origin areborne by market and producer.

These aims can be found within two elements ofthe 2020 Sustainable Agriculture Standard. The
first is the Sustainability Differential, a mandatory
monetary payment paid to producers on top of
the market price for the sale of certified crop.
The second is Sustainability Investments which are
made by market actors to contribute to theinvestments needed to drive sustainability
progress at origin.

This chapter starts with two self-selected
requirements on production costs and living
income to enhance the profitability and incomeof farmers. The concept of living income
recognizes the goal that farmers are able toimprove their business profitability and at leastearn an income to allow their families andhouseholds to have a decent standard of living.

Chapter 3 - Farm and Supply chain
Outcomes
1. Net income of group members is assessed against the Living
Income benchmark
Data on costs of production costs are collected to calculate
income2. Group management transfers the sustainability differential
in cash to group members. Farm management uses thesustainability differential to benefit workers

Farmers, workers and their families have an improved
standard of living [toward the Living Wage or living
income level]

3. The buyer of certified products pay the Sustainability
Differential in the form of a cash payment on topof the market priceGroup management channels the sustainability differential
effectively to group members and farm management spends
SD in the benefit of workers

3. The buyer of certified products contribute to the
Sustainability Investment plans of the farms

Sustainability Investment is effectively used by farms andgroups to support key sustainability practices andimprovements

3. Management defines the investments needed to improveon sustainability
3. Group members and workers are consulted on the shared

4. Supply chain actors are contributing with financial
or other type of investment to the wage improvement planof the farms

investments

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3.1 PRODUCTION COSTS AND LIVING INCOME
No.

Self-Selected Improvement

Group certification
S-farms

3.1.1

L-farms

Group mgt.

Ind. cert.
S/LGroup management collects data on the key determinants of the production costs (e.g., costs of fertilizer,
agrochemicals, paid labor, equipment) and calculates the net income from the certified crop for a sample
of group members (i.e., gross income – production costs = net income). The group management shares theanalysed data with the group members.
Indicator:• Production costs per kg of harvested product

3.1.2

The actual net income of group member households is assessed against the Living Income Benchmark for asample of group members.
Indicators:•

Average and median net income•

Average and median gap to the Living Income benchmark (monetary and %)•% of producers meeting the Living Income benchmark
Please see Annex S5: Living Income

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3.2 SUSTAINABILITY DIFFERENTIAL
No.

Core requirements

Group certification
S-farms

3.2.1

L-farms

Group mgt.

Ind. cert.
S/LGroup management transfers the full amount of the Rainforest Alliance Sustainability Differential in cash
or other monetary payment to group members:• Pro-rata, based on volumes delivered• In a timely and convenient manner, at least before the next crop season, or at least once a year in case ofcontinuous harvest
Group management at least annually:• Documents the Rainforest Alliance Sustainability Differential received by volume. Separate records are kept for
Sustainability Differential payments from each buyer which are clearly distinguished from market price, otherpremiums, such as quality premiums or crop and country specific premiums such as the Living Income Differential.
• Communicates to group members the Sustainability Differential received for the certified crop
• Documents the payment of the Rainforest Alliance Sustainability Differential to the group members
Indicators:
Amount of Rainforest Alliance Sustainability Differential received:• Total amount received at group management level• Amount received by volume at group member level

3.2.2 The Rainforest Alliance Sustainability Differential is spent to benefit the producer and/or workers.
Farm management documents at least annually:• The Rainforest Alliance Sustainability Differential received by volume. Separate records are kept for Sustainability
Differential payments from each buyer which are clearly distinguished from market price, other premiums, suchas quality premiums or crop and country specific premiums.
• How the Sustainability Differential has been spent, A) to the benefit of the producer and/or B) to the benefit ofworkers, including the specified categories. If the Sustainability Differential is spent to benefit workers, farmmanagement consults with a representation of workers on priorities and the allocation of the Sustainability
Differential. The Sustainability Differential can be allocated to the following categories: wages, working conditions,health and safety, and housing.
Indicators:• Amount of Rainforest Alliance Sustainability Differential received (total and by volume)• Distribution of the Sustainability Differential as % of the total amount received on A) own use and B) workers
benefits, for the categories a) wages; b) working conditions; c) health and safety

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Core requirements

Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

Applicable to supply chain certificate holders and to farm certificate holders if they are purchasing certified product directly from other farms.
3.2.3 The responsible certificate holders pay the Sustainability Differential in the form of a monetary payment on top of
the market price, quality premiums or other differentials. Sustainability Differential cannot be paid in kind.
Please see Annex S14: Shared Responsibility

3.2.4 The responsible certificate holders have clear contractual agreements or commitments in place which specify
the amount and other terms around Sustainability Differential payment. See Annex S14 for further detail on
applicability.
Please see Annex S14: Shared Responsibility

3.2.5 The full amount of the Sustainability Differential is paid at least annually and no later than payment terms defined for the
relevant crop.
Please see Annex S14: Shared Responsibility

3.2.6 Confirmation of the Sustainability Differential is recorded in the traceability platform.
Please see Annex S14: Shared Responsibility

3.2.7

The Sustainability Differential paid amounts to at least the prescribed minimum, for crops for which a minimum isdefined.
Please see Annex S14: Shared Responsibility

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3.3 SUSTAINABILITY INVESTMENTS
No.

Core requirements

Group certification
S-farms

3.3.1

L-farms

Group mgt.

Ind. cert.
S/LManagement at least annually defines the investments needed to improve sustainability using the Rainforest
Alliance Sustainability Investment plan template.
The management uses the following sources to inform their investment needs:• Management plan (incl. results of Management Capacity Assessment and Risk Assessment)• Audit reports• Internal inspections and self-assessments
Management documents the in-kind and monetary Sustainability Investments received from buyers for thisinvestment plan according to the Rainforest Alliance investment categories.
Indicators:• Investment needs specified per category in the Rainforest Alliance defined investment categories• Sustainability Investments received from buyers• Distribution of the Sustainability Investments against the pre-defined investment categories, as % of the total
amount received
Please see Annex S16: Sustainability Investment Plan Template

No.

Mandatory Improvement

3.3.2 Group management consults yearly with a representation of group members to jointly define the contents of
the investment plan. Group management consults yearly with buyers on their contributions to the investment plan.
L1
3.3.3 Farm management consults yearly with a representation of workers to jointly define the contents of theinvestment plan. Farm management consults yearly with buyers on their contributions to the investment plan.
L1

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Core requirements

Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

Applicable to supply chain certificate holders and to farm certificate holders if they are purchasing certified product directly from other farms.
3.3.4

The full amount of the Sustainability Investment is paid at least annually and no later than payment terms defined forthe relevant crop.

3.3.5

Confirmation of the Sustainability Investment is recorded in the traceability platform.
Please see Annex S14: Shared Responsibility

3.3.6

SA-S-SD-1-V1.2

The certificate holders have clear contractual agreements or commitments in place which specify the amountand other terms around Sustainability Investments. See Annex S14 for further detail on applicability.

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CHAPTER 4:
FARMING
This chapter focuses on the outcomes ofsustainable agriculture, crop productivity andprofitability, and natural resources and ecosystemservices. Included amongst these outcomes are
the goals of Climate Smart Agriculture and foodsecurity: farms and groups mitigate and adapt toclimate change and increase their resiliency byimplementing sustainable practices anddiversifying when possible.
The topics in the farming practices chapter work
together to achieve these outcomes. Agronomic
activities related to sustainable production
practices, soil fertility and conservation, integrated

pest management, and safe agrochemicals
management support the outcome of sustainableproductivity and profitability, as well as natural
resource conservation and ecosystem services.
Here the requirements encourage locally-relevant
and context-specific practices to ensure that
inputs and natural resources are used efficiently,
natural cycles are optimized to increase climatechange resilience, soil fertility and health isenhanced, pollinators are attracted, water
retention and management is improved,
pesticides are minimized, and further negative
effects on the environment are reduced.

Finally, crop profitability is supported bypost-harvest practices, where farms andgroups achieve improved crop quality tomeet market demand.
Implementation of requirements in this chapter
forms part of the foundation of a broader
set of sustainable agriculture activities, sowhen combined with other field, market,
and advocacy interventions, can support
impacts at the sectoral and regional level.

Chapter 4 - Farm Outcomes

1. Planting and rotation practices improve soil and crop health
1. Measures are taken to prevent diseases
and break disease cycles
2. Adequate renovation of tree crops

Farm resilience is increased throughclimate change adaptation, diversification,and other measures
Soil fertility, water resources, and otherecosystem services are maintained orenhanced

5. Integrated Pest Management practices are implemented
to prevent pests and reduce the use of agrochemicals
5. Advanced IPM practices; Reduced use of pesticides

6. Agrochemicals are used in a

2. Improved renovation of crop trees

Farmers have optimized crop productivity,
input use efficiency, and profitability

3. The certified crop is not genetically modified

Reduced environmental and health risks
from pesticides

safe, effective and efficientway
6. Advanced measures for
agrochemicals management

7. Harvest and post-harvest practices enhance productquality and reduce losses in quantity

3. No GMO on the whole farm

7. Measures are taken to respect
the Maximum Residue Levels

4. Producers implement measures to enhance soil fertility
4. Optimized fertilizer use; improved soil coverage

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4.1 PLANTING AND ROTATION
No.

Core requirements

Group certification
S-farms

4.1.1

L-farms

Group mgt.

Ind. cert.
S/L

Plant varieties for planting, grafting and renovation are selected based on quality, productivity, resistance topests and diseases and on suitability for the climate during the lifetime of the plants. This is done as per thefindings of the Risk Assessment regarding climate (1.3.5), if this is carried out.
Planting materials are free of pests and diseases.

4.1.2

New plantings have a well-established cropping system which takes into account e.g.
• Requirements of the variety used
• Geographical, ecological and agronomic conditions• Diversification and intercropping crops with different rooting depths and soil uses to enhance soil quality and health• Planting density

No.

Mandatory Improvement

4.1.3

Producers implement measures to prevent pests and diseases and to break their biological cycles, to support
soil health and to improve weed management. Such measures can include intercropping, and measures taken
in between crop cycles, such as crop rotation or leaving the land fallow.

L1

Please see Guidance Document H: Integrated Pest Management (IPM)

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4.2 PRUNING AND RENOVATION OF TREE CROPS
No.

Core requirements

Group certification
S-farms

4.2.1

L-farms

Group mgt.

Ind. cert.
S/LManagement implements a pruning cycle for adequate formation, maintenance and rejuvenation pruning
according to crop needs, agroecological conditions and applicable pruning guidelines.
Group management supports group members to implement this pruning cycle.
Please see Guidance Document I: Pruning

No.

Mandatory Smart Meter

4.2.2 Producers carry out pruning according to the requirement in 4.2.1
Indicator:• % of group members that adequately prune according to crop needs, agroecologicalconditions and applicable pruning guidelines

No.

Self-selected Smart Meter

4.2.3 Producers renovate the certified crop when needed according to age, disease or other causes, to maintainproductivity. This includes replanting production area, gap filling and grafting.
Indicators:• For small farms: % of group members that applied renovation practices for the certified crop
• For large farms: % of farm area with certified crops where renovation practices are
implemented

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4.3 GENETICALLY MODIFIED ORGANISMS (GMOs)
No.

Core requirements

Group certification
S-farms

4.3.1

The certified crop is not genetically modified (GMO).

No.

Self-selected Improvement

L-farms

Group mgt.

Ind. cert.
S/L

4.3.2 There are no genetically modified (GMO) crops on the farm.

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4.4 SOIL FERTILITY AND CONSERVATION
No.

Core requirements

Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

4.4.1 Management conducts a soil assessment for a representative sample of areas, and updates this at least once
every three years. The soil assessment includes, if relevant:• Erosion prone areas and slope• Soil structure• Soil depth and soil horizons• Densification of compaction areas• Soil moisture and water level in the soil
• Drainage conditions• Identification of areas with visual symptoms of nutrient deficiency

4.4.2 Based on the soil assessment, management identifies soil management measures and includes these in the
management plan to build up soil organic matter, increase on-farm nutrient recycling, and optimize soil moisture.
Please see Guidance Document J: Soil Fertility and Conservation

4.4.3 Management carries out regular soil tests and/or (visual) leaf tests, including macronutrients and organic matter,
for a representative sample of areas. For perennial crops this is done at least once every three years and forannual crops at least once per year.

4.4.4 When available, producers use by-products including organic fertilizers produced on the farm first. If more

nutrients are needed, these are supplemented where possible by other organic fertilizers, or by inorganic fertilizer.
To minimize risk, animal manure is hot composted before use as a fertilizer. Producers store animal manureand compost at least 25 meters away from any water body.

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Mandatory Improvement

Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

4.4.5 The soil of the production area is not left exposed, it is protected by measures such as cover crops,
L1

crop residues or mulch.

4.4.6 Fertilizers are applied in such a way that nutrients become available when and where crops need them,
L1and contamination of the environment is minimized.

No.

Mandatory Smart Meter

4.4.7 Producers monitor and optimize the use of inorganic fertilizers.
Indicator:• Volume of N, P and K per ha (kg/ha, per year or per cropping cycle)
In groups of small farms, the indicator can be monitored for a representative sample of farms.

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4.5 INTEGRATED PEST MANAGEMENT (IPM)
No.

Core requirements

Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

4.5.1 Management implements the IPM strategy as developed by a competent professional. The IPM strategy includes theprevention, monitoring and intervention measures for the scope of the whole farm, including processing facilities.
The IPM strategy is based on climate conditions, pest monitoring results, implemented IPM actions and pesticides
application records. The IPM strategy is annually updated.
Please see Guidance Document H: Integrated Pest Management (IPM)

4.5.2 Producers regularly monitor pests and their principal natural enemies.
Records of the monitoring are kept by large farms and by group management for a representative sample
of producers. Records include date, location, type of pest and or beneficial insects.

4.5.3 For pest prevention and control, producers use biological, physical, and other non-chemical control methods first,

and document the use and the effectiveness of these methods. When threshold levels of pests are reached, producers can use agrochemical applications, as advised by a competent technician and/or upon the advice or
instruction by an official national organization.
When agrochemicals are used:••••

Agrochemicals with the lowest possible toxicity and highest selectiveness are used
Applications are made only on the impacted plants and areas
Active ingredients are rotated to avoid and reduce resistance
Calendar spraying is avoided, and only allowed when recommended by a competent technician
or official national organization

4.5.4 Producers and workers that are involved in pest management activities are trained about the IPM strategy.

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No.

Mandatory Improvements

Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

4.5.5 Producers have implemented the IPM strategy.
L1
4.5.6 Producers enhance natural ecosystems near crop production areas to increase habitat for natural enemies.
L2

Examples are: insectaries, planting bird/bat/pollinator attracting trees and shrubs, converting low-lying areas
to small ponds with vegetation and enhancing riparian areas and vegetation.

No.

Mandatory Smart Meter

4.5.7 Producers monitor and reduce the use of pesticides.
Indicator• Active ingredients per ha (i.e. kg/ha, per year or per cropping cycle)• Active ingredients used that are listed in the Exceptional Use list and Risk Mitigation list
In groups of small farms, the indicator can be monitored for a representative sample of farms.
Please see Annex S7: Pesticides Management

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4.6 AGROCHEMICALS MANAGEMENT
No.

Core requirements

Group certification
S-farms

4.6.1

L-farms

Group mgt.

Ind. cert.
S/L

No agrochemicals are used that are:
• On the Rainforest Alliance List of Prohibited Pesticides or List of Obsolete Pesticides• Prohibited by applicable law• Not legally registered in the country where the farm is locatedProducers use only agrochemicals sold by authorized vendors, in original and sealed packaging.
Chemical substances used for livestock or pets are not included in the scope of this standard
Applicable to group management in case the group management has a purchasing task.
Please see Annex S7: Pesticides Management

4.6.2 If producers use pesticides included on the Risk Mitigation list, all respective risk mitigation practices, as describedin Annex S7, Pesticides Management, are implemented.
If producers use pesticides included in the Exceptional Use Policy, all respective risk mitigation practices, as describedin this policy, are implemented.
Please see Annex S7: Pesticides Management
Please see: Policy on Exceptional use of FAO/WHO highly hazardous pesticides

4.6.3 Persons handling pesticides are skilled in the preparation and application of pesticides, and receive annual training.
Persons handling pesticides use the Personal Protective Equipment (PPE) as prescribed in the product’s label orMaterial Safety Data Sheet (MSDS). If there is no information, basic protective clothing with additional items is wornaccording to the potential risk and as recommended by a competent technician. The PPE is in good condition.
Directly after use, PPE is washed and stored safely and does not enter the workers’ housing. Single-use items aredisposed of after one use.
PPE is provided to workers free of charge.
Farm/group management has a system to record, monitor and enforce the use of PPE.

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Core requirements

Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

4.6.4 Persons handling pesticides bathe, change and wash clothes after application.
Management provides the agrochemical handlers at least a site that provides privacy, water and soap,
and, when feasible bathing facilities.

4.6.5 Pesticides are prepared and applied according to the label, MSDS or security tag, or as recommended by an
official national organization or a competent technician, especially with regards to:• Safe transport to area of application• Respecting the correct dosage• Using appropriate equipment and techniques• Appropriate weather conditions• Respecting restricted entry intervals (REI), including warning signs in local language and informing
potentially affected persons or communities in advance
When there is no other information, minimum restricted entry interval is 48 hours for WHO class II products and
12 hours for other products. When two or more products with different restricted entry intervals are used at thesame time, the longest interval applies.
Volume and dosage calculation methods are reviewed and refined to reduce the surplus mix and pesticide overuse.
Pre-harvest intervals of pesticides as stipulated in the product’s MSDS, label or security tag or regulation by
official organization are complied with. When two or more products with different pre-harvest intervals are usedat the same time, the longest interval applies.

4.6.6 Mechanisms are established and maintained to avoid contamination by pesticides, through spray drift orother pathways, from treated areas to other areas including all aquatic and terrestrial natural ecosystems andinfrastructure.
Such mechanisms include non-crop vegetative barriers, non-application zones or other effective mechanisms.

4.6.7 Aerial application is only allowed under the conditions as outlined in Annex S7: Pesticides Management.
Please see Annex S7: Pesticides Management

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Core requirements

Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

4.6.8 Pesticide applications are recorded. Records include:
•
•
•
•
•
•

Product brand name and active ingredient(s)Date and time of application
Location and area (size) of application
Dosage and volume
CropName(s) of applicator(s)• Target pest
Group management facilitates record keeping for group members when needed.

4.6.9 Empty pesticides containers and application equipment are washed three times, and rinsing water is used in thelast batch of the mix to apply to the crop. After application of pesticides, application equipment is washed threetimes, and the surplus mix is disposed of in way that minimizes the negative impact on the environment and humanhealth, by diluting it with ten times the amount of clean water and applied evenly on the field that was subject of thepesticide application.
The empty pesticide containers are kept in a locked storage area until safely disposed of through a formal
collection, and recycling program or returned to the supplier. If the supplier does not accept empty containers, they
are cut or perforated to prevent other uses.
Prohibited, obsolete and expired pesticides are returned to the supplier or local authority. In absence of a collection
system in place, these products are labelled and stored safely and separately from other products in a locked space.

4.6.10 Agrochemicals and application equipment are stored in accordance with the label instructions and in a waythat minimizes negative impact on the environment and human health. Agrochemicals are stored in their
original containers or packaging.
Facilities for storing agrochemicals and application equipment are:••••Dry, clean, well-ventilated
Made from non-absorbent material
Safely locked and accessible only by trained handlers
Not accessible to children• Separated from crop, food products, and packaging materials

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Core requirements

Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

4.6.11 Agrochemicals and application equipment are stored in accordance with the label instructions and in a waythat minimizes negative impact on the environment and human health. Agrochemicals are stored in their
original containers or packaging.
Facilities for storing agrochemicals and application equipment are:• Dry, clean, well ventilated and with a sound roof and impermeable floor• Safely locked and accessible only by trained handlers• Separated from crops, food products or packaging material• With an emergency spill kit• With visible and understandable safety warning signs and pictograms• With an emergency procedure, eye-washing area and an emergency shower

4.6.12 An up-to-date pesticide stock inventory is available and maintained. The inventory includes:• Date of purchase• Product brand name and active ingredient, including an indication of chemicals that are on the Risk Mitigation list
• Volume• Date of expiration
For groups this is only applicable for centralized stock.

No.

Mandatory Improvement

4.6.13 The equipment for mixing and applying agrochemical is calibrated at least annually, after each maintenance
L1
No.

and before using it for a different type of agrochemical.

Self-selected Improvement

4.6.14 Spraying is carried out by centralized, specialized spraying teams.

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4.7 HARVEST AND POST-HARVEST PRACTICESNo.

Core requirements

Group certification
S-farms

4.7.1

L-farms

Group mgt.

Ind. cert.
S/L

Producers conserve and optimize quality and quantity of product during harvest and post-harvest handling,including: loading, processing, packing, transportation, andstorage. This includes:• Products are harvested at the right time and interval to optimize quality• Harvesting damages to the plant are minimized for future production• Contamination by foreign matter, cleaning products and agrochemicals, microbes and pests is prevented• Damage due to humidity is prevented• Products are stored in a cool, dry, dark and well-ventilated place• Maintenance and cleaning of harvest and postharvest tools, machinery and equipment• Packaging materials are used that are suitable and approved for food productsNo.

Mandatory Improvement

4.7.2 Producers take measures to respect the maximum residue levels (MRLs) set by the production country and
L1

SA-S-SD-1-V1.2

known destination countries of the product. The measures include e.g.:• Strict observance of label instructions of agrochemicals used post-harvest• Obtain information on the residues in the product, through own tests (non-mandatory) or information
through buyers• Actions in case MRLs are exceeded• Communication to the buyer if MRLs are exceeded

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CHAPTER 5:
SOCIALThe Farm Requirements’ Social chapter seeks toempower producers and workers to realize betterworking and living conditions for themselves andtheir families; to promote equality and respect for
all with special attention to vulnerable groups
such as migrants, children, youth and women;
and to strengthen human and labor rights
protections on certified farms.
Sustainable agriculture is intrinsically linked withthe livelihoods of millions of producers, families,
and their communities. To support sustainable
livelihoods, the Rainforest Alliance Sustainable
Agriculture Standard establishes requirements
related to all fundamental human and labor rights,
Living Wage, health and safety, and decent living
and working conditions. Farms and groups are
required to respect legal and customary rights ofindigenous peoples. These requirements align with
the UN Guiding Principles on Business and Human
Rights (UNGPs), relevant ILO conventions, and othermulti-stakeholder concepts such as Living Wage,developed in coordination with the Global Living
Wage Coalition.
There is no place in Rainforest Alliance Certified
farms for human rights violations such as childlabor, forced labor, discrimination or workplace
violence and harassment. For these four types ofviolations, our certification system will adopt an

SA-S-SD-1-V1.2“Assess-and-address” model, which goes muchfurther than a simple prohibition approach in its
ability to drive change. Given the high risk of such
violations in some agricultural supply chains, wewill require farms and groups to put a rigorous
system in place, that includes doing a risk
assessment and implementing related mitigation
measures, conducting regular self-monitoring,and remediating any known cases of such
violations. Severe cases, if not remediated, and/or
violations of applicable law, will lead to a negativecertification decision, suspension or cancellationof the certificate. This “Assess-and-address”
model is further detailed in requirement 5.1 andrelated annexes.

bring transparency on prevailing wages inagricultural production, commit certificate holders
to continuous improvement and dialogue, andencourage companies to exercise shared supply
chain responsibility to prevent and mitigate
adverse impacts with regard to insufficient wages.

Furthermore, the certification system aims toenable agricultural workers and their families toachieve a decent standard of living and earn a
Living Wage. To this end, the standard enforces
respect for workers’ rights to collective bargaining
and freedom of association, healthy and safe
living and working conditions and access to healthcare. Although the system aims to contribute tobetter wages for workers by requiring that theminimum wage is paid and that there is progress
towards a Living Wage, the Rainforest Alliancerecognizes the limitation of producers tounilaterally solve the problem of low wages. In
accordance with the UN Guiding Principles on
Business and Human Rights, our approach is to

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1. Farms and farm groups take measures to assess-andaddress discrimination, forced labor, child labor,
workplace harassment and violence
1. Farms and farm groups have effective systems inplace to eradicate the causes of child labor, forced labor,
workplace violence and harassment

2. Workers can exercise theirfreedom of association
2. Workers´ capacities to associate andexercise their rights are strengthened

Chapter 5 - Farm OutcomesChild labor, forced labor, discrimination andworkplace violence and harassment are
effectively assessed, prevented and remediated
Other human rights of farmers, workers, andcommunities are fully respected
Farm workers and their families enjoy healthyand safe living and working conditions
Farmers, workers and their families enjoy an
improved standard of living [toward the Living
Wage or living income level]

3. Workers receive at least minimum or collective
bargaining agreement wage

5. Workers´ rights regarding
working hours are respected
6. Workers have safe working conditions
and access to basic health services
7. Workers and their families havesafe housing and living conditions
7. Workers and their families have improved housing
and living conditions
8. Rights of local communities
are respected
8. Farm management actively engages
with and supports communities

3. Workers have employment contracts
4. Total remuneration of workers is increased
towards a Living Wage
Supply chain Outcomes

1, 2, 3, 5, 6 Depending on the level of risk,
supply chain actors take measures to improve
the human rights on operations within the
supply chain

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Human rights are fully respected on
operations within the supply chain of thecertified crop

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5.1 ASSESS-AND-ADDRESS CHILD LABOR, FORCED LABOR, DISCRIMINATION, WORKPLACE VIOLENCE AND HARASSMENT
Child labor, forced labor, discrimination and workplace violence and harassment are not tolerated on Rainforest Alliance Certified farms. The assess-and-address system requires
certificate holders have specific measures in place to monitor and mitigate risks related to child labor, forced labor, discrimination, workplace violence and harassment.
When cases are identified on Rainforest Alliance certified farms or on farms that apply for certification, they must be remediated. Severe cases, if not remediated, and/or violations ofapplicable law, will lead to a negative certification decision, suspension or cancellation of the certificate.
The four Core requirements must be implemented for all four issues: child labor, forced labor, discrimination and workplace violence and harassment. The Improvement
requirements must be implemented for child labor and forced labor when the Rainforest Alliance has determined these issues to be medium/high risks in a particular country or
sector.
The improvement requirements for discrimination and workplace violence and harassment are always exclusively applicable to large farms and individually certified farms.
Child labor, forced labor, discrimination, and violence/harassment are as defined in Annex S1: Glossary. These definitions ar e based on relevant ILO standards, including:
ILO Minimum Age Convention, 1973 (No.138)
ILO Worst Forms of Child Labor Convention, 1999 (No.182)
ILO Forced Labor Convention, 1930 (No.29)
ILO Abolition of Forced Labor Convention, 1957 (No.105)
ILO Equal Remuneration Convention, 1951 (No.100)
ILO Discrimination (Employment and Occupation) Convention, 1958 (No.111)
ILO Violence and Harassment Convention, 2019 (No.190)
Convention on the Elimination of all Forms of Discrimination Against Women (CEDAW)

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Core requirements

Group certification
S-farms

5.1.1

L-farms

Group mgt.

Ind. cert.
S/L

Commitment:
Management commits to assess-and-address child labor, forced labor, discrimination, and workplace violenceand harassment by:• Appointing a management representative who is accountable for the assess-and-address system• For large farms, individually certified farms and supply chain certificate holders: giving a mandate to a committee
comprised of the appointed management representative and workers representative(s) to
manage the assess-and-address system. The worker representative(s) is/are selected by workers.
• For group management: giving a mandate to a committee comprised of the appointed management
representative and a group member representative to manage the assess-and-address system. Groupmanagement can choose to appoint a management representative only instead of a committee.
The committee members are:
• Knowledgeable about child labor, forced labor, discrimination and workplace violence and harassment• Impartial, accessible and trusted by workers/group members
Communication:• Management representative/committee: coordinates with management, the grievance committee
and the gender person/committee• Raises awareness of these four issues with management and (group) staff at least annually• Informs workers/group members in writing that child labor, forced labor, discrimination and workplace
violence and harassment are not tolerated, and that management has a system in place to assess-andaddress related cases. This information is visibly displayed at central locations at all times.

Please see Guidance Document L: Assess-and-Address

5.1.2

Risk mitigation:
The management representative/committee includes in the management plan (1.3.2) the mitigation measures as
identified in the basic Risk Assessment (1.3.1) and implements corresponding measures.
The basic Risk Assessment is repeated at least every three years.
Please see Annex S3: Risk Assessment Tool

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Group certification
S-farms

5.1.3

L-farms

Group mgt.

Ind. cert.
S/L

Monitoring:
The management representative/committee• Monitors risks and the implementation of risk mitigation measures• Reports potential cases of child labor, forced labor, discrimination, and workplace violence andharassment to the management and to the grievance committee• Monitors remediation activities (see 5.1.4)
The intensity of the monitoring system is adjusted to the risk level and the issue.
Indicator:• The number of potential cases identified by the monitoring system and referred to the grievance mechanism(by gender, age, and type of issue)
Please see Guidance Document R: Assess-and-Address Monitoring Tool

5.1.4

Remediation:
The management representative/committee sets out in the management plan how to remediate cases of childlabor, forced labor, discrimination, workplace violence and harassment. Confirmed cases are remediated anddocumented following the Rainforest Alliance Remediation Protocol. Safety and confidentiality of the victims isprotected throughout the process.
Indicator:• Number and percentage of confirmed child labor, forced labor, discrimination and workplace violenceand harassment cases remediated per the Remediation Protocol (by gender, age, and type of issue)
Please see Annex S4: Remediation Protocol

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Group certification

Mandatory Improvements

S-farms

L-farms

Group mgt.

Ind. cert.
S/L

Applicable in case of medium/high risk for child labor and/or forced labor. Large and individually certified farms always implement
the improvements for discrimination and workplace violence and harassment
5.1.5
L1

In year 1 of certification, the management representative/committee:• Conducts the assess-and-address in-depth Risk Assessment for the medium/high risk issue(s)• Includes the corresponding mitigation measures in the management plan (1.3.2)• Implements these measures
The assess-and-address in-depth Risk Assessment is repeated at least every three years.
Please see Annex S3: Risk Assessment Tool

5.1.6
L1
5.1.7
L1
No.

Management representative/committee provides training/awareness raising on child labor, forcedlabor, discrimination, and workplace violence and harassment to all group members (small farms) or
workers (of large farms or individually certified farms).
Management actively encourages the school attendance of children of (group) staff, groupmembers, and group member workers.

Mandatory Smart Meter Applicable in case of medium/high risk for child labor and/or forced labor. Large and individually certified farms always implement
the improvements for discrimination and workplace violence and harassment

5.1.8

The management assures good functioning of the assess-and-address system. For this purpose, from year one onwards, a yearly assessment of the assess-and-address system for the relevant issue(s) is conducted, based on thefollowing five elements:• Effective implementation of mitigation measures• Effective training on relevant assess-and-address topics• Effective cooperation with external actors• Effective monitoring of the assess-and-address system• Effective internal collaboration on assess-and-address topics
Indicator:• Scores on the assess-and-address system elements

Please see Guidance Document L: Assess-and-Address

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5.2 FREEDOM OF ASSOCIATION AND COLLECTIVE BARGAINING
No.

Core requirements

Group certification
S-farms

5.2.1

L-farms

Group mgt.

Ind. cert.
S/L

Workers have the right to form and join a union or workers’ organization of their own choice and to take partin collective bargaining, without prior authorization from the employer, and in accordance with applicablelaw. Workers’ representatives are elected democratically among workers in regular, free elections.
Management informs workers on these rights through a written policy in a language they understand, before thestart of employment. The written policy on freedom of association and collective bargaining is visibly displayed
at all times in the workplace.
Where the right to freedom of association and collective bargaining is restricted under law, management does
not hinder the development of parallel means for independent and free association, bargaining and dialogue
with management.

Applicablein case of
average≥ 5 hiredworkers

ILO Freedom of Association and Protection of the Right to Organise Convention, 1948 (No. 87)
ILO Workers Representatives Recommendation, 1971 (No. 143)

5.2.2 Workers are not subject to discrimination or retaliation for reasons of past or present workers’ organization orunion membership or activities. Management does not punish, bribe or otherwise influence union members or
workers’ representatives. Records are kept of terminations of employment, including the reason for termination
and workers affiliation with a union or workers’ organization. Management does not interfere in the internal affairsof workers’ organizations and/or unions, nor in elections or duties related to membership of such organizations.

Applicablein case of
average≥ 5 hiredworkers

ILO Right to Organise and Collective Bargaining Convention, 1949 (No. 98)
ILO Workers Representatives Recommendation, 1971 (No. 143)

5.2.3 Management provides workers’ representatives reasonable paid time off from work to carry out their representation
functions and attend meetings.

Where needed, management provides the worker representatives with reasonable facilities including meeting
space, means of communication and childcare.
Management gives worker organization and/or trade union access to a notice board to communicate
information about their activities.
Management establishes genuine dialogue with freely chosen workers’ representatives to collectively raise andApplicablein case of
average≥ 5 hiredworkers

address working conditions and terms of employment.
Management keeps records of the minutes from meetings with worker organizations and/or trade unions.
ILO Workers’ Representatives Convention, 1971 (No. 135)
ILO Workers Representatives Recommendation, 1971 (No. 143)

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Mandatory Improvement

Group certification
S-farms

5.2.4 All workers, including management, receive information on freedom of association and the effective
L1

recognition of the right to collective bargaining once every three years.

L-farms

Group mgt.

Ind. cert.
S/L

Applicablein case of
average≥ 5 hiredworkers

5.3 WAGES AND CONTRACTS
No.

Core requirements

Group certification
S-farms

5.3.1

L-farms

Group mgt.

Ind. cert.
S/L

Permanent and temporary workers who are employed for three consecutive months or longer have a written
employment contract signed by both parties. The worker receives a copy of the contract at the time of signing.
Permanent and temporary workers employed for fewer than three months must have at least verbal contracts
in place.
Verbal instead of written contracts are acceptable only if they create legally binding employment relationships
under applicable law. The employer keeps records of verbal contracts that include all terms listed below andinform workers of these terms.
Written/verbal contracts include at minimum:
•
•
•
•
•
•
•
•
•

Job duties
Location of the job
Working hours
Pay rate and/or method of calculation
Overtime pay rate
Frequency or schedule of payment
Deductions, benefits provided such as in-kind benefits
Paid leave
Medical leave and protections in case of illness, disability or accident

Applicablein case of
average≥ 5 hiredworkers• Notice period (if any) for contract termination

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Group certification
S-farms

5.3.2 Management does not engage in arrangements or practices designed to eliminate or reduce workers’ pay
and/or benefits such as employing temporary workers for permanent or ongoing tasks.

L-farms

Group mgt.

Ind. cert.
S/L

Applicablein case of
average≥ 5 hiredworkers

5.3.3 Workers receive at least the applicable minimum wage, or the wage negotiated in a Collective Bargaining Agreement (CBA), whichever is higher. For production quota or piece work, the payment must be at least the minimum
wage, based on a 48-hour working week or national legal working hours limit whichever is lower.

5.3.4 Workers receive at least the applicable minimum wage, or the wage negotiated in a Collective Bargaining

Agree- ment (CBA), whichever is higher. For production quota or piece work, the payment must be at least theminimum wage, based on a 48-hour working week or national legal working hours limit whichever is lower.

5.3.5 Deductions from wages such as for social security are permitted only if provided by applicable law or CBA.

Voluntary wage deductions such as advance payments, union membership, or loans can only be made with written
or verbal consent from the worker. Employer carries out these remittances fully and timely. Wage deductions as adisciplinary measure are not allowed. Deductions for work related to tools, equipment or gear are not allowed
unless those are permitted by applicable law.
In-kind benefits must be in accordance with applicable law; however, they cannot exceed 30% of the total
remuneration.
ILO Protection of Wages Recommendation, 1949 (No. 85)

5.3.6 Workers are paid regularly at scheduled intervals, but at least monthly. Worker and employer both agree on thepayment schedule.

Records are maintained, per worker, of hours worked (regular and overtime) and/or volume produced (if applicable),
calculation of wages and deductions, and wages paid. Workers are provided pay slips with each payment containing
this information.
ILO Protection of Wages Convention, 1949 (No. 95)

5.3.7 Workers are paid regularly at scheduled intervals, but at least monthly. Worker and employer both agree
on the payment schedule.

Group members maintain records, per worker, of hours worked (regular and overtime) and/or volume produced,
calculation of wages, in-kind benefits and deductions. The record is signed by each worker when he/she receives
payment.

Applicablein case of
average≥ 5 hiredworkers

ILO Protection of Wages Convention, 1949 (No. 95)

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Core requirements

Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

5.3.8 Work of equal value is remunerated with equal pay without discrimination e.g., on gender or type of worker,
ethnicity, age, colour, religion, political opinion, nationality, social origin or others.
ILO Equal Remuneration Convention, 1951 (No. 100)

5.3.9 If labor providers are used, management has a written contract and documented oversight mechanisms in placeensuring that the labor provider is:• Licensed or certified by the competent national authority, if applicable• Compliant with applicable legal requirements• Not engaged in fraudulent or coercive recruiting practices• Compliant with applicable worker related requirements 5.3 and 5.5 of this standard
All recruitment fees are paid by the management, not by workers.
ILO Private Employment Agencies Convention, 1997 (No. 181)

5.3.10 If labor providers are used, name, contact and, if labor provider is officially registered, official registration numberof the labor provider is recorded.
The labor provider is:• Not engaged in fraudulent or coercive recruiting practices• Compliant with applicable worker related requirements 5.3 and 5.5 of this standard
All recruitment fees are paid by the farm, not by workers.
ILO Private Employment Agencies Convention, 1997 (No. 181)

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5.3.11 Permanent and temporary workers who are employed for three consecutive months or longer have at least
L1

a verbal contract in place.

The group member keeps records of verbal contracts and informs workers of at least these terms:••••

Job duties
Working hours
Pay rate and method of calculation
Overtime hours• In-kind benefits

5.3.12 Permanent and temporary workers who are employed for one consecutive month or longer have a written
contract signed by both the employer and the worker, in a language the worker understands. The worker
L1
receives a copy of the contract at the time of signing.
All other requirements of 5.3.1 apply.

No.

Applicablein case of
average≥ 5 hiredworkers

Self-selected Improvement

5.3.13 In countries where the minimum wage is not adjusted yearly or regulated in a CBA, the workers’ wages is adjusted
yearly for inflation based on the national inflation rate.

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5.4 LIVING WAGE
No.

Core requirements

Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

5.4.1 The total remuneration (wages plus monetary and in-kind benefits) for all types of workers* is assessed yearly

against the Living Wage benchmark, as approved by the Rainforest Alliance and in accordance with the Global
Living Wage Coalition (GLWC). The management uses the Rainforest Alliance Salary Matrix Tool to accurately fill indata for workers’ wages.
*excluding workers on small farms
Indicators:• # and % of workers (per gender) whose wage plus in-kind-benefits are below the Living Wage benchmark provided
by the Rainforest Alliance• Average size of Living Wage gap (% of LW)• Average size of Living Wage gap for men (% of LW) and for women (% of LW)
Please see Annex S8: Salary Matrix Tool
Please see Annex S9: Methodology for Measuring Remuneration and Gaps with a Living
Wage Please see Annex S10: Living Wage Benchmarks per Country

5.4.2 If the total remuneration is below the applied benchmark for any type of worker, management, in consultation
with workers’ representatives, implements a wage improvement plan to progress towards the applicablebenchmark, including targets, actions, timeline and responsible persons.

5.4.3 In case a supply chain certificate holder contributes (directly through a financial investment or through another typeof investment) to raising wages towards the level of a Living Wage or beyond, the management and the supply chain
certificate holder agree in writing on:• The modalities of the contribution• The timeline of the wage improvement plan (5.4.2) for the period for which the contribution is madeThe management keeps records on the progress of the implementation of the wage improvement planNo.

Mandatory Smart Meter

5.4.4 Total remuneration of workers (wages, monetary benefits, in-kind benefits) is increasing towards
and beyond the applicable Living Wage benchmark following the targets in the wage improvement plan.
Indicators:• # and % of workers (per gender) whose wage plus in-kind-benefits are below Living Wage benchmark provided by
the Rainforest Alliance• Average size of Living Wage gap (% of LW)• Average size of Living Wage gap for men (% of LW) and for women (% of LW)

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Core requirements

Group certification
S-farms

5.5.1

L-farms

Group mgt.

Ind. cert.
S/L

Workers do not work more than eight regular working hours per day and 48 regular working hours per week.
In addition, workers have at least a 30-minute break after a maximum of six consecutive hours of work andare granted at least one full day of rest after a maximum of six consecutive days of work.
The regular work hours of guards do not exceed 56 hours per week on average per year.
ILO, Hours of Work (Industry) Convention, 1919 (No. 1)
ILO, Hours of Work (Commerce and Offices) Convention, 1930 (No. 30)

5.5.2 Overtime work is voluntary and only permitted if:
a It is requested in a timely mannerb It is paid according to applicable law or CBA, whichever is higher. If there is no law or CBA,
it is paid at at least 1.5 times the regular wage level.
c The overtime work does not impose an increased health and safety risk. Incident rates during
overtime periods are monitored and overtime is reduced, if accident rates are higher during
overtime work periods than during periods of regular work hours.
d Workers have safe transport home after work*
e The total working week does not exceed 60 hours per week. Exceptional circumstances only
applicable for farms: see h)f Workers have at least a 30-minute break after maximum six consecutive hours of workand have a minimum of 10 consecutive hours of rest per 24 hour-periodg A record of the number of regular hours and overtime hours of each worker is kept*
h Applicable only to tea, coffee, bananas, fresh fruits, flower farms and crops with a short harvest window
up to six weeks:
In exceptional circumstances, where there is a risk of losing harvest due to e.g., overproduction,
damage to infrastructure, for a maximum period of 12 weeks per year, the overtime may be up
to 24 hours total per week, and workers may work a maximum of 21 consecutive days.

Applicablein case of
average≥ 5 hiredworkers*In groups of small farms this is not applicable to group member workers
ILO, Hours of Work (Industry) Convention, 1919 (No. 1)
ILO, Hours of Work (Commerce and Offices) Convention, 1930 (No. 30)
ILO Code of Practice on Safety and Health in Agriculture, 2010
International Labor Conference, 107th Session, General Study concerning instruments on working time, 2018

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Core requirements

Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

5.5.3 Pregnant permanent workers are entitled to paid maternity leave in accordance with applicable law. In absence of
applicable law, workers receive paid maternity leave of at least 12 weeks, of which at least six weeks being taken
after birth. They receive maternity rights and benefits.
They can return to their job after maternity leave on the same terms and conditions and without
discrimination, loss of seniority or deduction of wages.

Workers who are pregnant, nursing or have recently given birth are offered flexible working schedules and work sitearrangements. Breastfeeding women have two additional 30-minute breaks per day and a space for breastfeeding
to nurture the child.
This nursing space must be:••••

Applicablein case of
average≥ 5 hiredworkers

Functional for expressing milk (at a minimum, has a chair and a flat surface for pumping equipment, if needed)
Shielded from view
Free from intrusion by the public and co-workers
Available whenever a mother needs to pump or express milk

• Not a toilet
ILO, Maternity Protection Convention, 1952 (No. 183)

5.5.4 Workers’ children younger than the applicable minimum working age coming with their parents to the workplace:• Have a safe place to stay according to their age• Are under the supervision of adults at all times
ILO Code of Practice on Safety and Health in Agriculture, 2010

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5.6 HEALTH AND SAFETY
No.

Core requirements

Group certification
S-farms

5.6.1

L-farms

Group mgt.

Ind. cert.
S/L

A competent professional conduct an analysis of the occupational health and safety risks. Corresponding healthand safety measures are included in the management plan and implemented, considering at least the following;• Risk analysis• Compliance with regulations• Training of workers• Procedures and equipment to ensure health and safety
The number and type of occupational health and safety incidents are recorded (specified for men and women)
and include incidents related to agrochemical use.
For groups of small farms this is done for their own facilities.
ILO Occupational Safety and Health Convention, 1981 (No. 155)

5.6.2 First aid boxes are available to workers for the treatment of work-related injuries, and emergency healthcare is provided free of charge including transport to and treatment in a hospital.

The boxes are placed at the central locations of production, processing, and maintenance sites. For an emergency,
appropriate measures, including showers and eyewashes, are present at the relevant locations.

Applicablein case of
average≥ 5 hiredworkers

Trained first aid workers are present during working hours. The workers are informed where and to whom theyshould go to for first aid in case of an emergency.

5.6.3 Group members and workers know where to go in case of an emergency.
5.6.4 Workers have access to sufficient and safe drinking water at all times through one of the following means:• A public drinking water system, or• Drinking water provided by the management, compliant with drinking water parameters as set by applicable law
or the WHO, based on regular testing at least preceding each Rainforest Alliance certification audit and any timethat water contamination risks have occurred or been identified
Drinking water sources are protected and water distribution mechanisms are maintained to avoid contamination.
Drinking water stored in jars or containers is protected against contamination by a lid and is replaced by
fresh drinking water at least every 24 hours.

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Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

5.6.5 For small farms, in case of no access to safe drinking water, management implements and documents a training
program to instruct group members on potable water treatments through boiling, filtering, or chlorinating and on
the prevention of water contamination.

5.6.6 Workers always have access to safe and sufficient drinking water.
5.6.7 Sufficient, clean, and functioning toilets and handwashing stations are provided in or close by
agricultural production, processing, maintenance, office sites, and workers’ housing.

Facilities are divided by gender in the case of 10 or more workers. Urinals are separated from toilets usedby females. Safety and privacy of vulnerable groups are ensured, by at least well-lit and lockablefacilities. Workers are allowed to frequent these facilities when needed.

5.6.8 Workers receive information on health topics, medical leave policies and availability of primary, maternal
and reproductive health services in the community.

5.6.9 Persons that work in hazardous situations (e.g., under challenging terrains, with machines or with hazardous

materials) use appropriate Personal Protective Equipment (PPE). These persons are trained in the use of the PPE
and have access to the PPE free of charge.

5.6.10 All tools used by the workers are in good working condition.
Machines have clear instructions on safe usage that can be understood by the workers, and dangerous parts
are guarded or encased. Workers using such machines are appropriately trained, and if required by law,workers operating machinery have the applicable licenses.
Machinery and other equipment are stored safely when not in use.

5.6.11 Female workers who are pregnant, nursing, or have recently given birth are not assigned to activities that pose a risk
to the woman’s, unborn child’s, or infant’s health. In cases of job reassignment, there is no reduction in remuneration.
No pregnancy tests are requested.

5.6.12 Workers may leave situations with imminent danger without seeking employer’s
permission and without being penalized.

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Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

5.6.13 Workshops, storage areas, and processing facilities are safe, clean, with sufficient light and ventilation.
A clear and written accident and emergency procedure is in place. It includes marked fire exits, evacuation maps,
at least one emergency drill per year. Management informs workers about this procedure.
There is firefighting equipment and equipment to remediate spillage of materials. Workers are trained on
how to use this equipment.
Only authorized personnel have access to workshops, storage, or processing facilities.

5.6.14 Workers in workshops, storage areas and processing facilities have clean and safe eating spaces that provide protection against sun and rain. Workers in the field can have their meal protected from sun and rain.

5.6.15 Workers receive basic training on occupational health, safety, and hygiene and related instructions are visibly
dis- played at central locations.

5.6.16 Workers who regularly handle hazardous agrochemicals receive a medical examination at least once ayear. In case of regular exposure to organophosphates or carbamate pesticides, the examination includes
cholinesterase testing. Workers have access to the results of their medical examination.

No.

Mandatory Improvement

5.6.17 An Occupational Health and Safety (OHS) committee is chosen by workers for farms/group management
L1

with 20 or more workers, reflecting the composition of the workforce. The committee participates in or carriesout regular OHS reviews, and its findings and decisions are considered in the updating and implementation of
the findings of the health and safety risk analysis.

5.6.18 Workers who cannot carry out their job because of temporary health conditions, including but not limited
L2

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5.7 HOUSING AND LIVING CONDITIONSNo.

Core requirements

Group certification
S-farms

5.7.1

L-farms

Group mgt.

Ind. cert.
S/L

Workers and their families that are housed or lodged on-site have safe, clean, and decent living quarters considering
local conditions. This includes at least:
Location and construction:• Safe construction; build on a non-hazardous location, structure protecting against extreme weather
conditions, consisting at least of dry floor, permanent walls and in a good state of repair• Workers/families are informed about emergency evacuation plans• Measures are taken to reduce the effect of extreme climate conditions such as flooding• Fire safety: collective housing has marked fire exits, firefighting equipment, and instructions for their use• Avoid housing on sites subject to air pollution and surface runoff of wastewater
Health and Hygiene:• Availability of enough safe drinking water; at least 20 litres per adult per day and within 1km/30 minutes round-trip• Adequate sanitary and washing facilities:
The number of toilets or pit latrines, urinals, handwash facilities and shower/bathroom facilities: 1 unit of each fora maximum of 15 persons. Handwash facilities must consist of a tap and basin.
• Safety and privacy of vulnerable groups are ensured, at least by well-lit and lockable facilities. Sanitary facilities
are located within the same buildings, or at a safe distance from the buildings (no more than 60 meters fromrooms/ dormitories) and provided separately for men and women.
• Adequate closed-sewage or pit latrines, sanitation and waste disposal facilities are in place• Cooking areas with smoke ventilation• Enough lighting (daylight and artificial)• Dry floors, raised from ground level, either of cement, stone, tile, wood, or clay (the latter only if sealed and levelled)• Pest control, absence of rats, mice, insects, and vermin, or conditions that favor their populations that could cause
disease or carry parasites that function as vectors of diseases.
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Comfort and Decency:• Families of permanent workers with children share one or more rooms. Such rooms are separate from non-family
members• Workers’ children living on-site are in a safe place and under the supervision of an adult during working hours• Rooms, washing facilities and toilets in group accommodations for individual workers are separate for womenand men and can be locked. A separate bed for each worker is provided. There is a minimum space between
beds of 1 meter. Where bunk beds are used, there must be enough clear space between the bunks of the bed, atleast 0.7 meters.
• Storage for the personal belongings of workers is provided, either an individual cupboard or at least 1 meter ofshelf unit for each worker• Electricity (in-house or nearby) if available in the area.
ILO Recommendation, Workers’ Housing Recommendation, 1961 (No. 115)
ILO Code of Practice on Safety and Health in Agriculture, 2010
Please see Guidance Document K: Housing and Living Conditions

5.7.2 Children living on-site and of school-going age go to school. Children either:• Go to a school at safe walking distance• Go to a school at reasonable traveling distance, with availability of safe transport• Have on-site schooling of a recognized and equivalent level.

5.7.3 Workers and their families that are housed or lodged on-site have safe, clean and decent living quarters
considering local conditions and include:
Safe accommodation; built in a non-hazardous location, structure protecting against extreme weather conditions,consisting at least out of dry floor, permanent walls and in good state of repair
Marked evacuation routes for group accommodations
Protection against air pollution and surface runoff. Adequate sewage, sanitation and waste disposal facilities
are in place• Access to safe drinking water• Adequate sanitary and washing facilities. Safety and privacy of vulnerable groups isensured, at least by well-lit and lockable facilities
ILO Recommendation, Workers’ Housing Recommendation, 1961 (No. 115)

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S-farms

L-farms

Group mgt.

Ind. cert.
S/L

5.7.4 On-site living conditions have improved by:
L1• Durable building materials• Ventilated Improved Pit (VIP) latrines or toilets with connections to wastewater disposal systems, or sewage
system if this is present• Increased living space for group accommodations• Cooking areas are separate from bedrooms• Bunk beds are not arranged in more than two levels• Natural ventilation that ensures movement of air in all conditions of weather and climate• Workers have covered or comfortable areas according to their customs during meals and break times

5.7.5 On-site housing includes:• Cooking areas with smoke ventilation
L1• Food storage areas must be protected from moisture and pests and be separate from storage of chemicals
and other potential hazards• Measures for pest control are taken

5.7.6 On-site living conditions have improved by:
L2• Sealed floors• Rooms indicate the maximum allowed number of inhabitants• Frequent inspections are held to ensure that the accommodation is safe and clean,inspection reports are documented• Areas for drying clothes• At least one toilet, one shower, and one laundry sink per 6 persons• Group accommodation has at least one toilet per 6 persons

5.7.7 In case temporary workers have off-property accommodation, the group and/or farm management makes arranL1

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gements or works together with the relevant property owners or settlement/municipal authorities for safe, clean
and decent living conditions considering local conditions.

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5.8 COMMUNITIESNo.

Core requirements

Group certification
S-farms

5.8.1

L-farms

Group mgt.

Ind. cert.
S/LManagement respects legal and customary rights of indigenous peoples and local communities. Activities
diminishing the land or resource use rights or collective interests of indigenous peoples and local
communities, including High Conservation Values (HCVs) 5 or 6, are conducted only after having received free,prior and informed consent (FPIC) following the Rainforest Alliance FPIC annex.
ILO Indigenous and Tribal Peoples Convention, 1989 (No. 169)

Please see Annex S11: Free, Prior and Informed Consent (FPIC) Processes

5.8.2 The producer has legal and legitimate right to use the land. Upon request, this right is substantiated byownership, leasehold, or other legal documents or by documentation of traditional or customary use rights.
In the event that indigenous peoples and local communities, current or former local residents, or otherstakeholders validly dispute the right to use the land – including in relation to past dispossession, forced
abandonment, or illegal action – legitimate right may be demonstrated if a conflict resolution andremediation process has been documented, implemented and accepted by the affected parties, including
relevant authorities in the case of past illegal action.
If the dispute involves indigenous peoples and local communities, large farms and individually certified
farms follow an FPIC process in accordance with the Rainforest Alliance FPIC Annex to attain the required
conflict resolution and remediation.

No.

Mandatory Improvement

5.8.3 Management engages with communities within or adjacent to the farm that are likely to be affected by the farm’s
L1

operations. Management identifies their concerns and interests related to these operations and informs them about
the possibility to file complaints in accordance with 1.5.1.

5.8.4 Management supports communities within or adjacent to the farm to address the needs and priorities
L2

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identified (5.8.3), e.g. support for local schools, medical care or helping to address environmental problems.

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CHAPTER 6:
ENVIRONMENT
Agriculture can have positive or negative effects
on the natural environment, depending on how it
is managed. This chapter outlines pathways forcertified farms to have a positive impact on theplanet, and its forests, biodiversity, water andclimate. By complying with the core requirementsof the Farm Requirements, farms also comply with
the High Conservation Values approach as set by
the HCV Network.
The first topic in this chapter supports the outcome that farms and groups do not contribute to
deforestation, forest degradation and destructionof other natural ecosystems, and that they

SA-S-SD-1-V1.2

conserve, maintain, and restore natural ecosystems and their services. The topic of wildlife
and biodiversity supports the outcome that farms
and groups avoid degradation of natural habitats,contribute to improving biodiversity, and help toprevent the extinction of threatened species. For
the topics of water, waste, and energy, farms andgroups reduce pollution, treat wastewater andminimize release of hazardous pollutants, andreduce waste and energy through prevention,
reduction, recycling and reuse. A self-selected
topic is added for farms and groups taking thestep towards measurements of greenhousegas reductions.

Rainforest Alliance | 2020 Farm Requirements | Chapter 6: Environment

Finally, throughout this chapter and the farming
practices chapter, the Farm Requirements work
towards the outcome of farms and groups
adopting climate adaptation and resilience
techniques and supporting climate change
mitigation.
Once again, the Rainforest Alliance recognizes thatfarm certification fits into a larger picture oflandscape conservation, where multiple strategies
are needed to create lasting impact for biodiversity and planet. The content of this chapter
marks a starting from which certified farms andgroups can support this goal.

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1. Producers have not encroached into forests or other natural
ecosystems and take measures in case of medium or high risk
to the High Conservation Values
2. Producers maintain on-farmnatural vegetation
2. Increased natural vegetation andoptimal shade coverage

Chapter 6 - Farm Outcomes
Forests and other natural ecosystems on certified production
units are effectively protected and restored

5. Producers reduce water use for

Effective group management and supporting field intervention
contribute to protection and restoration of forests and othernatural ecosystems in the surrounding landscape

6. Wastewater from processing operations is not discharged,
and does not contribute to soil erosion or contamination

Natural vegetation on farms is maintained and enhanced

7. Waste is managed in a safe andenvironmentally friendly way

3. Producers maintain riparian buffers
3. Producers establish and restore

riparian buffers
4. Producers take measure to protect endangered species
and native flora and fauna
4. Human-wildlife conflicts
are minimized

5. Producers use water efficiently

irrigation and processing

7. Waste is reused/recycled
Increased protection of wildlife and biodiversity
8. Producers increase energy efficiency and reduce
Increased efficiency in water and energy use and reduced

dependency on non-renewable energy sources

wastewater and solid waste pollution

8. If biomass is used, producers minimize the effects on natural
ecosystems

Reduced on-farm greenhouse gas emissions

9. Producers take measures to reduce
Greenhouse Gases Emissions

Supply chain Outcomes
Reduction of environmental risks on operations within the
supply chain of the certified crop

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6. Depending on the level of risk, supply chain actors takemeasures to reduce negative environmental effects fromoperations within the supply chain

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6.1 FORESTS, OTHER NATURAL ECOSYSTEMS AND PROTECTED AREAS
No.

Core requirements

Group certification
S-farms

6.1.1

L-farms

Group mgt.

Ind. cert.
S/L

From January 1st, 2014, onward, natural forests and other natural ecosystems have not been converted
into agricultural production or other land uses.
Please see Annex S12: Additional Details on requirements for no-conversion

6.1.2

Production or processing does not occur in protected areas or their officially designated buffer zones,
except where it complies with applicable law.

6.1.3

Management includes the mitigation measures from the Risk Assessment Tool in 1.3.1 with regard to High
Conservation Values in the management plan (1.3.2). Management implements these measures.
Please see Annex S3: Risk Assessment Tool

No.

Mandatory Improvement

6.1.4

Management includes the mitigation measures from the Risk Assessment Tool in 1.3.1 with regard to High
Conservation Values in the management plan (1.3.2). Management implements these measures.

L1

Please see Annex S3: Risk Assessment Tool

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6.2 CONSERVATION AND ENHANCEMENT OF NATURAL ECOSYSTEMS AND VEGETATION
No.

Core requirements

Group certification
S-farms

6.2.1

L-farms

Group mgt.

Ind. cert.
S/LManagement develops and implements a plan to conserve natural ecosystems. The plan is based on the map
required in 1.2.10 and the natural ecosystems section of the Risk Assessment Tool in 1.3.1 and is updated annually.
Please see Annex S3: Risk Assessment Tool
Please see Guidance Document M: Natural ecosystems and vegetation

6.2.2 Farms maintain all remnant forest trees, except when these pose hazards to people or infrastructure.
Other native trees on the farm and their harvesting are sustainably managed in a way that the same
quantity and quality of trees is maintained on the farm.

No.

Mandatory Smart Meter

6.2.3 Producers maintain and management monitors natural vegetation cover and reports annually on the indicatorfrom year one onwards.

If there is less than 10% of the total area under natural vegetation cover or less than 15% for farms growing
shade-tolerant crops, management sets targets and takes actions for farms to reach these thresholds as
required in 6.2.4.
Natural vegetation is vegetation made up predominantly of native or locally adapted species, resembling in species
composition and structure the vegetation that occurs or would occur in the absence of human interference. Naturalvegetation can include one or more of the following (not exclusive):• Riparian buffers• Conservation areas within the farm
• Natural vegetation in agroforestry systems• Border plantings, live fences and barriers around housing and infrastructure, or in other ways
• Conservation and restoration areas outside the certified farm that effectively provide long-term protection of
the subject areas (for at least 25 years) and yield additional conservation value and protection status relative
to the status quo
Indicator:• % of total farm area under natural vegetation cover
Please see Annex S15: Additional Details on Conservation and Restoration Areas Outside Farm Boundaries

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Group certification
S-farms

L-farms

Group mgt.

Ind. cert.
S/L

6.2.4 There is natural vegetation cover
L2• On at least 10% of the total area for farms growing non-shade tolerant cropsNo.

Self-selected Smart Meter• On at least 15% of the total area for farms growing shade-tolerant crops

6.2.5 Farms with shade-tolerant crops work towards agroforestry systems with optimal shade coverage and species
diversity according to the Shade coverage and species diversity reference parameters.
Indicators:• % shade cover averaged over the portion of the farm or group of farms growing shade-tolerant crops• average number of shade tree species per hectare growing shade-tolerant crops

6.2.6 Farms increase the areas under natural vegetation beyond the amounts established in requirement 6.2.3.
Indicator:• % of total farm area under natural vegetation cover

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6.3 RIPARIAN BUFFERS
No.

Core requirements

Group certification
S-farms

6.3.1

L-farms

Group mgt.

Ind. cert.
S/L

Farms maintain existing riparian buffers adjacent to aquatic ecosystems.

6.3.2 Producers maintain the following additional safeguards for the protection of drinking water in casethe farm is located closer than 50m from a river, lake, or other water body that is frequently used as the main sourceof drinking.
• Maintain or establish a riparian buffer that is at least 10m wide
• Add an outer, additional 20m non-application zone (total 30m) where no pesticides or fertilizers are used
• Add an additional 20m zone (from 30 to 50m from the waterbody), in which pesticides are only applied
through mechanical, hand-assisted or targeted application

No.

Mandatory Improvement

6.3.3
L1

Aquatic ecosystems are surrounded by riparian buffers with the following riparian buffer width parameters:
5m horizontal width along both sides of water courses between 1 - 5m wide.
For farms < 2 ha, the width of the buffer may be reduced to 2m at both sides
8m horizontal width along both sides of water courses between 5-10m wide, and around springs, wetlands, and otherwater bodies
15m horizontal width along both sides of rivers wider than 10 meters wide
No additional non-application zones are required alongside fully established riparian buffers.

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6.4 PROTECTION OF WILDLIFE AND BIODIVERSITY
No.

Core requirements

Group certification
S-farms

6.4.1

L-farms

Group mgt.

Ind. cert.
S/L

Threatened animals and plants are not hunted, killed, fished, collected, or trafficked.
Additionally, producers and workers do not hunt other animals, with the following
exceptions:• Producers of small farms may hunt non-threatened animals for non-commercial use only
• Producers may hunt vertebrate wildlife pests on the farm only following the farm’s Integrated Pest Management(IPM) plan, and only as a measure of last resort.
Explosives or toxic substances are never used for hunting, fishing, or control of wildlife pests.

6.4.2 Producers do not hold wildlife in captivity. Captive wild animals that were present on the farm before the earliest

certification date are sent to professional shelters or may be held only for non-commercial purposes for theremainder of their lives. Captive wild animals and farm animals are treated following the five freedoms of animal
welfare.

6.4.3 Producers do not intentionally introduce or release invasive species. Producers do not dispose of existing invasive
species or their parts in aquatic ecosystems.

6.4.4 Producers do not use wildlife for processing or harvesting of any crop (e.g. luwak for coffee, monkeys for coconut,
etc).

6.4.5 Erosion by water and wind is reduced through practices such as re-vegetation of steep areas and terracing.
Please see Guidance Document J: Soil Fertility and Conservation

6.4.6 Fire is not used for preparing or cleaning fields, except when specifically justified in the IPM plan.
Please see Guidance Document J: Soil Fertility and Conservation

No.

Mandatory Improvement

6.4.7 Producers minimize human-wildlife conflicts that affect workers, wildlife, crops, or farm assets with locallyappropriate mitigation measures. Measures can include siting of infrastructure, fencing and corridors but
L1should not unnecessarily restrict wildlife mobility or access to water or other resources. Workers are trainedin procedures and emergency responses for addressing crop damage or wildlife attacks.

6.4.8 Group management supports producers to minimize human-wildlife conflicts that affect producers, workers,
L1

wildlife, crops, or farm assets with locally appropriate mitigation measures. Measures can include siting of
infrastructure, fencing, and corridors but should not unnecessarily restrict wildlife mobility or access to resources
like water.

6.4.9 Producers take measures to contain and reduce existing invasive species.
L1

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6.5 WATER MANAGEMENT AND CONSERVATION
No.

Core requirements

Group certification
S-farms

6.5.1

L-farms

Group mgt.

Ind. cert.
S/L

Producers comply with the applicable law for the withdrawal of surface or groundwater for agricultural,
domestic, or processing purposes.

6.5.2 If required, producers have a license or permit (or a pending request) for the withdrawal of surface
or groundwater for agricultural, domestic, or processing purposes.

6.5.3 Irrigation and water distribution systems are maintained to optimize crop productivity while
minimizing water waste, erosion, and salinization.

No.

Mandatory Smart Meter

6.5.4 Irrigation and water distribution systems are managed to optimize crop productivity considering atleast the following factors:• Crop evapotranspiration at different growth stages• Soil conditions• Rainfall pattern
Producers record the amount of water used for irrigation from year one onwards.
Indicator:• Water use for irrigation in total and per unit of product (L, L/kg)

6.5.5 Management takes measures to reduce the use of processing water per unit of product. Water use
and reduction are monitored and documented from year one onwards.

For Group Management, this is applicable if groups have central processing facilities.
Indicator:• Water use for processing in total and per unit of the product leaving the farm (L, L/Kg)

No.

Self-Selected improvements

6.5.6 Producers use rainwater harvesting for irrigation and/or other agricultural purposes.
6.5.7 Producers participate in a local watershed committee or initiative and take action to help maintain or restore thewatershed’s health as part of this collective process. The nature of the participation and actions taken are
documented.

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6.6 WASTEWATER MANAGEMENT
No.

Core requirements

Group certification
S-farms

6.6.1

L-farms

Group mgt.

Ind. cert.
S/L

Tests for processing wastewater are conducted at all discharge points during the representative
period(s) of operation, and results are documented.
For farm groups, this is done at all group-managed (collective) processing facilities and at a
representative sample of member processing operations including the different types of treatment
systems.
Wastewater from processing operations discharged into aquatic ecosystems meets legal wastewater
quality parameters. In absence of these, it meets the wastewater parameters.
Wastewater from processing operations may not be mixed with clean water to meet the parameters.

6.6.2 Human sewage, sludge, and sewage water is not used for production and/or processing
activities. Sewage is not discharged into aquatic ecosystems unless it has been treated.
Not applicable to small farms:
Treated discharge is demonstrated to meet legal wastewater quality parameters or, in the absence of these,
the wastewater parameters.

6.6.3 Wastewater from processing operations is not applied to land unless it has undergone treatment to remove
particulates and toxins.
If treated wastewater is used for irrigation, in addition to the wastewater parameters, it must comply with thewastewater parameters for irrigation.

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6.7 WASTE MANAGEMENT
No.

Core requirements

Group certification
S-farms

6.7.1

L-farms

Group mgt.

Ind. cert.
S/L

Waste is stored, treated, and disposed of in ways that do not pose health or safety risks to people, animals or
natural ecosystems. Waste is stored and disposed of only in designated areas and not disposed of in natural
or aquatic ecosystems. Non-organic waste is not left on the land.

6.7.2 Producers do not burn waste, except in incinerators technically designed for the specific type of waste.
No.

Mandatory Improvement

6.7.3 Producers segregate and recycle waste based on available waste management, recycling, and disposal
options. Organic waste is composted, processed for use as organic or used as input for other processes.
L1

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6.8 ENERGY EFFICIENCYNo.

Core requirements

Group certification
S-farms

6.8.1

L-farms

Group mgt.

Ind. cert.
S/LManagement takes measures to increase energy efficiency and, if feasible, reduce dependency on non-renewableenergy sources used for production and processing.
The types of energy sources and associated machinery used for production and processing are quantified
and documented.
For Group Management, this is applicable if groups have energy use for processing
Please see Guidance Document N: Energy Efficiency

No.

Mandatory Smart Meter

6.8.2 Management sets targets for increased efficiency in energy use and for reduced dependency on non-renewableenergy sources. The progress is monitored and reported yearly.
For Group Management, this is applicable if groups have energy use for processing.
Indicators:• Amounts of renewable and non-renewable energy used, by type (e.g., volume of fuel, kWhelectricity, quantity of biomass energy)• Total energy use• Total energy use per kg of productNo.

Mandatory Improvement

6.8.3 If biomass energy is used for processing operations and/or domestic use, producers minimize the
L1

SA-S-SD-1-V1.2

direct and indirect effects of biomass use on natural ecosystems through actions such as:• Planting trees to increase the availability of biomass energy on or around the farm
• When biomass is purchased, sources not associated with the destruction of forests or othernatural ecosystems are sought.

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6.9 GREENHOUSE GASES REDUCTION
No.

Self-Selected Smart Meter

Group certification
S-farms

6.9.1

L-farms

Group mgt.

Ind. cert.
S/L

Producers document net Greenhouse Gases (GHG) emissions from main sources in production and processing
operations. This includes emissions from use of fossil fuels and electricity, fertilizer, waste andwastewater and land use change.
Producers establish GHG reduction targets, develop and implement a strategy to meet these targets,and monitor annually against these targets.
Indicators:• Total annual net GHG emissions from the above indicated sources (tons of CO 2e)• Net GHG emissions from the above indicated sources per unit of the final farm product (tons of CO2e per unit)
Please see Guidance Document O: GHG Emission Reductions

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