RAINFOREST ALLIANCE
PROCEDURE
Grievance and Appeals Mechanism
Version 4

The Rainforest Alliance is creating a more sustainable world by using social and market forces
to protect nature and improve the lives of farmers and forest communities.

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For any question related to the precise meaning of the information contained in thetranslation, please refer to the official English version for clarification. Any discrepancies ordifferences in meaning due to translation are not binding and have no effect for auditing or
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Document Name:

Document Code:

Version:Language:

Grievances and Appeals Mechanism

SA-PR-GA-1

V4EN

Date of first publication:

Date of Revision

Valid from date:

Expiration date:August 26th 2021

September 2023

October 1st, 2023

Until next review

Developed by:Approved by:Rainforest AllianceDirector, Standards and Assurance

Linked to (code and name of documents, if applicable):
SA-R-GA-1-V1.3 2020 Certification & Auditing Rules (Grievance Procedure / 1.12)
SA-R-GA-1-V1.3 2020 Certification & Auditing Rules (Additional requirements for performing aninvestigation audit / Annex AR)
All documents related to the Rainforest Alliance Certification program
Replaces:
SA-PR-GA-1-V3.1 Grievance Procedure
Applicable to:Anyone who has a grievance against a certified producer or supply chain actor, a certificationbody (CB), or against the Rainforest Alliance itself regarding the standard setting procedures andthe operations of the certification program.
Regions:
GlobalCrops:

Type of organizations:

AllAllThis procedure document is binding. This means that it must be adhered to; therefore, thisprocedure supersedes any related rules or requirements contained in the documents listed in
the section “linked to” and/or “replaces” for those party or parties as indicated in the"applicable to" section.
Any use of this content including reproduction, modification, distribution, or republication,
without the prior written consent of Rainforest Alliance is strictly prohibited.

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CONTENT
Principles ................................................................................................................................................ 3
Process ................................................................................................................................................... 5
Desk Review for Grievances ........................................................................................................ 5
Desk Review for Appeals ............................................................................................................. 6
Investigation Audit performed by the Certification Body ........................................................ 7Investigation Audit performed by Rainforest Alliance ............................................................. 7PRINCIPLESI.

Scope: The grievance procedure is open to anyone who has a grievance against a
Rainforest Alliance certified producer or supply chain actor, a certification body (CB), or
the Rainforest Alliance itself, regarding the standards setting procedures or operations of
the certification program. The grievance must be about compliance with the Rainforest
Alliance standards, rules, policies, and procedures directly related to the Rainforest
Alliance certification program.1 A grievance can include reporting potential as well as
actual instances of corruption and misrepresentation of the Rainforest Alliance certification
programs and its trademarks; for example, reporting misuse of labels and claims. The
grievance cannot be about contractual obligations between Certificate Holders and/orCertification Bodies that go beyond policies and procedures of the Rainforest Alliance.
Also, no claims for direct financial compensation from the Rainforest Alliance areaccepted.
The grievance should be related to the 2020 Certification Program. Grievances going backto 3 months before the event of the grievance will not be accepted.

II.

Pathway to resolution: Grievances should be addressed at the most direct level possible.
Only if resolution fails at that level, should the next level be engaged. For example, a worker
who has concerns about a labour practice on a certified farm, shall first utilize the farm’s
own grievance mechanism. A stakeholder who has concerns about a CB, shall first contact
the CB directly to try and solve the matter using the complaint and appeal procedure ofthe CB. If the concerns still are not resolved, the stakeholder can file a grievance throughthe Rainforest Alliance Grievance Procedure. In certain cases where reporting thegrievance at the most direct level might endanger the person reporting, he or she can opt
to use the Rainforest Alliance Grievance Procedure prescribed in this document without
first approaching the subject of the grievance directly.

III.

Fairness: Grievances will be treated with procedural fairness:a. a person or organization which is the subject of a grievance, is given adequate
notice that a grievance has been received, the process the Rainforest Alliance will
use to address the grievance depending on the process the Rainforest Alliance
has established to follow, and that they have the right to provide information toinform the process.
b. a person managing a grievance case or approving a decision should declare any
personal interest that he or she may have in the proceedings, should run theprocess and review information in a fair and unbiased way and should act in goodfaith to reach a resolution; and1 The documents related to the Rainforest Alliance certification program can be found at:https://www.rainforest-alliance.org/business/certification-documents/

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c.

IV.

V.

each party to a proceeding is entitled to ask questions, provide evidence, andsubmit a request to the Rainforest Alliance for additional information from the otherparty depending on the process the Rainforest Alliance has established must be
followed as not all interested parties will receive the same information.

Transparency: The Rainforest Alliance will keep records of all written communications andconversations, including date, time and a summary of issues discussed. Parties involved arerequested to refrain from commenting publicly on the grievance until a decision is madeand all parties have been informed accordingly.
Confidentiality: The Rainforest Alliance will not share with other parties that are not part of
the grievance process: (1) the identity of the parties involved in the grievance, (2) detailsof the grievance, or (3) the measures taken to resolve the grievance. However, theRainforest Alliance may share this information if there is a legal obligation to do so or if aninvolved party makes a public statement regarding such a complaint. The Rainforest
Alliance reserves the right to share information from grievance and appeals processes inan anonymised form, within Rainforest Alliance or for external reporting to support thecontinuous improvement of the certification system.

VI.

Right to anonymity: The Rainforest Alliance will accept both anonymous grievances andgrievances in which the complainant identifies him/herself. However, anonymous
submission can hamper the Rainforest Alliance’s ability to arrive at a full understanding andresolution of the grievance. Grievance submitters are encouraged to disclose their identity
to the Rainforest Alliance. The Rainforest Alliance will respect the confidentiality of asubmitter who wishes to remain anonymous to the party about which the complaint has
been made where revealing the identity could negatively impact the grievance submitter.

VII.

Right to pursue remedial action: Submitting a grievance through the Rainforest Alliance
Grievances and Appeals Mechanism does not affect the right of the submitter to pursue
other forms of remedial action, if necessary, once the RA grievances and appeals
mechanism has been concluded.

VIII.

Protection from retaliation: Any person or organisation who is party to a grievanceprocedure must refrain from any form of retaliation against other concerned parties. The
Rainforest Alliance reserves all rights to sanction any participant in the grievanceprocedure if they are found to have engaged in retaliatory action. This means that theRainforest Alliance may suspend the certificates of certificate holders, or sanction
certification bodies found to have retaliated against another party in a grievance process.
Submitters may provide information to the Rainforest Alliance on any concerns about
retaliation and how to mitigate such concerns.

IX.

Good faith: By submitting a grievance, the submitter accepts the provisions of thisgrievance procedure. All parties involved in a grievance procedure are required toengage in the process in good faith and with a genuine desire to seek resolution. The
Rainforest Alliance commits to engage in good faith in the resolution of any grievance andto take any necessary corrective action to resolve grievances against the Rainforest
Alliance directly.

X.

Process to follow: The Rainforest Alliance will establish which process the Grievances andAppeals Mechanism should follow based on the case description:

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a.
b.
c.
d.

Desk Review for Grievances
Desk Review for Appeals
Investigation Audit by Certification Body
Investigation Audit by Rainforest Alliance

PROCESS
Desk Review for Grievances
1. A grievance is submitted through the online grievance form or as an informal grievanceby an email, phone call, text message, media outlets, or news articles. An exception canbe made if the submitter is illiterate or has no access to the internet. A grievance includes
at least the following information:
a. name and contact details (unless the grievance is submitted anonymously)b. description of the grievancec. supporting evidence (optional)
d. description of the steps already taken to resolve the grievance at an informal ordirect level.
2. The Rainforest Alliance will assess whether the grievance is eligible to be addressed throughthe Rainforest Alliance Grievance Procedure. A grievance is considered eligible if:
a. it is within the defined scope (as set out in principle I in the previous section);b. a solution at an informal or lower level has been sought through the appropriate
channel as set out in principle II in the previous section); andc. the grievance has been submitted including the correct information (as set out inprocess 1 above).
A grievance against a decision by the Rainforest Alliance is considered an appeal and will be
dealt with through an appeal procedure as described below.
3. The Rainforest Alliance will inform the submitter within 3 weeks after receipt of thegrievance if the grievance is found eligible or non-eligible. In that case, the Rainforest
Alliance will appoint a grievance manager to handle the grievance in accordance withthis procedure. The grievance manager has appropriate contextual knowledge to handle
the case and is, as much as possible, impartial, and free of any conflict of interest in relation
to the grievance and the parties involved. If the complexity of the case so requires, theRainforest Alliance may appoint a committee of up to three persons, including one
grievance manager, to handle the grievance.
4. The Rainforest Alliance will:a. inform the submitter in writing of the name and contact details of thegrievance manager and the process for handing the grievance;
b. inform the subject of the complaint in writing that a grievance has been
received, the subject of the grievance and the name of the grievance
manager;c. invite the subject of the complaint to send in a written reaction and supporting
evidence. The Rainforest Alliance may decide to extend the period forsubmitting a reaction and supporting evidence at the request of the subjectof the complaint if a valid reason is given.
5. Following receipt of any evidence from the party who is the subject of the complaint, theRainforest Alliance may request additional information from either party to develop a full

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picture of the situation. Any party requested to provide further information will be given 1extra week to submit this to the Rainforest Alliance.
6.

Within 3 weeks following the deadline for receipt of information, the Rainforest Alliance will
inform the parties of the Rainforest Alliance’s understanding of the situation and theproposed resolution. Where an informal resolution is deemed possible, the Rainforest
Alliance will contact both parties to attempt to resolve the issue by mutual accord (ifapplicable). Where this is not possible Rainforest Alliance will make a decision and inform
both parties of this decision by email, including the reasons for the decision and, ifapplicable, any follow up measures to be taken. The Rainforest Alliance reserves the rightto extend the period for making a decision if the complexity of the case or other specificreasons so require. The Rainforest Alliance will inform the parties in writing of any suchextension.

7. Either party may appeal the decision made by the Rainforest Alliance on a grievance, or
any other decision by the Rainforest Alliance, by submitting an appeal within 3 weeks after
the notification of the decision.

Desk Review for Appeals
1. An appeal is a complaint against a decision made by the Rainforest Alliance. The appeal
is submitted through the online grievance form or as an informal appeal by an email. An
exception can be made if the submitter is illiterate or has no access to the internet. An
appeal includes at least the following information:
a. name and contact details of the appellant
b. specification of the decisionc. grounds of the appeal
d. supporting evidence (if relevant).
2. The Rainforest Alliance will inform the appellant within 3 weeks after receipt of the appeal
if the appeal is found eligible or non-eligible. The appeal is eligible if it is within the defined
scope, and if the appeal has been submitted correctly.
3. If the appeal is found eligible, The Rainforest Alliance will appoint an appeal panel tohandle the appeal in accordance with this procedure. The appeal panel consists of threepeople who have appropriate contextual knowledge to handle the case and who are, asmuch as possible, impartial, and free of any conflict of interest in relation to the appeal
and the parties involved. Staff who handled the case in the first instance cannot take partin the appeal panel. The Rainforest Alliance may decide to appoint one person instead ofthree. Also, the Rainforest Alliance may decide to appoint one or more external parties totake part in the appeal panel.
4. After informing the appellant that the appeal is found eligible, the Rainforest Alliance will:a. inform in writing the appellant of the names of the appeal panel.
b. inform in writing relevant Rainforest Alliance personnel that an appeal has been
received, the nature of the appeal and the names of the appeal panel appointed
to consider the appeal.
c. request relevant Rainforest Alliance staff to provide all relevant information andsupporting evidence. The Rainforest Alliance may decide to extend the period forsubmitting information and supporting evidence if there are reasonable grounds to
do so.

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5. The appeal panel may request additional information from either the appellant orRainforest Alliance staff to complete their deliberations. Parties will be allowed 1 extra week
to submit further information as requested.
6. The appeal panel will decide on the appeal by consensus. If no consensus is possible, theappeal panel will decide by majority vote. The Rainforest Alliance reserves the right toextend the period for making a decision if the complexity of the case, or other specificreasons so require. The Rainforest Alliance will inform the parties in writing of any suchextension.
7. Within 3 weeks following the deadline for receipt of information, the appeal panel will
inform the parties of Rainforest Alliance’s understanding of the situation and the proposedresolution. Where an informal resolution is deemed possible the Rainforest Alliance willcontact both parties to attempt to resolve the issue by mutual accord. Where this is notpossible, the Rainforest Alliance will make a decision and inform both parties by email ofthe decision, including the reasons for the decision and, if applicable, any follow up
measures to be taken.
8. The decision of the appeal panel shall be binding on all parties and no further grievanceor appeal on the same matter will be accepted. Submitters and the Rainforest Allianceretain the right to pursue other forms of remedial action after the conclusion of theRainforest Alliance appeal process.

Investigation Audit performed by the Certification Body
1. Refer to the Policy to Conduct Investigation Audits

Investigation Audit performed by Rainforest Alliance
2. Refer to the Policy to Conduct Investigation Audits

SA-PR-GA-1-V47