POLICY FOR TEA FARM CERTIFICATION IN
KENYADocument SA-P-AF-24
Version 1
EnglishBinding from 1 January 2024
Published on 11 December 2023

© 2023 Rainforest Alliance. All rights reserved.

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

Document code:

Version:Language:

Policy For Tea Farm Certification in Kenya

SA-P-AF-24-V1

V1

EN

Date of first publication:

Date of revision:

Valid from:

Expires by:

N/A

January 1st,
2024

Until further notice

December 11th, 2023

Developed by:Approved by:

Assurance

Director of Assurance

Linked to:
SA-S-SD-1-V1.3 Rainforest Alliance 2020 Sustainable Agriculture Standard, Farm Requirements
SA-R-GA-1-V1.3 Rainforest Alliance Certification and Auditing rules
SA-G-GA-24-V1.2 Rainforest Alliance Auditor Verification Protocol

Applicable to:
Prospective and certified tea farm entities in the Rainforest Alliance 2020 Certification Program audited
against the 2020 Sustainable Agriculture Standard Farm Requirements
Approved Certification Bodies

Country/Region:
Kenya

Crop:

Type of Certification:

Tea

Farm Certificate holders

Policies are binding. Policies complement and/or supersede related rules or requirements for the parties they are applicable to. Rainforest Alliance reserves the right to change thispolicy at any time if deemed necessary.
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.
Any use of this content including reproduction, modification, distribution, or republication, without the prior written consent of Rainforest Alliance is strictly prohibited.

SA-P-AF-24-V1

2

CONTENTS
1.

Introduction ......................................................................................................................................... 42.

Overview of content .......................................................................................................................... 5
Additional Requirements ______________________________________________________________ 6

3.

Applicable Requirements for Farm Certificate Holders ................................................................. 7
Chapter 1: Management ______________________________________________________________ 7
Chapter 2: Traceability _______________________________________________________________ 13
Chapter 3: Income and Shared Responsibility __________________________________________ 14
Chapter 4: Farming __________________________________________________________________ 15
Chapter 5: Social ____________________________________________________________________ 18
Chapter 6: Environment ______________________________________________________________ 21

4.

Audit Process Rules ........................................................................................................................... 22
4.1 Certification Timelines _____________________________________________________________ 22
4.2 Certificate Validity ________________________________________________________________ 23
4.3 Extension Requests ________________________________________________________________ 23

SA-P-AF-24-V1

3

1. Introduction
This policy has been developed to align the requirements of the Rainforest Alliance 2020 Sustainable Agriculture Standard, Farm Requirements to thecontext of tea farming operations in Kenya. The requirements mentioned in this policy have been framed in such a way to further assist tea producers
in Kenya to implement the Rainforest Alliance Certification Program. An additional section has been added to each of the requirements to make it
clear to both tea producers as well as Certification Bodies auditing these requirements what is expected to be verified during the audit. For Certification
Bodies these additions must be read in conjunction with the Certification and Auditing Rules and Auditor Verification Protocol as the list of topics
provided under the column ‘CB verification during audit’ is not necessarily exhaustive. The policy does not cover all requirements of the Rainforest
Alliance 2020 Sustainable Agriculture Standard, Farm Requirements. Only requirements requiring clarity for both the country and crop context havebeen covered. The requirements mentioned in this policy do not replace the full intention of the requirement in the Standard but mention specificaspects for further clarification for both Certificate Holders and Certification Bodies. If a requirement of the Standard is not covered by this document,
both Certificate Holders and Certification Bodies must comply with the requirements and the rules as set out in the Rainforest Alliance 2020 Sustainable
Agricultural Standard, Farm Requirements V1.3 and the Rainforest Alliance Certification and Auditing Rules V1.3.
In addition to the table below providing context to a number of Requirements, there is a section on the Certification and Auditing Rules. These rules
provide a clarification that supersedes the implementation of the corresponding Chapters of the Certification and Auditing Rules V1.3
For now, this policy only applies to tea farming in Kenya, and will be tested in the coming months for future improvements.

SA-P-AF-24-V1

4

2. Overview of content
Requirement
numberSubject

Change1.2.2

Assessment of service
providers

Simplification: The most common service providers in the Kenyan tea sector andwhat needs to be verified for these actors during audits

1.2.8

Group Member Agreements

Clarification: Group member agreements retention at group member level

1.3.3

Provision of training services
to group members

Clarification: The trainings group management is expected to provide in thestandard, and the frequency whether annually, once every 3 years or on needbasis.

1.3.4

Provision of training services
to workers

Clarification: The trainings management is expected to provide in the standard,
and the frequency whether annually, once every 3 years or on need basis.

1.4.1

Internal inspections

Adapted: Conducting risk-based internal inspections in the certification cycle

2.2.3

Traceability in the Online
Platform

Volumes not sold as Rainforest Alliance Certified and/or lost are removed from thetraceability platform within two weeks before the expiry of the current license

3.3.1

Defining sustainability
Investments

Clarification: Defining and filling in the new tea SI template

4.4.1

Soil Assessment

Clarification: Conducting soil assessment, additional clarification for group farm
certificate holders

4.5.2

Pest monitoring

Clarification: Conducting pest monitoring for group farm certificate holders

4.6.9

Agrochemical waste
management

Clarification: Managing agrochemical waste, additional clarification for group farm
certificate holders

5.4.1

Filling in the salary matrix tool

Clarification: Filling in the salary matrix tool including workers under labor providers

5.4.2

Assessing workers’ wages

Adapted: Collective Bargaining agreement is an acceptable evidence of wage
improvement

5.5.2

Working hours and overtime

Clarification: Working hours and overtime for security guards, clarification where
CBA or local law is stricter

6.7.1

Waste management:
general waste

Clarification: Managing general waste, additional clarification for group farm
certificate holders

SA-P-AF-24-V1

5

Additional Requirements
1. Certification Timelines
2. Certificate Validity
3. Extension requests

SA-P-AF-24-V1

6

3. Applicable Requirements for Farm Certificate Holders
Chapter 1: Management
1.2 Administration
No.

Core requirements

Actions which need to be taken byCHs

CB verification during audit

Group certification
Sfarms1.2.2

There is a list of current
service providers, suppliers,
intermediaries and subcontractors.
Mechanisms are in place to ensurethat they comply with applicable •requirements of the Standard for ••work within the scope of•
certification.
For Farms- This is valid for work in the field,
work in processing, and Labor
provision.
- "Suppliers" refers only to otherfarms they buy certified productfrom.

Management must include the following
actors in the certification scope and indicate
them in the Certification Application Form•(not exhaustive):• Service providers• Security firms (e.g., Intercity, G4S, KK

Security)• Labor providers (e.g., Cyka, Manpower
Services, Koroso, Hastros)

Transporters and suppliers of green leaf are
not included in the scope of service providers.
Firewood suppliers are not included in thescope of service provides, instead CHs mustcomply with requirement 6.8.3 whichbecomes applicable in year 3 of Certification.

Please see Guidance Document U:
Service Providers Applicability••

After identification of each of these actors,
management must conduct an assessment of
all service and labor providers against theapplicable requirements of the Standard,and:• Keep a copy of all assessments done
• Show what measures were taken with that

service and/or labor provider to ensurecompliance if the assessment identified any
non-conformities with an applicablerequirement of the Standard.

SA-P-AF-24-V1•

Lfarms

Group
mgt.

Ind.
cert.
S/L

Auditors must verify throughdocumentation/records and interviews that:• Management has a list of service providers,

suppliers, subcontractors, and intermediaries,
including the type of service each of these
actors delivered/were contracted for in thelast year.
• Management has conducted anassessment and monitoring of service andlabor providers and that they are compliant
with all applicable Standard requirements.
These include but are not limited to(depending on the type of service provider):compliance with local laws, wages andcontracts, working conditions, health andsafety.
• Management has records of theassessments and monitoring done with eachservice and labor provider. In the case that aservice and/or labor provider was found to
be non-compliant with any applicablerequirement of the Standard, verify measurestaken to rectify this.
Refer to the AVP for more details as well as
the Annex on Auditing Labor Providers in theCertification and Auditing.

7

1.2.8

A signed (or marked) agreement isin place between the group andeach group member, specifying

In addition to the bullet points alreadyreferred to in the requirement, groupmanagement must ensure that:the rights and obligations of each •• The agreement is signed by both group

party including at least:• The group member’s obligation

management and the group members(members who cannot sign may mark theagreement with a fingerprint).

to comply with the Rainforest
Alliance Sustainable Agriculture•• A copy of each agreement with a group

Auditors must verify throughdocumentation/records and interviews that:•••• The group member’s guarantee

member is available on request. It is notnecessary for each group member to have aphysical copy of their agreement. However, if
the group member specifically asked for a •copy this is made available to them for their•own records.

that any product sold as certified •• All original signed (or marked) agreements

comes only from their farm.

are archived safely and can be retrieved
easily.

Standard.
• The group member’s obligationto accept both internal inspections
and external audits and sanctions.

• The group member’s right to•appeal decisions made by thegroup management by using the• Agreements comply with all conditions

specified in this requirement.
• Agreements are signed or marked with afingerprint by both group management andgroup members.
• Group members fully understand thecontents of the agreement, as well as thatthey could request a copy of theagreement.
• Group members who requested a copy of
the agreement have such a copy.
• All original signed (or marked) agreements
are available at the group management
officeRefer to the AVP for more details• Each individual group member understands

the contents of the agreement.

grievance procedure.
• The group member’s agreement
to share such member’s farm data(such as geodata, volumes, areaetc.) with group management andthe Rainforest Alliance for use,
publication and sharing within the
supply chain as described in the
Rainforest Alliance General Terms
and Conditions and its Privacy
Policy.
Each group member understands
the agreement. Agreements arecentrally archived, and a copy isavailable for each group member.

SA-P-AF-24-V1

8

1.3 Risk Assessment and Management Plan
No.

Core requirements

Actions which need to be taken byCHs

CB verification during audit

Group certification
Sfarms

1.3.3

Management provides groupmembers with services based on
the management plan. Services
can include training, technicalassistance, support in record
keeping, access to inputs (e.g.,
seedlings), awareness-raising
activities, etc. Management
documents the services provided.

Group management must provide training togroup members at the frequency determined by
the applicable requirements of the Standard•
and include this in the management plan as
follows:• 1.6.2 – annual awareness raising on genderequality and women's empowerment.

o• 4.6.3 - annual training of pesticide handlers.
• 5.1.1 - raise awareness of child labor, forcedlabor, discrimination and workplace violence atleast once a year.
• 5.6.13 - one emergency drill per year.

Indicators:• # of training activities provided tomembers• Topics of the training activities

Group management must ensure that training is•conducted as per the following requirements atleast once in the 3-year certification cycle and •include this in the management plan:• # and % of members attending

training activities (M/F)• # and type of services (other thantraining) provided to members

•
•
•

•

• Chapter 1: 1.1.5, 1.4.4• Chapter 4: 4.2.1• Chapter 5: 5.1.2, 5.6.5, 5.6.8, 5.6.9, 5.6.10, 5.6.15,• Chapter 6: 6.4.1, 6.4.2•
Group management must determine on aneed's basis the frequency of other trainings
required by the Standard when this is not
explicitly mentioned in the requirement. These •needs must be determined by using the results ofi) the internal inspections, ii) the risk assessment,
and iii) the management plan. The agreed
trainings and frequency thereof must be
captured in the management plan.

Lfarms

Group
mgt.

Ind.
cert.
S/L

Auditors must verify through records andinterviews that:• Group management has conductedtrainings according to the frequency
stipulated in the Standard for thefollowing requirements: 1.6.2, 4.6.3, 5.1.1,
and 5.6.13.
• Group management has conductedtraining at least once in a 3-year
certification cycle for the following
requirements: 1.1.5, 1.4.4, 4.2.1, 5.1.2,
5.6.5, 5.6.8, 5.6.9, 5.6.10, 5.6.15, 6.4.1,
6.4.2.
• These trainings have been included in
the management plan.
• Group management has done ananalysis of all other requirements of theStandard and identified appropriate
training needs and frequencies throughuse of i) the internal inspections, ii) therisk assessment and iii) the management
plan.
• The management plan clearly
captures the training needs andfrequencies identified.
• Any actions identified in the
management plan have been
actioned.

Any training needs and frequencies identified in
the management plan must be actioned
accordingly.

SA-P-AF-24-V1

9

1.3.4

Management provides workers withservices based on the
management plan. Services can
include training, awareness-raising
activities, etc. Management
documents the services provided. •Indicator:••• # of training activities provided toworkers•• Topics of the training activities

training activities (M/F)

training) provided to workers• 1.6.2 - annual awareness raising on genderequality and women's empowerment.
• 4.6.3 - annual training of pesticide handlers.
• 5.1.1 - raise awareness of child labor, forced olabor, discrimination and workplace violence atleast once a year.
• 5.6.13 - one emergency drill per year.
Management must ensure that training is•
conducted as per the following requirements atleast once in the 3-year certification cycle and•include this in the management plan:• # and % of workers attending• # and type of services (other thanManagement must provide training to workers at
the frequency determined by the applicablerequirements of the Standard and include this in•
the management plan as follows:

•
•
•

•

• Chapter 1: 1.1.5, 1.4.4• Chapter 4: 4.2.1• Chapter 5: 5.1.2, 5.6.5, 5.6.8, 5.6.9, 5.6.10, 5.6.15,• Chapter 6: 6.4.1, 6.4.2•
Management must determine on a need's basis
the frequency of other trainings required by theStandard when this is not explicitly mentioned in•
the requirement. These needs must be
determined by using the results of i) the risk
assessment, and ii) the management plan. The
agreed trainings and frequency thereof must be
captured in the management plan.

Auditors must verify through records andinterviews that:• Management has conducted trainings
according to the frequency stipulated in
the Standard for the following
requirements: 1.6.2, 4.6.3, 5.1.1, and5.6.13.
• Management has conducted training
at least once in a 3-year certification
cycle for the following requirements:
1.1.5, 1.4.4, 4.2.1, 5.1.2, 5.6.5, 5.6.8, 5.6.9,
5.6.10, 5.6.15, 6.4.1, 6.4.2.
• These trainings have been included in
the management plan.
• Management has done an analysis of
all other requirements of the Standard
and identified appropriate training
needs and frequencies through use of i)
the risk assessment and ii) the
management plan.
• The management plan clearly
captures the training needs andfrequencies identified.
• Any actions identified in the
management plan have been
actioned.

Any training needs and frequencies identified in
the management plan must be actioned
accordingly.

SA-P-AF-24-V1

10

1.4 Internal Inspections and Self-Assessment
No.

Core requirements

Actions which need to be taken byCHs

CB verification during audit

Group certification
Sfarms1.4.1

Management has an internal
inspection system in place toannually assess compliance of
all actors within the scope of•
certification.
The system includes:• For Farms: group members’
farms, processing and/or•
storage sites and any otheractors (including
subcontractors, intermediaries,
service providers).
•• For Supply Chain: sites andsubcontractors.
All actors are inspectedinternally before each external
audit:• In the first year ofcertification, the internal
inspection covers all
applicable requirements of
the Standard.

••• In consecutive years, theinternal inspection is based on
the Risk Assessment (for farms,
see 1.3.1), the previous year’sinternal inspection andprevious external audit results.
For farm scope only: a rotation
system is in place so that eachfarm unit is inspected at least•
every three years. In case of
remote farm units this is done
at least every six years.

SA-P-AF-24-V1

Group management must ensure the following forthe first certification audit of the 3-year cycle:• That all actors within the scope of certification
have been assessed against compliance of all
applicable requirements of the Standard which •includes all relevant actors mentioned in thisrequirement.
• That any actor found to be non-compliant withany applicable requirement of the Standard has •taken the necessary action to become compliant
before being able to be included in the scope of
certification.
• That all group members’ farms are inspected,•
however not all farm units need to be inspected in
the first year. A farm unit is a piece of continuous
land that is part of a farm. A farm unit can include
both agricultural and non-agricultural land with •buildings, facilities, water bodies, and otherfeatures. Refer to Annex S01: Glossary for more
information.
• That farm units of a group member must be
inspected at least once every 3 years, or once
every 6 years in the case of remote farm units.
•
That all group members that did not comply withthe applicable requirements of the Standard havetaken the necessary action to become compliant
before the next external audit.

Group management must ensure the following forthe 2 surveillance audits in a 3-year certification
cycle:• That a documented internal inspection plan has
been developed based on the results of i) the Risk
Assessment as per 1.3.1, ii) the internal inspections
conducted in the first certification audit, and iii)

Lfarms

Group
mgt.

Ind.
cert.
S/L

Auditors must verify throughdocumentation/records, interviews andobservation the following during the firstcertification audit of the 3-year cycle that:• All actors within the scope of certification
have been adequately assessed againstcompliance of all applicable requirementsof the Standard.
• If any actor was found to be noncompliant with any applicablerequirements of the Standard necessary
action was taken to close this noncompliance• All group members’ farms have beeninspected against all applicablerequirements of the Standard.
• If a group member has more than 1 farmunit, the CH has a plan in place to inspect
all farm units over the 3-year certification
cycle. Only in cases of farm units being
remote can this be spread across the 6-year
cycle• Group management took necessary
action with any group members that did
not comply with the applicablerequirements of the Standard
Auditors must verify throughdocumentation/records, interviews andobservation the following during the 2
surveillance audits in the 3-year cycle that:• Group management has developed adocumented internal inspection plan basedon results of i) the Risk Assessment, ii) theinternal inspections conducted in the first

11

•

•
•
•

•

•

the previous external audit which clearly identifies
which actors are to be assessed and against
which requirements of the Standard.
• Based on good performance in previous audits
and group members being considered low risk,•
coverage of all requirements in the internal
inspections may be reduced.
• Based on good performance in previous audits,•less than 100% of all group members may beinternally inspected1.
• Any reduction in the number of actors and/or •scope of requirements assessed must be able tobe justified to the external auditor.
• Internal inspections for all large group members’
farms are done annually against all applicablerequirements of the Standard. A large farm isdefined as all farms with 10 or more permanent
workers.
• That internal inspections are conducted for any
new group members

certification audit, and iii) the previous
external audit, which clearly identifies which
actors are to be assessed and against
which requirements of the Standard.
• Group management can justify any
reduction in the number of actors and/or
scope of requirements assessed.
• All large group member farms have beeninspected annually.
• Internal inspections have been
conducted for any new group members.

1 Through this policy this idea is being pilot-tested, which is an adaptation of the Standard. The Rainforest Alliance reserves the right to require specific CHs to increase their internal

inspection sample size based on risk.

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12

Chapter 2: Traceability
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

Actions which need to be taken by CHs

CB verification during audit

Group certification
Sfarms2.2.3

Volumes not sold as Rainforest
Alliance Certified and/or lostare removed from thetraceability platform within
two weeks after the end of
the quarter in which the
shipment took place orvolume was lost.

For mass balance volumes,
please see SA-S-SD-20 Annex
Chapter 2: Traceability forfurther detail on applicability

SA-P-AF-24-V1

Management may remove volumes not sold as
Rainforest Alliance Certified and/or lost from thetraceability platform within two weeks before theexpiry of the current 1-year license.
•
Management must have a procedure in place toremove these volumes at least annually from thetraceability platform and maintain documented
evidence of these volumes throughout the year. •LfarmsInd.
cert.
Group S/L
mgt.

Auditors must verify throughdocumentation/records and interviews with
relevant personnel that:• Certified volumes sold without a Rainforest
Alliance claim are removed from thetraceability platform• Certified volumes that become lost (e.g.
spoiled, damaged etc.) are removed from thetraceability platform•• Timing for the removal of volumes is respected
i.e. at least two weeks before the expiry of thecurrent license•• The CH has a procedure in place to remove
these volumes at least annually and has
documentation recording these volumes

13

Chapter 3: Income and Shared Responsibility
3.3 Sustainability Investments
No.

Core requirements

Actions which need to be taken
by CHs

CB verification during audit

Group certification
Sfarms

3.3.1

Management 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 ofManagement Capacity Assessment and Risk
Assessment)•• • Audit reports• • Internal inspections and self-assessments•
Management documents the in-kind andmonetary Sustainability Investments received
from buyers for this investment plan
according to the Rainforest Alliance•investment categories.

Indicators:• • Investment needs specified per category in

the Rainforest Alliance defined investment
categories•• • Sustainability Investments received fromManagement must use the Sustainability
Investment (SI) Plan Template to record
the investments needed to attain or
maintain compliance with the RA2020•
certification standard.
The form must be filled in before theexternal audit and within the timelines
according to the Certification and
Auditing Rules.

• Filled out the Sustainability
Investment (SI) Plan Template online.
This can be done by asking for a
copy of the email sent to them after
completion.
• Filled in the results from the form in
the RACP account under the‘Indicator data’ tabThis video can be used to assist with•completion of the form:
https://knowledge.rainforestalliance.org/v1/docs/how-to-use-thesustainability-investment-template-for-tea.

• All required fields in the SI Plan
Template have been filled in andthat the data is consistent, complete
and correct. If this is not the case,management must resubmit theform.

Once the form has been submitted anemail will be sent to the email addressused on the form with the results. This pdf
can be uploaded under the ‘documents’tab in the RACP account.

Group
mgt.

Auditors must verify throughdocumentation/records thatmanagement has:•

The form can be accessed through thislink: https://si-form.ra.org/

Lfarms

Ind.
cert.
S/L

For more guidance on auditing thisindicator, refer to Requirements andAuditing of Indicators

Additionally, the figures generated in the'Results’ section of the form must be filled
into the RACP account under the‘Indicator data’ tabbuyers• • Distribution of the Sustainability Investments

against the pre-defined investment
categories, as % of the total amountreceived

SA-P-AF-24-V1

14

Chapter 4: Farming
4.4 Soil Fertility and Conservation
No.

Core requirements

Actions which need to betaken by CHs

CB verification during audit

Group certification
Sfarms

4.4.1

Management conducts a soil assessment•
for a representative sample of areas. The
soil assessment includes:
a. Erosion prone areas and slope
b. Soil structure
c. Soil depth and soil horizons
d. Densification of compaction arease. Soil moisture and water level in the soil
f. Drainage conditions
g. Levels of macronutrients and organic •matter. This is assessed through soil tests
and/or observation of visual symptoms ofnutrient deficiency (leaf tests) for arepresentative sample of areas.
The soil assessment is updated at least
once every three years.
For annual crops, point g. on Levels ofmacronutrients and organic matter isassessed annually.
•

SA-P-AF-24-V1

All large farms in a group andindividually certified farms must
conduct an assessment, and for arepresentative sample of areas. A•
representative sample must include atleast all the different areas for
production on the farm and soils withdifferent characteristics.
For a group of farms, the assessment is•carried out for a representative
sample of areas. It is suggested to use
the Square Root formula to calculate•the sample size of group members to
be included. For example, if there
are1000 members in the group,
records must be kept for a minimum of
32 (rounded up from 31.62) members.•
A representative sample must include
at least all farms which have different
soil characteristics.

Lfarms

Group
mgt.

Ind.
cert.
S/L

Auditors must verify throughdocument/records, interviews andobservation that:• All large farms in a group and individuallycertified farms have conducted anassessment on a representative sample ofareas.
• For a group of farms an assessment has
been done on an adequate sample ofgroup member farms.
• In both cases the sample is representativeof all the different areas of production andincludes all soils with different
characteristics.
• In both cases the soil assessment is
updated at least once every 3 years, andpreferably before each new 3-year
certification audit.

Management must update the soil
assessment at least once every 3
years. This does not mean that theentire assessment needs to be redone,
rather that the plan be re-checked
and updated/amended if certain
aspects have changed. If there arestill aspects that need to be addressed
this must remain in the plan. This is thesame principle used when updating
the Management Plan. It is suggested
that this assessment is done before thecertification audit and then updated
thereafter for each new 3-year
certification cycle,

15

4.5 Integrated Pest Management (IPM)
No.

Core requirements

Actions which need to be taken by CHs

CB verification during audit

Group certification
Sfarms

4.5.2

Producers regularly
monitor and record
pests.

•

Monitoring records are
kept by large farms andby group management
for a representative•
sample of producers.

A representative sample must include as a minimum:• Different farm sizes,

Records include date,location and type ofpest.

•• All the different areas in which farms are situated, and• Group members that may be using different types ofagrochemicals, have different shade trees and/or othercrops.
••

SA-P-AF-24-V1

For groups of farms, group management must keep
records for a representative sample of group members. It
is suggested to use the Square Root formula to calculate
the size of a representative sample of group members. •For example, if there are1000 members in the group,
records must be kept for a minimum of 32 (rounded up
from 31.62) members.
•Group management must appoint responsible persons
for monitoring of pests and provide them with instructions
and/or trainings on the same to them.
•
For both large farms and groups of farms management
must develop a pest monitoring and record keeping
procedure which considers at least the following:•• How to identify the main crop pests by using crop
guides, pictures, or apps if available,•• The pests that can be observed and monitored withoutelaborated procedures,•• How regularly monitoring must take place considering
times of the year when the crop is more susceptible andweather conditions that have been identified topromote pest, disease and weed outbreaks, and•• That the same scouting pattern and sampling method
appropriate for the pest (stage) is always used.

Lfarms

Group
mgt.

Ind.
cert.
S/L

Auditors must verify throughdocuments/records and interviews that:• All large farms in a group andindividually certified farms monitor andrecord pests.
• For groups of farms. group management
keeps records of pests for an adequately
representative sample of group members.
• For groups of farms, group management
has appointed responsible persons formonitoring of pests and provided
instructions and/or training to them.
• The appointed responsible persons
understand and implement the procedureand recordkeeping requirements formonitoring pests.
• Both large farms and groups of farms
have a pest monitoring and record
keeping procedure which identifies as aminimum: how to identify pests, whichpests can be most easily observed,
frequency of monitoring and adequate
scouting patterns.

164.6 Agrochemicals Management
No. Core requirements

Actions which need to betaken by CHs

CB verification during audit

Group certification
Sfarms4.6.9

Empty pesticides containers and•application equipment are washedthree times, and rinsing water is usedin the last batch of the mix to apply
to the crop. After application ofpesticides, application equipment is •washed three times, and the surplus
mix is disposed of in way thatminimizes the negative impact on theenvironment and human health, by
diluting it with ten times the amountof 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 supplierdoes not accept empty containers,
they are cut or perforated to prevent
other uses.
Prohibited, obsolete and expired
pesticides are returned to the supplieror local authority. In absence of acollection system in place, theseproducts are labelled and stored•safely and separately from otherproducts in a locked space

Management has a procedure for the
management of empty pesticidecontainers which complies with the•requirements of the Standard.
Management must communicate andfollow up with workers and group•members on the appropriate methods
for cleaning and managing empty
pesticide containers. Training ofworkers and/or group members thatare handling pesticides isrecommended.
•Management must keep records on
how obsolete and expired chemicals •are stored and handled.
If the supplier does not accept empty•
containers, they must be cut or
perforated to prevent other uses. Aftercontainers have been cut or
perforated, they can be brought tospecific landfill sandpits, or destroyed •using high-temperature incineration •according to what is allowed undernational legislation.
••
Local solutions available can be used•
to manage waste, provided it is•compliant with the requirements of theStandard.

••••

SA-P-AF-24-V1

Lfarms

Group
mgt.

Ind.
cert.
S/L

Auditors must verify through documents/records andinterviews that:• The procedure for management of empty
pesticide containers, storage and disposal follows therequirements of the Standard• If training has been given to workers and/or groupmembers on how empty pesticide containers arecleaned and managed. If no training was given
check how this was communicated to workers
and/or group members• There are records on how obsolete and expired
chemicals are stored and handled.
• Workers and/or groups members understand how
to correctly manage empty pesticide containers.
• The correct procedure is being followed by workers
and/or group members after the completion of theiractivities i.e. whether they washed equipment,
disposed of surplus mix and disposed of empty
containers according to the requirement.
• Where empty pesticide containers are stored they
have been perforated and cut.
• The houses of workers and/or group members if
pesticide containers are being reused• If around the farms the pesticide containers arebeing used for other purposes• The storeroom for storage of expired, prohibited
and/or obsolete chemicals complies with therequirement of the Standard.
• If there are any available local solutions for waste
management are being used, and if so if they arecomplying with the requirements of the Standard.

17

Chapter 5: Social
5.4 Living Wage
No. Core requirements

Actions which need to be taken
by CHs

CB verification during audit

Group certification
Sfarms

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).
Management uses the Rainforest
Alliance Salary Matrix Tool toaccurately fill in data for workers’
wages.

•*Excluding workers on small farms
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)All workers (permanent and temporary)employed by the CH must be included in
the Salary Matrix Tool.

•
The only workers which may be excluded
from the Salary Matrix Tool are those on
small farms. Small farms are defined as thosewith fewer than 10 permanent workers.
•
All workers hired through labour providers
and who stay under contract (andpayment) by the labor provider must not be
included in the Salary Matrix Tool. However,
the CH must ensure that these workers are •still earning at least the minimum wage
defined by the Kenyan Tea Sector.
•
The Salary Matrix Tool must be filled for theprevious calendar year (hence annually).

Lfarms

Group
mgt.

Ind.
cert.
S/L

Auditors must verify throughdocuments/records and interviews that:• Management has accurately filled in the
Salary Matrix Tool for all applicable workers.
The only workers which may be excluded arethose on small farms.
• Management has a mechanism in place toensure that workers hired through labor
providers are earning at least the minimum
wage.
• Workers hired through labor providers are
earning at least the minimum wage.
• The Salary Matrix Tool is updated for theprevious calendar year and is therefore
updatedannually.
Refer to the AVP for further details.

• Average size of Living Wage gap formen (% of LW) and women (% of LW)
Please see SA-S-SD-23 Annex Chapter
5: Social

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18

5.4.2

If the total remuneration is•
below the appliedbenchmark for any typeof worker, management
implements a wage
improvement plan to•progress towards theapplicable benchmark,including targets, actions,timeline and responsible
persons.
••

SA-P-AF-24-V1

Collective bargaining is recognized andacknowledged as a main mechanism forsocial dialogue and improvement of wages.•
If a CBA is in place, it is taken into account for
the wage improvement plan.
•
Management must develop a wage
improvement plan based on the (financial) •possibilities of the CH. The wage
improvement plan must include targets,timelines and responsible persons.
Management has a system in place to review
progress against the plan annually and uses
the indicator data in 5.4.1 to adapt theactivities if little or no progress was possible.
This means that it is not mandatory to pay the
Living Wage as per the applicable
Benchmark.

Auditors must verify through documents/records that:• Management has developed a wage improvement
plan.
• The wage improvement plan include targets,timelines, and responsible persons.
• Management has a system in place to review
progress against the plan annually and has used theindicator data (5.4.1) to adapt activities if little or no
progress is shown.
• Where remuneration for workers is below the Living
Wage Benchmark, management has a wage
improvement plan, and, if a CBA is in place, that thishas been taken into account.
Refer to the AVP for further details.

The wage improvement plan covers all
workers with a Living Wage gap, including
workers who are non-unionized.

195.5 Working Conditions
No. Core requirements

Actions which need tobe taken by the CHs

CB verification during
audit

Group certification
Sfarms5.5.2

Overtime work is voluntary and only permitted if:•
a It is requested in a timely manner.
b It is paid according to national law or CBA, whichever ishigher. If there is no law or CBA,
it is paid 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: 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 hourperiodg A record of the number of regular hours and overtime hours of•each worker is kept*
h Applicable only to specific activities that must be completed
within a short window of up to 6 weeks to prevent loss of harvest,
including, but not limited to, sowing, planting, harvesting andprocessing of fresh produce: for a maximum period of 12 weeks•
per year, the overtime may be up to 24 hours total per week, andworkers may work a maximum of 21 consecutive days.
*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

Management must have an
overtime policy in place which
includes all aspects as per therequirement, and:• Ensures that as per
requirement 5.5.1 workers do
not work more than 48 regular
working hours per week.
• If overtime work is needed itcomplies with all requirements
as per the Standard and does
not exceed a maximum of 12hours per week. Therefore, thetotal working hours cannot
exceed 60 hours per week.
• Only in exceptional
circumstances as outlined inh), may the total hours worked
exceed 60 hours per week.
• For security guards only, theregular working hours must notexceed 60 hours per week andthat there are no overtime
hours worked in addition tothis. If there is a stricter law orCollective Bargaining
Agreement in place governing
the hours worked by security
guards, this must be compliedwith.

Lfarms

Group
mgt.

Ind.
cert.
S/L

Auditors must verify throughdocumentation/records,
interviews and observation
that:• There is an overtime policy
in place, including
exceptional circumstances
and all other aspects as per
this requirement.
• Overtime rates are paid asdefined in any applicableCollective Bargaining
Agreement or any
applicable law. If these do
not exist or if the rate defined
therein is less than 1.5 times
the normal working rate, then
the Rainforest Alliance rules
apply.
• The total hours worked by
any worker does not exceed
60 hours per week, except in
exceptional circumstances as
outlined in h),• Only security guards may
work a total of 60 regular
working hours per week,
unless there is a stricter law orCollective Bargaining
Agreement in place..
Refer to the AVP for further
details.

For small farms, requirement only applies if they are hiring:- 10 or more temporary workers each working for 3 consecutive
months or more, and/or- 50 or more temporary workers per calendar year

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Chapter 6: Environment
6.7 Waste Management
No. Core requirements

6.7.1

Waste is stored, treated, •and disposed of in waysthat do not pose health orsafety risks to people,
animals or natural•
ecosystems. Waste isstored and disposed ofonly in designated areasand not disposed of innatural or aquatic
ecosystems. Non-organic •waste is not left on the
land.
•
o
o
o
o

Additional clarification for CHs toaction Actions which need to betaken by the CHs

CB verification during audit

Management must include any activities
related to waste management in the
management plan and develop any policies•
or procedures based on the need.

Auditors must verify through documentation/records,
interviews and observation that:

SfarmsManagement must create awareness with•workers and/or group members on the proper
methods for waste storage, treatment anddisposal. This must include displayed•communications on how to manage waste.
Management must designate areas for waste
disposal, treatment and storage which do notpose a risk to people, animals or the
ecosystem.
•
Local and innovative methods should be used
for disposal of waste, for example:•• Segregation and composting,• Collection of containers in designatedareas,• Returning containers to suppliers• Liaising with county governments to explore
further possibilities for waste collection.
••

SA-P-AF-24-V1

Group certification
Lfarms

Group
mgt.

Ind.
cert.
S/L

• The management plan includes activities andprocedures related to waste management.
• Management has developed any needed policies
or procedures as per the management plan
• Management has created awareness with farmers
and/or group members on the proper methods ofwaste storage, treatment and disposal, which
includes displayed communications on how tomanage waste.
• Areas have been designated for waste disposal,
treatment and storage and that they do not pose
any risks for people, animals or the ecosystem.
• Planting areas and areas surrounding buildings(offices, storage spaces, workshops, dining rooms,
toilets, processing plants and houses) are free ofwaste. Special attention is paid as to how waste isdisposed of in housing areas.
• Farm management, group management
personnel, workers and residents are aware of theirwaste management procedures and what means
exist to store, treat and dispose of waste.
Refer to the AVP for further details.

21

4. Audit Process Rules
4.1 Certification Timelines
As per the current version of the Certification and Auditing Rules:
a. Certificate Holders (CHs) and Certification Bodies (CBs) must comply with the certification timelines.
b. If a CH has provided sufficient evidence of nonconformities (NCs) closure and this is confirmed by the CB before the maximum allowed 10
weeks after the last day of the audit, then the CB must take a certification decision within two weeks of this closure. Thereafter, the CB must
submit the certification decision and the final audit report through the RACP within 1 week after the certification decision has been taken.
•

Example: CH provides sufficient evidence of NC closure 6 weeks after the audit was concluded. The CB must verify the evidence ofclosure and take a certification decision with 2 weeks i.e. 8 weeks after the last day of the audit. The maximum of 12 weeks allowed totake the certification decision is only applied if the CH took the maximum 10 weeks to close NCs.

c. Regarding NCs:
• All CHs that have received one or more NCs shall close at least all NCs with mandatory requirements following the process described under
the section Nonconformities and possible consequences.
• The timeline for closure of the NCs shall be defined by the CH and the CB considering the maximum of 10 weeks after the last day of theaudit that is defined for the CH to provide evidence of closure to the CB.
d. Regarding a non-certification or cancellation decision:• The CB or the Rainforest Alliance may decide to immediately cancel the current certificate of the CH and/or decide not to certify the CH
for any of the reasons set forth in the requirements, or any other reason if necessary to protect the credibility of the Rainforest Alliancecertification program.
• Corrective actions have not been implemented satisfactorily within the timeframe described in the certification process above.
• As per the rules highlighted above a consequence for the CH of not closing NCs within the 10-week timeframe can lead to a noncertification decision.

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22

4.2 Certificate Validity
a. As per the current Certification and Auditing Rules, CHs that certify crops with a continuous harvest only, the start date of the first certificate shallbe the first day of the audit that led to a positive certification decision; any consecutive certificate shall start on the day after the expiry of theprevious certificate.
b. The license in the first year of the full certification cycle will start at the same time as per point a. above and end 1 year later. The 2nd license of
the full certification cycle will start 1 day after the expiry of the previous license and end 1 year later. The 3 rd and final license of the full certification
cycle will start 1 day after the expiry of the previous license and end 1 year later on the same day that the 3-year certificate expires.
•

Example: The start date of the first full certification audit is on January 15th, 2024. The 3-year certificate will have a validity from January 15, 2024
– January 14, 2027. The first license will have a validity from January 15, 2024 – 14 January 2025. The second license will have a validity fromJanuary 15, 2025 – January 14, 2026. The third and final license will have a validity from January 15, 2026 – January 14, 2027.

c. All current 3-year certificates and 1-year licenses issued will be aligned with the above.

4.3 Extension Requests
a. As per section on Time Extensions in the current version of the Certification and Auditing Rules, CHs can request a time-extension of their certificate
and license of up to 3 months after the expiry date of their certificate and license, to the Rainforest Alliance or CB, to sell a product as Rainforest
Alliance certified or to prevent a gap in certification.
b. Only 1 time extension request can be made by a CH for a maximum period of 3 months per year.
c. Any time extensions issued will be recovered from the following license so that the 3 rd and final license of the 3-year certificate always ends at thesame time as the 3-year certificate.
•

Example: Following from the example given under 4.2 a 3-month license extension is requested during year 2 of the 3-year certification cycle.
The year 1 license is therefore extended until April 13, 2025. When the CH has conducted their 2nd year audit, the new 2nd year license will bebackdated to January 15, 2025, and end on January 14, 2026.

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23