Cocoa Horizons Methodology ‐ v 25
Code

Area

Subtitle

Expected requirement on Farm and Group level

GAP1

Good
Agriculture
Practice

A key enabler to lift farmers out of poverty is the Farm
Cocoa Farm
Business Plan (FBP). The FBP is also center piece forDevelopment
implementing of certain elements of the standard.
Plan (FBP) andbusiness training
The FBP shall have the objective to lift the farmer out ofpoverty by means of influencing cocoa production, income
diversification including diversified agricultural production,
cost reduction (e.g. optimization of input and labor usage)
and financial instruments. For farmers who already are outof poverty, the FBP serves to further improve theirlivelihood.

Implementation guidanceApplicable(F=farm, G=
Farmer group,
P=Programm/origin)

Leading KPI

min. Y1 min. Y2 ‐Target Y5 Target

G, F

Start of the counter for the standard including FBP is 1.Sept 2018.
Origins who commence COH later on will define their starting date as
Sept 1st of the relevant year.
First step for each origin is to design a roll‐out plan.
The plan ensures that 10% farmers have an FBP by 30 months / 28.Feb
2020 and that all farmers have an FBP by 60 months / 1.Sept.
The plan further indicates a ramp‐up plan to reach 100% farmers
having an FBP by 1.Sept 2023.
Both paper and electronic tools are valid.

# FBP

0% butneeds
roll‐outplan

10% by 30
moths
100% by
60 months

For example, if pesticide application is recommended, it shall comply
with the requirements here.
The content / scope of the FBP will gradually evolve to cover all
relevant aspects to lift farmers out of poverty and to reach otherimpact targets like zero child labor and forest‐positive. The initial FBPs
may not cover all aspects. Guidance on FBP content andimplementation is provided in the implementation manual.

# FBP

0% butneeds
roll‐outplan

10% by 30
moths
100% by
60 months

From year 2 onwards. This is linked to FBP roll‐out. This may mean that # FBPbusiness training and support is provided at the group level, and not
individually, through the coach.

0% butneeds
roll‐outplan

10% by 30
moths
100% by
60 months

BC tracks information on behalf of each farmer: Farmers' financial
history is ideally registered in BC's data system Katchilé. In its basic
form, for farmers who have an FBP should have access to a savings
account that records savings and credit history. Farmer groups record
the sales on behalf of the farmers through traceability system.
Furthermore, Farm Services records each farmer's purchase of
productivity or replanting packages is recorded.
The FBP is the tool to identify the credit need, financial viability and theability to pay back credit of the farmers. Also, the services that are
required to implement the FBP should be made available for farmers
who have an FBP, e.g. Make available Productivity Packages, Savings &credit account if FBP implementation requires PP on credit.
Engagement with input suppliers and financial institutes to seek
financing for registered farmers is documented.

# FBP

0% butneeds
roll‐outplan

10% by 30
moths
100% by
60 months

Training is the main conduit to inform the farmers. BC ensures thattraining curricula conform to national regulations. SOP on replanting
ensures that rural and agricultural development plans, e.g. Zoning andNo‐go areas, are respected.
This requirement is applied chiefly in the frame of Replanting Packages
that are made available to farmers in the frame of the FBP. Farmers
who do plant new farms without our support cannot be captured, but
all farmers have access to training on suitability of plots for cocoa. For
registered and newly joining cocoa farmers, in the course of the FBP
establishment, the suitability of the cocoa farm is evaluated andcommunicated to the farmer in the FBP.
The SOP for RP comprises a suitability evaluation for cocoa production.
This can be expanded to non‐cocoa farms in the frame ofdiversification packages. The SOP further ensure that the credit
application from the farmer is signed by the cooperative.
This requirement is applied chiefly in the frame of Replanting Packages
that are made available to farmers in the frame of the FBP. Farm
Services provide access to Replanting packages. SOP for replanting
packages ensure that the cocoa planting material comes from a
verified, competent source, e.g. as per national regulations wherethese exist.
If seedlings are distributed outside Replanting Packages (e.g. from
community nurseries with support from COH, or via womenagroforestry programs), training programs for the nurserists cover thenecessity to use the right planting material.
Management change means when the farmer replants his cocoa farmor establishes a new cocoa farm. At this stage, farm biodiversity can bebest prioritized and controlled. Therefore, integration of shade trees
and establishment of buffer zones is embedded in Replanting Packages.
Access to shade trees is defined as providing access to Replanting
Packages in the frame of the Farm Services Replanting packages
comprise shade tree seedlings via forestry authority or nurseries.
Farmers who do plant new farms without our support or integrate
shade trees into existing plantations cannot be captured, but all
farmers have access to GAP training on shade and shade trees in cocoa
plantations.

not applicable

Subsequently, a FBP shall be established for any registeredfarmer within 12 months after registration.
For each farmer a cocoa Farm Business Plan (FBP) isestablished as follows:G
Cocoa Farm
The recommendations that the FBP makes for the farmer
Development
respect the requirements in this standard.
Plan (FBP) andThus the recommendations of the FBP also should address:
business training ‐ Cocoa rehabilitation plans‐ Provisions for the replenishment and replacement of soil
nutrients so that nutrient levels in the soil are adequate andbalanced‐ Provisions for pest and disease control (doses, timing andapplication intervals), using an integrated pest and disease
management approach.
‐ A pesticide reduction plan
‐ Requirements related to pesticide application (e.g. bufferzones)‐ Requirements related to soil management, including
practices to avoid soil erosion by using soil conservation
techniques and including minimizing run‐off and siltation ofwatercourses‐ Biodiversity conservation measures (e.g. compensation &buffer areas, wildlife corridors, planting of shade trees)‐ Waste management (storage, disposal etc.)
G
Cocoa Farm
At group level, registered farmers are provided with
Development
business training and support including technical, logistical,
infrastructure related and financial knowledge andPlan (FBP) andbusiness training information, taking into account the level of education of
the registered farmers.
Cocoa Farm
Farmers get support in setting‐up or getting access to a basic G
Development
system for documenting information and expenditures toPlan (FBP) andbuild their financial history.
business training

GAP2

Good
Agriculture
Practice

GAP3

Good
Agriculture
Practice

GAP4

Good
Agriculture
Practice

GAP5

Good
Agriculture
Practice

Cocoa FarmIn order to facilitate the implementation of the FBP, farmers G
Development
are provided with
Plan (FBP) and‐ support to determine the need for financing.
business training ‐ Access to savings and credit scheme for selected Group
Members‐ Access to productivity packages‐ Access to tools and inputs

GAP6

Good
Agriculture
Practice

New farmestablishment

Farmers are provided with information on national
regulations and rural and agricultural development plans.

GAP7

Good
Agriculture
Practice

New farmestablishment

Farmers who acquire new fields or plant new cocoa plots are G
advised on the suitability of the intended field(s) for
production of cocoa. Planting of new cocoa farms in theframe of a technological package offered to the farmergroup shall be subject to approval by the farmer group (e.g.
cooperative).

GAP8

Good
Agriculture
Practice

Planting material Farmers are supported to get access to cocoa plant material
that comes from a verified, competent source and receive
recommendations for its use.

G

GAP9

Good
Agriculture
Practice

Planting material Farmers must foster species diversity on‐farm according totheir context. This means that program support and farmer
decision during management change must prioritize
solutions that augment biodiversity and foster synergies
with livelihoods and productivity targets.
Farmers are supported to get access to shade tree seedlings
via forestry authority or nurseries. This support may belimited to farmers who are able to integrate new shadetrees, e.g. by availability of suitable parts of the farm or
engaged in replanting / diversification.

G

GAP10

Good
Agriculture
Practice

Planting material Farmers are made aware of GAP related to planting (e.g. use Fof planting material, soil fertility management, (re)planting
and grafting techniques).

GAP on replanting (and grafting where this is allowed) is covered in the % adoption of
GAP
GAP training to which all registered farmers have access. The training
curriculum on planting follows the conditions and regulations of therelevant, local regulatory body. The training curriculum is updated
regularly based on latest findings on best practices and adoption
potential.

GAP11

Good
Agriculture
Practice

Maintenance of
cocoa trees

GAP on maintenance and rehabilitation is covered in the GAP training
to which all registered farmers have access. The training curriculum on
cocoa maintenance and rehabilitation follows the conditions andregulations of the relevant, local regulatory body. The training
curriculum is updated regularly based on latest findings on bestpractices and adoption potential.

P

Farmers are made aware of GAP related to maintenance and F
rehabilitation of cocoa trees.

n.a.
• # of repeatloans fromfarmers with
FBPs over x
timeframe (split
by gender)• Repayment
rates fromfarmers with
FBPs over x term
(split by gender)

each origin
defines
theirperformanc
e targets# Replanting
packages

CdI/Gh/ New
Camorigins: as
immedi of year 2
ately# Replanting
packages

CdI/Gh/ New
Camorigins: as
immedi of year 2
ately# Replanting
packages

CdI/Gh/ New
Camorigins: as
immedi of year 2
ately% adoption of
GAP

n.a.

Min. Y10
TargetGAP
training on
replanting
from y2
onwards

GAP
training
ontopic in
first
year

1

Cocoa Horizons Methodology ‐ v 25
Implementation guidanceApplicable(F=farm, G=
Farmer group,
P=Programm/origin)

Leading KPI

min. Y1 min. Y2 ‐Target Y5 Target

Soil management Farmers are made aware of GAP related to soil
management, nutrient balance and replenishment.
Farmers, or agronomy advisors who make decisions about
fertilizer choice, source, application rate and placement
must be trained in making calculations based around soil
and crop characteristics and managing the risk of losses of
Nitrogen and Phosphorous to the environment fromdifferent types of nutrients and application methods (e.g. toreduce vola liza on losses) .

F% adoption of
GAP

GAP
training
ontopic in
first
year

Soil management Farmers are made aware of the necessity to keep avegetation or mulch cover on the farmlands to avoid baresoil. Organic waste such as free pod husks and pruning
debris, seeds and fruits should be left in the farm. Organic
waste should be arranged also in a manner to to stimulate
pollinisation of cocoa flowers, simplify work and limit
disease propagation.
Peat soils must not be subject to high stocking rates, orother management practices that lead to high GHG peat soil
emissions.
Soil management Farmers are supported to get access to high quality fertilizer
which is free of contaminants.
If the farmer organization makes available fertilizers tofarmers, these are below tolerance limits.

F% adoption of
GAP

Training
Y1

CdI/Gh/ New
Camorigins: as
immedi of year 2
ately

Code

Area

Subtitle

GAP12

Good
Agriculture
Practice

GAP13

Good
Agriculture
Practice

GAP14

Good
Agriculture
Practice

GAP15

Good
Agriculture
Practice

GAP16

Expected requirement on Farm and Group level

GAP on soil management and fertilization is covered in the GAP
training to which all registered farmers have access. The training
curriculum follows the conditions and regulations of the relevant, local
regulatory body. Established soil maps and fertilizer recommendations
are used to the training curriculum is updated regularly based on latest
findings on best practices and adoption potential by an expert
knowledgeable in the matter of cocoa fertilization and nutrient loss
management, e.g. by the Head of Agronomy.
Productivity packages are a privileged way to ensure that a correct
fertilizer at the correct rate is employed by the farmer, and thatnutrient losses are avoided.
GAP on mulching and organic farm waste management is covered in
the GAP training to which all registered farmers have access. The
training curriculum follows the conditions and regulations of therelevant, local regulatory body. The training curriculum is updated
regularly based on latest findings on best practices and adoption
potential, notably with regard to pollinators and organic mattermanagement.

G

This requirement is applied chiefly in the frame of Productivity
Packages that are made available to farmers in the frame of the FBP.
Farm Services provide access to Productivity packages. SOP for
productivity packages ensure that fertilizers is of high quality and freefrom contaminants. For example, RFP to fertilizer companies should
comprise disclosure on contaminants and quality specs. Where
tolerance limits are established or applicable, SOP for PP specifies that
only fertilizers that are below the thresholds are sourced and sold tofarmers through Farm Services.

# productivity
packages

Soil management Soil sampling is realized to ensure that fertilizer is applied tobalance input and output of nutrients (nutrient
replacement) if:(1) soil testing is reliable and affordable,(2) farm‐specific fertilizer is available and cost‐effectiveP

not applicable

Good
Agriculture
Practice

Soil management Farmers are made aware on soil erosion prevention.
Technological packages on planting and diversification shall
include design elements to avoid soil erosion.

F

Currently, farm specific fertilizers and soil testing are not readily
available for smallholder farmers in West Africa. Therefore, fertilizers
that are part on PP and RPs are based on national soil map of thecountry, and on fertilizer recommendations made by authorities, e.g.
the soil map project that IDH, CNRA and CCC have developed together
and then published fertilizer recommendations. PP specs follow
national recommendations on fertilizer use.
If no national recommendation, program arranges for soil analysis andfertilizer recommendation latest in years 6‐10 after program start.
GAP on soil erosion is covered in the GAP training to which all
registered farmers have access. The training curriculum is updated
regularly based on latest findings on best practices and adoption
potential.
Replanting packages or diversification packages comprise plantation
designs that avoid soil erosion, e.g. contour planting, direction of trashrows in new plantations, drainage designs.

GAP17

Good
Agriculture
Practice

Integrated Pest
Management

G, F

There are several ways IPM requirements are implemented.
1) IPM is covered in the GAP training to which all registered farmers
have access. The training curriculum is updated regularly based onlatest findings on best practices and adoption potential.
2) The design of productivity packages is based on principles of IPM as
described in the requirement. For example, Farm Services should
ensure that pesticides are rotated over the years.
3) Professionals, such as sprayers, are trained by the COH program inpest and disease recognition and other IPM elements.
4) FBP incorporates recommenda ons to prevent pest and disease.

% adoption of
GAP

GAP18

Good
Agriculture
Practice

Pest and disease
management

P

Each origin has a list of chemicals / pesticides that are allowed basedon national approval process. This list is used as reference for (1)recommending pesticides to farmers during training on crop protection(2) incorporation of pesticides in productivity packages and (3) trainingof professional sprayers.

PP design# farmers trained Listand #updatedproductivity
andpackagestraining
y1

GAP19

Good
Agriculture
Practice

Pest and disease
management

Integrated Pest Management (IPM) measures are instructedto farmers and technological packages made available tofarmers are based on the principles of IPM, notably
prevention, observation, monitoring and intervention andinclude for example:‐ Prevention by implementing good agricultural practices‐ Monitoring of pests and diseases‐ Application of tolerance levels‐ Use of non‐chemical alternatives such as mechanical weed
control and use of biological control (e.g. natural enemies)‐ Use of pesticides as a last option‐ Rotation strategies to avoid that pests become resistant topesticides‐ Preventive spraying is avoided
The agrochemicals which are used are authorized andapproved for use on cocoa.
The choice of agrochemicals is based on suitability for thecrop and target organism, resistance management
programs, advice on the label to protect vulnerable
ecosystems and organisms, and hazards to human health
Where needed, access to officially registered agrochemicals
is assured.

G

Access to official registered chemicals is possible for the farmer thanks # productivity
to access to Productivity Packages. The PP design incorporates officially packages
registered agrochemicals.

GAP20

Good
Agriculture
Practice

Pest and disease
management

Pesticides containing active ingredients classified “highly
hazardous” by the FAO or banned by the European Union as
specified by Annex I of Regulation 649/2012/EC (EC use
limitation “b” = ban) are not used.

P

GAP21

Good
Agriculture
Practice

Pest and disease
management

Hazard reduction: WHO1a CPPs: Active ingredients classified P
as WHO 1a, or listed in Montreal Protocol (this includes
methyl bromide) or the Stockholm Convention on Persistent
Organic Pollutants are NEVER used on the farm.

GAP22

Good
Agriculture
Practice

Pest and disease
management

GAP23

Good
Agriculture
Practice

Pest and disease
management

Hazard reduction: WHO1b CPPs: Active ingredients classified P
as WHO1b or the Basel or Rotterdam Conventions shall bephased out of use within 3 years, after date of
implementation. In each of the 3 years, there must be
documented evidence of research into alternatives, a phaseout plan or actual reduction in use.
Expired agrochemicals are not used by farmers.
G, F

GAP24

Good
Agriculture
Practice

Pest and disease
management

Workers are competent in handling and storing
agrochemicals.

G, F

GAP25

Good
Agriculture
Practice

Pest and disease
management

Agrochemical containers are properly closed during storage
and transportation in order to prevent spillage.

G, F

Each origin has a list of chemicals / pesticides that are allowed basedon national approval process. Banned chemicals are not on that list.
This list is used as reference for (1) recommending pesticides tofarmers during training on crop protection (2) incorporation ofpesticides in productivity packages and (3) training of professional
sprayers.
Each origin has a list of chemicals / pesticides that are allowed basedon national approval process. Banned chemicals are not on that list.
This list is used as reference for (1) recommending pesticides tofarmers during training on crop protection (2) incorporation ofpesticides in productivity packages and (3) training of professional
sprayers.
Each origin has a list of chemicals / pesticides that are allowed basedon national approval process. The list is managed in a way that WHO 1b
CPPs are phased out or use justified. This list is used as reference for(1) recommending pesticides to farmers during training on crop
protection (2) incorporation of pesticides in productivity packages and(3) training of professional sprayers.
There are several ways this requirements is implemented.
1) GAP training to which all registered farmers have access , covers notusing expired chemicals.
2) SOP productivity packages cover that expired pesticides are not soldto farmers.
3) Professionals, such as sprayers, are trained by the COH program onthat requirement.
Workers in the context smallholder farmers means sprayers, who aretrained by the COH program on competence of handling and storing
agrochemicals. Smallholder farmers do not apply agrochemicals bythemselves regularly. Origin countries set up an accreditation system
for sprayers where competence is tested.
Farmers also have access to handling and storing practices for
agrochemicals during training.
There are several ways this requirements is implemented.
1) GAP training curriculum to which all registered farmers have access ,covers storage and transportation of agrochemicals guidelines.
2) SOP for productivity packages : RFP to input suppliers comprises
specs for safe packaging of agrochemicals.
3) Professionals, such as sprayers, are also trained by the COH programon that requirement.

Min. Y10
Targetsoil
analysisdone# Farmers trained Training RP design
Y1

Training PP design,
Y1
sprayers,
FBP

CdI/Gh/ New
Camorigins: as
immedi of year 2
ately

not applicable

not applicable

not applicable# farmers trained Training
Y1# farmers /accredited
sprayer

Accredit Accreditati
on of
ation
establis sprayers
operational
hed;
sprayertraining

not applicable2

Cocoa Horizons Methodology ‐ v 25
Implementation guidanceApplicable(F=farm, G=
Farmer group,
P=Programm/origin)

Leading KPI

min. Y1 min. Y2 ‐Target Y5 Target

There are several ways this requirements is implemented.
1) GAP training curriculum to which all registered farmers have access ,covers the need to calibrate spraying equipment for the best result andavoiding contamination of people or environment.
2) SOP for productivity packages : RFP to input suppliers comprises
requirement to offer calibration service to accredited sprayers. If Farmservices sources spraying equipment, sales contract should covercalibration as a service for at least 3 years.
3) Professionals, such as sprayers, are also trained by the COH programon that requirement. Knowledge on calibration is part of theaccreditation program. If sprayers or cooperatives are provided withaccess to spraying machines, e.g. facilitation of credit to buy one, thecontract shall comprise requirements on maintaining and calibrating
the equipment
Workers in the context smallholder farmers means Sprayers, who aretrained and accredited by the COH program on competence of using
agrochemicals as per instructions on dosage and timing, with suitableequipment etc. Smallholder farmers do not apply agrochemicals bythemselves regularly. Origin countries set up an accreditation system
for sprayers where competence is tested.
Farmers also have access to best practices for agrochemical use during
training.
Workers in the context smallholder farmers means Sprayers, who aretrained and accredited by the COH program on preserving riparianzones from contamination with agrochemicals. Origin countries set up
an accreditation system for sprayers where competence on thispractice is tested.
Smallholder farmers do not apply agrochemicals by themselves
regularly. Farmers also have access to best practices for agrochemicaluse during training, including not spraying buffer zones.
SOP for Replanting leaves 10m buffer zones from rivers that are notplanted with cocoa.
In the frame of Productivity packages, farmer groups shall provide
dedicated storage facilities that suffice the requirements of operational
health and safety for the temporary storage of agrochemicals, such as
separate rooms, suitably constructed boxes or cupboards. For thispurpose, cooperatives or communities can be supported to establish
such storage facilities, and farmers trained to use such facilities, andprotect their families from contamination. Suppliers of agrochemicals
should contribute to training farmer groups and providing warning
signs.
BC tracks information on behalf of each farmer: Farm Services records
each farmer's purchase of productivity or replanting packages isrecorded which comprises application of agrochemicals. Furthermore,
10% of all farmers are surveyed each year on agrochemical use.

# farmers /accredited
sprayer

Accredit Accreditati
on of
ation
establis sprayers
operational
hed;
sprayertraining# farmers /accredited
sprayer

Accredit Accreditati
on of
ation
establis sprayers
operational
hed;
sprayertraining# farmers /accredited
sprayer

Accredit Accreditati
on of
ation
establis sprayers
operational
hed;
sprayertraining

There are several ways this requirements is implemented.
1) GAP training curriculum to which all registered farmers have access ,covers the topic of who is allowed to spray agrochemicals, and thespecial protection that should be given to women, sick people andchildren because they are more vulnerable to chemicals.
2) Professionals, such as sprayers, are selected to not be within thatgroup before they attend training by the COH program. Health checks
on accredited sprayers are performed to establish their fitness for thejob.
Smallholder farmers do not apply agrochemicals by themselves
regularly, instead they employ Sprayers, who are trained andaccredited by the COH program. The training covers all required aspect
on safe and effective use and handling of agrochemicals, including
storage, transport, use of protective gear and safeguarding theenvironment and bystanders. Origin countries set up an accreditation
system for sprayers where competence of sprayers are tested.
Farmers also have access to training on procedures and use of PPE.

not applicable

In the frame of Productivity packages, farmer groups shall provide
dedicated storage facilities that suffice the requirements of operational
health and safety for the temporary storage of agrochemicals, such as
separate rooms, suitably constructed boxes or cupboards. For thispurpose, cooperatives or communities can be supported to establish
such storage facilities, and farmers trained to use such facilities, andprotect their families from contamination. Suppliers of agrochemicals
should contribute to training farmer groups and providing warning
signs.
This is chiefly the responsibility of Sprayers that are trained by COH,
but farmers get trained, too. In the frame of Productivity packages,
suppliers of agrochemicals should contribute to make warning signs
available.

not applicable

Code

Area

Subtitle

Expected requirement on Farm and Group level

GAP26

Good
Agriculture
Practice

Pest and disease
management

Spraying equipment is maintained and calibrated in order to G, F
minimize waste and excessive applications of chemicals.
Correct functioning of spraying equipment is verified at least
once a year.

GAP27

Good
Agriculture
Practice

Pest and disease
management

Instructions for use of agrochemicals are followed: Suitableequipment is used. Dosage, timing and intervals of
application as respected as specified on product label andinstructions for use.

GAP28

Good
Agriculture
Practice

Pest and disease
management

G, F
A distance of at least 10 m to water bodies is kept whenspraying agro‐chemicals. Farms with existing cocoa trees inthis buffer zone may keep these, but agrochemicals shall not
be applied within the buffer zone. The vegetation in thebuffer zone shall not include plants that are detrimental tococoa trees.

GAP29

Good
Agriculture
Practice

Pest and disease
management

Dedicated storage facilities for agrochemical are establishedwith ventilation, light, a system for collecting spillages andwarning signs.

G

GAP30

Good
Agriculture
Practice

Pest and disease
management

Applications of agrochemicals are recorded. For illiterate
farmers it is sufficient to name the products used and/or
show the product label, and know the period or timing andquantity of application.

G, F

GAP31

Good
Agriculture
Practice

Health and Safety Young people (under 18 years old), pregnant and nursing
Use ofmothers and people with respiratory illnesses do not handle
agrochemicals
or apply agrochemicals or be exposed to CPP contaminated
PPE.

G, F

GAP32

Good
Agriculture
Practice

GAP33

Good
Agriculture
Practice

G, F
Health and Safety Operators only handle or apply CPPs if they have received
Use ofbasic training in how to protect themselves, their family,
bystanders, the local community and the environment from
agrochemicals
harm, including equipment handling and maintenance,
procedures and PPE for minimizing exposure of theoperators, bystanders, the environment and non‐target
areas, and the value of correct application methodology.
All farmers and workers who apply fertilizers must be
trained in the procedures and PPE to use to minimize risks tothemselves and the environment, and any machinery
calibrations and maintenance appropriate.
Health and Safety Agrochemicals and equipment are handled and stored in a
G, F
Use ofsecure location separated from living quarters, food or feed.
agrochemicals
Only authorized persons have access. Manufacturer's
specifications for handling are respected.

GAP34

Good
Agriculture
Practice

Health and Safety Warning signs are placed after applying agrochemicals andUse ofmeasures are in place to ensure re‐entry times and pre‐agrochemicals
harvest intervals are respected.

GAP35

Good
Agriculture
Practice

Health and Safety Personal protection equipment (PPE) is provided to and used G, F
Use ofby all agricultural workers who handle and apply
agrochemicals
agrochemicals. Protective equipment (PPE) is provided tothe employees of the farmer group free of charge.

Sprayers that are trained and accredited by COH have access to a free
PPE. The PPE may be stored at the Farmer Group, but reasonably
within reach of the sprayer who are trained to use it.

# farmers /accredited
sprayer

GAP36

Good
Agriculture
Practice

Waste
management
Use of
agrochemicals

Storage, handling and disposal of empty agrochemical
containers and expired agrochemicals are carried out in an
appropriate way. Empty agrochemical containers are triple
washed and disposed of safely. They are not used for any
other purposes, including re‐use for human or animal foodor water.

G, F

SOP on PP: we should have a target on take‐back of empty containers
by input suppliers when we make available. Incentive system can besupported to encourage return of used containers at farmer grouplevel.

Targets for %farmer groups
that part ofrecovery system
for usedagrochemical
containers

GAP37

Good
Agriculture
Practice

Harvest andfermentation

Farmers are aware of GAP with regard to‐ harvest techniques and appropriate use of harvesting tools‐ good pod‐breaking techniques‐ good fermentation techniques

F

Farmer training on GAP for harvest and post‐harvest practices that
results in good quality cocoa. Quality control during traceable cocoa
buying as per government regulations% adoption of
GAP

GAP38

Good
Agriculture
Practice

Drying, packaging Cocoa sun‐drying is conducted on a clean and preparedand storage
surface, without direct contact with roads, soil orcontamination by smoke.

F

not applicable
Farmer training on GAP for harvest and post‐harvest practices that
results in good quality cocoa. Quality control during traceable cocoa
buying as per government regulations. Where contamination withsmoke is an issue, e.g. in Cameroon or Brazil, the commercial system tobuy cocoa incentivizes the production of non‐smoky beans (that isalready in place in both countries).

G, F

G, F

Min. Y10
Targetnot applicable

not applicable# farmers /accredited
sprayer# farmers /accredited
sprayer

Accredit Accreditati
on of
ation
establis sprayers
operational
hed;
sprayertraining

Accredit Accreditati
on of
ation
establis sprayers
operational
hed;
sprayertraining
Accredit Accreditati
on of
ation
establis sprayers
operational
hed;
sprayertraining
Y1 ‐Y2 ‐ 3 :feasibili Pilot
ty study recycling
system
Y4 ‐ 5: rolloutTraining
Y1

3

Cocoa Horizons Methodology ‐ v 25
Expected requirement on Farm and Group level

Implementation guidanceApplicable(F=farm, G=
Farmer group,
P=Programm/origin)

Leading KPI

Code

Area

Subtitle

GAP39

Good
Agriculture
Practice

Drying, packaging Farmers use appropriate bags for packaging and storage ofand storage
cocoa beans (e.g. using materials that are clean, strong, andnon‐toxic). Bags are made available to farmers if needed.

F

not applicable
Farmers receive cocoa bags from farmer groups to bring their cocoa
beans to market. In Côte d'Ivoire and Ghana, bags are made available
to farmers from government provisioning services via cooperatives andtraders.
Farmer training on GAP for harvest and post‐harvest practices that
results in good quality cocoa.

GAP40

Good
Agriculture
Practice

Drying, packaging Packed cocoa beans are stored in appropriate conditions,and storage
including pest control measures, and beans are collected at
optimal intervals.

G

GAP41

Good
Agriculture
Practice

Diversification of Farmers are encouraged to diversify their income sources
production
and when applicable, their crops. Farm Business Plans coverfarm diversification options.

G

Storage of cocoa beans should follow recommendations from national not applicableregulatory bodies, such as CCC and COCOBOD. Training concerned staff
is done with the curriculum for warehouse / store keepers of farmergroups the comprise these elements
In the course of establishing the FBP, the income of the entire farm is# FBP
looked at, and diversification of income will be part of the productivity
packages offered to farmers via Farm Services. Farm services should
offer diversification options in the first 5 years after having started
COH.

ENV42

Environment

Protection ofwater bodies

A buffer zone of native vegetation is kept along the bordersof seasonal and permanent water bodies to reduce erosion,
limit contamination from pesticides and fertilizers, andprotect wildlife habitats. Farms with existing cocoa trees inthis buffer zone may keep these. The vegetation in thebuffer zone shall not include plants that are detrimental tococoa trees.

F

ENV43

Environment

Protection ofwater bodies

F
Farmers are made aware of requirements for water
protection (e.g. buffer zones between cocoa fields and water
bodies, how to avoid contamination of surface andunderground water by agrochemicals, no discharge ofsewage, wastewater, pesticides, empty pesticide containers
or other contaminants into fresh water bodies).

ENV44

Environment

Protection of
ecosystem andwildlife

Threatened and endangered species in the production area
are identified. An ecosystem and wild life protection plan isdeveloped, which defines the biodiversity conservation
areas, buffer zones and wild life corridors. This plan isdeveloped in consultation with the local communities.
Implementation of the plan and the impact of farming
activities on biodiversity and wild life are monitored at least
every 3 years. The management plan is adapted if necessary
for improvement.

P

ENV45

Environment

Protection of
ecosystem andwildlife

Farmers are aware of threatened and endangered wildlife
species in the production area and how to protect them.

G

ENV46

Environment

Protection of
ecosystem andwildlife

G, F

ENV47

Environment

Protection of
ecosystem andwildlife

The hunting, fishing or gathering of rare, threatened or
endangered species on the farm is prohibited. Farmers andworkers are informed about these species and that
destroying important habitats on‐farm (or off‐farm becauseof farming activities) is not allowed.
No farming activities take place in national parks, wildlife
refuges, forestry reserves, buffer zones, water bodies andother public or private conservation areas. No NEW planting(conversion to agriculture) or draining on tropical peat soils(of any depth).

ENV48

Environment

Protection of
ecosystem andwildlife

P,GP,GThe conversion of High Conservation Value/High Ecological
Value/High Carbon Stock areas (forests, grasslands or
wetlands) to farmland is prohibited.
All natural ecosystems are conserved. Forested land may nothave been converted to non‐forested land in the five‐year
period prior to the start of the process or after January 1,
2005, whichever date is earlier.

ENV49

Environment

Protection of
ecosystem andwildlife

The Farmer Group shall ensure that no large native trees
F
that existed prior to the establishment of the farm are felled
or burned in existing farms or when establishing new farms.

ENV50

Environment

Protection of
ecosystem andwildlife

Farmers are encouraged to plant forest tree species, timber G, F
trees, fruit trees and shrubs by use of diverse and native tree
species. Farmers are aware of the importance of shadetrees. Shade trees are planted on the farms where necessary
and feasible. Producers are not allowed to introduce or plantinvasive alien species on their farms.

ENV51

Environment

Protection of
ecosystem andwildlife

Documentation of newly planted trees is assured in theframe of cocoa replanting.

G, F

ENV52

Environment

Protection of
ecosystem andwildlife

G, F

ENV53

Environment

Protection of
ecosystem andwildlife

Any use of timber or fuel wood is managed sustainably, thatis, use‐rate does not exceed growth and replacement‐rate.
Where communal land includes forest, trees, and/or
community woodlots, these must be managed sustainably.
No land is cleared by burning the vegetation. Harvest
residues are not burnt.

ENV54

Environment

Waste
management

Farmers and workers are made aware of good waste
management practices.

F

F

This requirement is applied chiefly in the frame of Replanting Packages
that are made available to farmers in the frame of the FBP. Farm
Services provide access to Replanting packages. SOP for replanting
packages ensure that buffer zones are established, if not yet existing,when cocoa farms are replanted or new farms established..
Training programs, to which all registered farmers have access, cover
the necessity to have buffer zones and the value they create forcommunities, e.g. safe drinking water .
There are several ways this requirements is implemented.
1) GAP training curriculum to which all registered farmers have access ,covers the topic of water protection and the benefit derived from thisby the communities, e.g. safe drinking water.
2) Professionals, such as sprayers, also trained on protection of water,
and accreditation exams should cover the topic on how to avoid
contamination of water bodies with pesticides.
Identification of endangered species, and the basic plan for theirconservation, through national or regional conservation lists and plansfrom government and non‐governmental organizations. The minimum
expectation is that national implementation structure and the farmergroups have access to this plan. Based on these plans, at program ororigin level, there is a recommended list of measures to contribute toprotect threatened or endangered wildlife which is specific on thelocation of the farmer group. COH will usually employ an external
expert to develop this list every 3 years.
Curricula for training farmers and farming communities on wildlife
protection is based on these national plans and lists.
Curricula for training farmers and farming communities includes
sensitization on wildlife protection, in particular concerning threatened
and endangered species in the production area. (see above on work by
external expert). Training content is specific to the proximity of
threatened and endangered species.
Curricula for training farmers and farming communities includes
sensitization on wildlife protection, in particular concerning threatened
and endangered species in the production area. (see above on work by
external expert). Training content is specific to the proximity of
threatened and endangered species.
The approach chosen by the Cocoa and Forest Initiative is way leadingin protecting forests. The measures applied under CFI are the ones
applied by COH.
1) The respect of this requirement is done by mapping of cocoa farms
and comparing farm locations to official maps of protected areas.
Farmers who are found to farm in National Parks are excluded from
COH. For farms within other protected areas, notably Forestry
Reserves, the policy devised under CFI is used.
Where peat soils exist, SOP for Replanting Packages ensure that thefeasibility step excludes planting cocoa on peat soils.
The approach chosen by the Cocoa and Forest Initiative is way leadingin protecting forests. The measures applied under CFI are the ones
applied by COH. National conservation plans should identify the
HCV/HEV/HCS areas. To that effect, using the farm mapping data, adeforestation risk assessment is done at the national level .

It is important that carbon is incorporated in the soil to increase water
retention.
This is part of training curricula to which all farmers have access.
Furthermore, SOP for replanting packages and for diversification
comprise "no burning" practices for vegetation or harvest residues.
The management of organic and inorganic waste are part of a training
module to which all farmers have access.

0% butneeds
roll‐out
plan

Min. Y10
Target

10% by 30
months100% by
60 months

not applicable

not applicable

Existence of anational plan
covering theprotection of
ecosystem andwildlife

plan

not applicable

not applicable# of farmers fully 10%
Y5 100%mapped(forneworigins)# of farmers fully 10%
Y5 100%mapped(forneworigins)

This information is used to1) Decide on supporting Replanting Packages for farmers. If thereplanting leads to conversion of HCV/HEV/HCS areas, it shall not be
supported.
2) update curricula on farmer training on protection of HCV/HEV/HCS
areas. Farmer training comprises the topics of forest laws, law
enforcement, and forest protection.
3) Decision on any specific measures to address high risk areas
not applicable
The long‐term approach is to create tangible value for the farmer;
therefore, the program or national program should implement asystem whereby carbon credits for such large trees can be monetized.
In the mean time,1) farmer training on cocoa establishment and maintenance2) SOP for Replanting packages to ensure that large native trees are
kept when replanting.
PENDING EVALUATION OF FEASIBILITY: WE CAN ALSO REPLANT AFTERCUTTING A TREEThis requirement is applied chiefly in the frame of Replanting Packages # Replanting
packagesthat are made available to farmers in the frame of the FBP. Farm
Services provide access to Replanting packages. SOP for replanting
packages ensure that shade trees are integrated in the new farm insystematic fashion. Such packages shall not comprise invasive, alien
species. Farmers are further encouraged to associate fruit trees or
shrubs that they like.
If shade tree seedlings are distributed outside Replanting Packages(e.g. from community nurseries with support from COH, or via womenagroforestry programs), diverse and native tree species are encouraged.
BC tracks information on behalf of each farmer: Farm Services records
each farmer's purchase of replanting packages which comprises
planting of new shade trees. At least on paper basis (e.g. delivery
record), the type and number of trees are recorded. The programsupports collective action to register trees with the authorities (e.g.
Forestry Commission in Ghana).
The program promotes integration of trees in new planting whose
trimmings can be used for fuel wood and improved cook stoves toreduce fuel wood use.

min. Y1 min. Y2 ‐Target Y5 Target# Replanting
packages

CdI/Gh/ New
Camorigins: as
immedi of year 2
ately

CdI/Gh/ New
Camorigins: as
immedi of year 2
ately

not applicable# farmers trained Training
Y1# farmers trained Training
Y1

4

Cocoa Horizons Methodology ‐ v 25
Code

Area

Subtitle

Expected requirement on Farm and Group level

Implementation guidanceApplicable(F=farm, G=
Farmer group,
P=Programm/origin)

Leading KPI

ENV55

Environment

Waste
management

A plan is made for waste management. The plan considers
major risks, recycling options and value generation. Waste
streams are identified.
Emphasis: management of organic material on‐farm, avoid
burning and return carbon to the soils

P

not applicable

ENV56

Environment

Waste
management

The waste management plan is implemented.

G

ENV57

Environment

Waste
management

ENV58

Environment

ENV59

Environment

Waste
management
GHG

P
Waste is disposed appropriately and responsibly.
‐ in designated areas.
‐ No open‐air burn of any waste is carried out by the farmer.
‐ Inappropriate materials (such as untreated sewage,
medical or veterinary waste, oil, CPPs, CPP packing or
containers) are not disposed of on your land unlessspecifically allowed by law and it is safe to use the affected
land for food production.
‐ If there are national regulations for the safe disposal ofdifferent types of hazardous waste, these shall be complied
with
Composting of organic material is carried out in a designated F
area.
Farmer groups report data / KPIs required for estimatingG
carbon sequestration. Farmer groups are required toestimate sequestration and emissions of greenhouse gases
from the farms.

ENV60

Environment

GHG

ENV61

Environment

GHG

SOC62

Social aspects

Human rights

Farmers and their workers are aware of human rights.

F

SOC63

Social aspects

An inventory of gender‐related issues is made.

G

SOC64

Social aspects

SOC65

Social aspects

SOC66

Social aspects

Gender equality
and women’s
empowerment
Gender equality
and women’s
empowerment
Gender equality
and women’s
empowerment
Gender equality
and women’s
empowerment

SOC67

Social aspects

Children’s rights

A risk inventory of children’s rights issues is available.

P

SOC68
SOC69

Social aspects
Social aspects

Children’s rights
Children’s rights

A policy to respect children’s rights is in place.
Farmers, their workers and the children of farmers workers
are aware of children’s rights.

P
F

SOC70

Social aspects

Children’s rights

Action is taken when concerns arise regarding abuse,
exploitation or harming of children, including activities
related to farm and organization.

G

SOC71

Social aspects

Children’s rights

The protection and safety of children is ensured in businessactivities, including activities related to farm and Farmer
Group.

G

SOC72

Social aspects

Children’s rights

Education and school attendance for all children andvocational training for children of a legal working age are
actively promoted.

G

SOC73

Social aspects

Children’s rights

Vocational training, apprenticeship and employment areencouraged in agriculture for youth above the minimum
working age, particularly in sustainable cocoa farming(excluding hazardous tasks).

G

SOC74

Social aspects

Child labour andworst forms ofchild labour

G

SOC75

Social aspects

Child labour andworst forms ofchild labour

A person within the Farmer group management structure isappointed, who is competent in child labor issues, with the
responsibility to manage the risk of child labor where it
exists and contribute to its elimination.
A child labor policy is in place. It is communicated in theorganization and made publicly available.

SOC76

Social aspects

Child labour andworst forms ofchild labour

A risk assessment is made identifying the possible risks
related to child labor in the organization and in thecommunities where its members live.

P

Producers ‐ farmer groups ‐ communities will be encouraged F,Gand incentivized to take measures to reduce any net
emissions of greenhouse gases from the management unit.
The use of renewable energy on farms should be increased,
where it is available and affordable.
No soil shall be taken from local nature reserves, riverbanks F,Gor land set aside for conservation, for use on the farm (e.g.
for use in nurseries). The use of peat is avoided and replacedwith more sustainable alternatives.

Both women and men within the organization and on theG, Ffarms are aware of gender‐related issues, using best practice
approaches.
All training courses are offered to men and womenG
members of the organization, including the spouses ofregistered farmers.
When training courses are offered, women’s participation is G
stimulated, including the spouses of registered farmers.

G

The national plan is made per origin on waste management. Recycling
options are identified, with emphasis on using organic matter on‐farmto improve soil carbon and water retention. Waste stream from empty
pesticide bottles sold via productivity packages should be dealt withpriority, as we can influence thisTraining curricula on waste management is updated using that plan.
The expectation is that training on good waste management based on
local realities is done within the first year, whereas a recycling systemfor pesticide containers sold via FS is setup latest by year 5.

min. Y1 min. Y2 ‐Target Y5 Target

Min. Y10
Targetnot applicable

Training Recyclingof pestcontainers
in place
The national plan, that is made per origin on waste management, is# farmers trained Training
considering these requirements for application in training curricula andY1
recycling process for pesticide containers.

For smallholder farmers, composting harvest residues in the cocoa
not applicablefarm is good practice.
not applicable
COH will deploy and implement carbon sequestration measurement
methodology developed by Forever Chocolate on behalf of the Farmer
Groups. It is expected that systemic data collection starts in years 2‐5.
Data collection should be based on existing data streams, such as thosestemming from sale of technological packages to farmers, or adoption
measurements.
not applicable
Promotion of green technology and renewable energy sources is partof training curricula that all farmers have access to. For example,
improved cooking stoves can be made available to farming
communities.
In the context of smallholder cocoa farming, soil use is chiefly occurringin nurseries. Specialists who are trained in setting up community
nurseries are made aware that the substrate they use for the nursery
shall not come from nature reserves and riverbanks. Currently, there isno peat use in substrates used in nurseries.
Farmers are trained on human rights in the course of their training
sessions in FFS
The World Cocoa Foundation is working on an inventory of gender
related issues, and promotes strategies on gender related issues in thecocoa sector.
Farmers are trained on gender related issues in the course of the
training modules on human rights.
Voluntary attendance of spouses is encouraged during FFS and othertraining sessions. New modules that are relevant for both parents aredeveloped, e.g. On skillful parenting.
As a rule, Farm Field School trainings are open to women and spousesof farmers to attend. Trainers who run FFS are sensitized to encourage
women farmers and spouses of farmers to attend trainings. The
curriculum should evolve to comprise themes that are of high interest
to women, such as food crops, family and reproductive health,children, safety, etc. For example, we have developed a curriculum onplantain, and are piloting one on skilful parenting.
UNICEF has conducted an inventory of child rights issues for the cocoa
sector, with focus on Côte d'Ivoire. This inventory is used globally andby the origins to inform child rights actions.
Furthermore, each community is assessed to determine risk profile forchild labor.
BC has a children's rights policy at the global level.
Farmer and their household members are sensitized on children's
rights, covering decent living, child protection, child education andchild survival, through the Cocoa Horizons Truck roadshows, or actionof the community structure. Graphical representation of child rights
are integrated in the Farmer Passbook
The community structures that are in charge of child labor monitoring
and remediation systems have as part of their mandate to take actions,preventive or corrective / remedial, when child labor cases are
identified.
This is a business principle that is embedded in several processes.
Farmer groups sign the Charter on Child Labor. Farmer group
executives participate in training on child rights and child labor, on how
to make the workplace safe for children and relevant employment
practices.
Community structures, such Child Protection Committees, are trainedon the protection and safety of children.
1) During the basic census, which is applied to all farmers, households
who have children not going to school are identified. Analysis of thisdata allows targeting communities or specific households to encourageschool attendance. 2) Such analysis data can be used during
sensitization work done by community structures, such School
Management Committees. 3)In the frame of child labor related
activities, community structures households can support households tosend their children to school, e.g. with birth certificates, school kits or
scholarships.
Promotion of vocational training and accessing opportunities is a key
factor to combat child labor. Community structures have the mandate
to support vocational training, e.g. via networking and scholarships.
When specialists are trained by the program, youth above theminimum working age have access.
The org chart of the farmer group identifies the person in charge ofchild labor. This person is trained in the aspects of child labor root
causes, risks, identification methods, prevention and remediation.

not applicable# farmers trained Training
Y1
not applicable# Farmers trained Training
Y1
not applicable% womenparticipants intraining

Y1
farmertraining# communities
with child laborrisk assessed

100% by2020 forexisting
origins

not applicable
not applicable# WFCL cases
identified andremediatedFarmer group
sign the CL
charterroll‐out 50% of
100% ofplan
communiti communitie
done
es
s
100%

% of households
that havechildren
attending school

Y1
100%
censuscoverage

not applicable

0% butneeds
roll‐outplan# of cooperatives
compliant ;Sample of 30% of
Farmer Groups
not applicable

100%

They key part of the COH child labor policy is the Forever Chocolate
commitment to zero child labor by 2025. Communication on the policy
communication is through the Supplier code and the Child Labor
Charter that the Farmer Groups sign.
The risk assessment of child labor is done on behalf of the cocoa sector not applicableby International Cocoa Initiative (ICI). ICI updates the risk assessment
regularly based on CLMRS' that it operates, and makes
recommendations to governments and cocoa sector players.
In addition, the program makes inventories of socioeconomic
infrastructure that are relevant to child rights and child labor per
community, ie. schools, health centers, water sources etc. (community
infrastructure survey)

5Cocoa Horizons Methodology ‐ v 25
Implementation guidanceApplicable(F=farm, G=
Farmer group,
P=Programm/origin)

Leading KPI

Code

Area

Subtitle

Expected requirement on Farm and Group level

SOC77

Social aspects

Child labour andworst forms ofchild labour

G
Based on the risk inventory, actions are undertaken toprevent, identify, monitor and remediate child labor and theworst forms of child labor related to the activities of theorganization and its members. The frequency of monitoring
shall be based on the risk inventory, and specified in thechild labor policy, and shall take place at household andfarm level, using best practice approaches.

The program supports the creation of community structures that have # of Community
a mandate on community development, education and child labor.
Action plans
Such structures can be Child Protection Committees, Local
Development Committees or School Management Committees. The
structures are enabled and capacitated to eradicate child labor by
prevention, identification and remediation, including a community
development plan aimed to prevent child labor. A set of rules isestablished that allow the community structures to apply for funding in
a competitive way. Integration with local and national government
structures is required. Community structures report on child laborcases and remedia on ac vi es.

SOC78

Social aspects

Child labour andworst forms ofchild labour

Registered farmers and agricultural workers are competenton child labor issues.

SOC79

Social aspects

Child labour andworst forms ofchild labour

Necessary efforts are undertaken so that children of farmers G
and of rural workers within the Farmer Group have birthcertificates or other legal identity documentation, and toencourage that children within the organization are
registered at birth.

SOC80

Social aspects

Child labour andworst forms ofchild labour

Suspected cases of conditional worst forms of child labor(hazardous work) are identified and a remediation plan isdeveloped and implemented.

The community structures that are in charge of child labor monitoring
and remediation systems have as part of their mandate to sensitize
farmer communities on the root causes of child labor, its forms andhow to prevent it.
The community structures that are in charge of child labor monitoring
and remediation systems have as part of their mandate to sensitize
farmer communities on the civil requirement to register their children
at birth, to enable them to attend school and have a career. The systemthat the community structure puts in place can support children
without a birth certificate to obtain one.
The community structures that are in charge of child labor monitoring
and remediation systems are trained and equipped to identify andremediate conditional WFCL.

SOC81

Social aspects

Child labour andworst forms ofchild labour

SOC82

Social aspects

SOC83

Social aspects

SOC84

Social aspects

SOC85

F

G

min. Y1 min. Y2 ‐Target Y5 Target

roll‐out 50% of
100% ofplan
communiti communitie
done
es
s

not applicable

No. of education‐
relatedinterventions
incl. provision ofbirth certificates
Number ofcommunities
with a CLMRS –equivalent
process in place
not applicableroll‐out 50% of
100% ofplan
communiti communitie
es
s
done

A list of applicable hazardous activities is publicly displayed.
Information about the prohibition of hazardous work forchildren, within the organization, among the agricultural
workers, and towards the children of agricultural workers.
Child labour and Suspected cases of unconditional worst forms of child laborworst forms of(including child trafficking, bonded labor, and slave labor)child labour
are immediately reported to the relevant authorities.
Employment and Each registered farmer prepares an inventory of allcontractual
agricultural workers on his/her farm, including regular hired
relationsworkers, seasonal, subcontracted, migrant and family labor.
Sex and age of workers should be recorded.
Under no circumstances will a farm employ individuals
under the age of 15 or under the local legal minimum age
for work or mandatory schooling.
Employment and Regular hired workers of the Farmer Group are provided
contractualwith written contracts, specifying labor conditions andrelationspayment arrangements, in a language and format thatworkers can understand.

G

A poster is displayed at the cocoa collection points, and the hazardous
activities are also displayed in graphic form in the Farmer Passbook.

G

The community structures that are in charge of child labor monitoring
and remediation systems are trained and are aware of the necessity torefer unconditional child labor cases to government institutions.
1) Cooperatives are trained and follow employment policy to register
workers ages.
2) Farmer census covers aspects of workers laborers / passbook
3) For farms larger than 10ha, a worker inventory is prepared at least 1
a year.

# WFCL cases
identified andremediated# farmers with
10%complete census farmers
withcompletecensus# of cooperatives
compliant ;Sample of 30% of
Farmer Groups

Y2 100%Social aspects

Employment and All seasonal workers shall receive the working conditions
contractual
and workers’ rights equivalent of regular hired workers, andrelations
their contractual agreements shall be respected, within the
Farmer group and farmers are made aware of working
conditions and worker's rights of their seasonal workers

G, F# of cooperatives
compliant ;Sample of 30% of
Farmer Groups

Y2 100%SOC86

Social aspects

Employment and Registered farmers provide sharecroppers and caretakers
contractualwith written contracts, specifying labor conditions andrelationspayment arrangements, in a format and language that they
can understand.

G, FThis is applicable for farmer group employees such as the manager,
accountant, warehouse keeper, driver, ADG.
Cooperatives are trained and follow employment policy to ensure that
regular workers have a written contract.
Farm services employment conditions shall respect this requirements.
This is applied at several levels:
1) for farmer group employees such as the loaders: Cooperatives aretrained and follow employment policy to ensure that their contracts
and employment conditions are respected .
2) Farm services employment conditions shall respect thisrequirements.
3) Farmers are trained on employment conditions of seasonal workers.
Farmers are trained on employment conditions and payment
arrangements on sharecropping and caretaking.
Farmer contract / Farmer Passbook comprises respecting labor
regula ons.

SOC87

Social aspects

Employment and Maternity leave for regular hired workers shall be granted.
contractual
relations

G

SOC88

Social aspects

P

SOC89

Social aspects

Employment andcontractual
relations
Employment andcontractual
relations

SOC90

Social aspects

Employment and No identity documents are withheld from rural workers
Gcontractual
agricultural workers nor from employees of the organization.
relations

SOC91

Social aspects

Employment and In the case of wage labor, wages are paid on a regular basis.
contractual
The frequency and level of wage payments is clearly
relationscommunicated at the beginning of employment.

SOC92

Social aspects

F,G
Employment and A procedure is in place for submitting and addressing
contractual
complaints and raising concerns. This procedure is accessible
relationsfor:‐ Farmer group staff,‐ farmers‐ farmers' workers,‐ buyers and suppliers, and‐ anyone who wishes to file a complaint

A risk assessment is in place to assess the risk of trafficking
and forced labor when the organization or its members
recruit workers.
No worker is employed by force or compulsion.

G, F

G

G

G

This is applicable for farmer group employees such as the manager,
accountant, warehouse keeper, driver, ADG.
Cooperatives are trained and follow employment policy to ensure that
regular workers are granted maternity leave.
Farm services employment conditions shall respect this requirements.
At a global level, an assessment tool is developed and applied at origin
level, primarily at farmer group level.

Min. Y10
Target# farmers with
10%complete census farmers
withcompletecensus# of cooperatives Y1 100%
compliant ;Sample of 30% of
Farmer Groups
not applicableThis is applicable for all farmer group employees.
Cooperatives are trained and follow employment policy to ensure thatno forced labor is used.
Internal audit verifies key indicators of forced labor with cooperative
employees. Abuses are reported to authorities as per prevailing law.
This is applicable for all farmer group employees.
Cooperatives are trained and follow employment policy to ensure thatthese requirements are applied.
Internal audit verifies key indicators of employment conditions.
This is applicable for all farmer group employees.
Cooperatives are trained and follow employment policy to ensure thatthese requirements are applied.
Internal audit verifies key indicators of employment conditions.
Farmer groups have a complaints mechanism in place (letter box,
appointing a representative for workers, toll free line). Farmer
contracts specify the availability of the complaints mechanism. By
default, the Barry Callebaut integrity platform is available to all people
mentioned in the requirements.

# of cooperatives Y1 100%
compliant ;Sample of 30% of
Farmer Groups

This is applicable for all farmer group employees.
Cooperatives are trained and follow employment policy to ensure thatthese requirements are applied.
Internal audit verifies key indicators of employment conditions.

# of cooperatives Y1 100%
compliant ;Sample of 30% of
Farmer Groups

These rights are assured by the national legislation.

# of cooperatives Y1 100%
compliant ;Sample of 30% of
Farmer Groups
not applicable# of cooperatives Y1 100%
compliant ;Sample of 30% of
Farmer Groups# of cooperatives Y1 100%
compliant ;Sample of 30% of
Farmer Groups# of cooperatives Y1 100%
compliant ;Sample of 30% of
Farmer Groups

The farmer group staff and farmers are informed of thecomplaint procedure at the time of hiring/joining the group.
SOC93

Social aspects

Working hours
and working
conditions

SOC94

Social aspects

SOC95

Social aspects

Freedom of
association andcollective
bargaining
Freedom of
association andcollective
bargainingG
The goals and requirements set out in the International
Labor Organization Conventions on hours of work andovertime are met so that the regular working week does notexceed 48 hours, and overtime does not exceed 12 hours.
Other than during periods of operational intensity e.g.
harvest, the sum of regular and overtime hours in a week
does not exceed 60 hours.
All overtime work by workers is on a voluntary basis.
Workers must have the right to time off work, for medical
appoint‐ments and counselling for themselves and theirdependents.
Agricultural workers and employees of the organization have P
the right to freely organize into associations and farmergroups.
There is no obstruction to the right of rural workers andfarmers to voluntarily negotiate by means of collective
agreements with employers, employers’ organizations,buyers, and other institutions or associations, with a view tothe regulation of terms and conditions of employment
and/or other financial and non‐financial benefits.

P

These rights are assured by the national legislation.

6

Cocoa Horizons Methodology ‐ v 25
Leading KPIPThe inventory of occupational safety and health is done at the national
level, using information from existing national plans e.g. At ministrylevel. The risk assessment is part of the national OSH plan
The national plan is made per origin on occupational safety and health.
The principal risk and prevention measures for work related health andsafety aspects are analyzed, also based on existing plans from the
Ministry of Labor.

Existence of the inventor
national OSH plan y done

Training curricula of farmers and farmer groups are updated using that
plan. For farm related work, OSH on use of chemicals is a priority, seealso implementation guidance on use of agrochemicals. Farmer groups
identify where workers and farmers can access first aid, usually at thenearest government health post. First aid training is made available tofarmers for exposure to agrochemicals.
OSH risks and prevention measures are displayed:1) in farmer group premises such as warehouses
2) in farmer passbooks

not applicable

Area

Subtitle

SOC96

Social aspects

Occupational
An inventory is made of occupational health and safety risks
health and safety within the Farmer Group and on the farms.

SOC97

Social aspects

SOC98

Social aspects

Occupational
An action plan is made to address the issues identified in the P
health and safety inventory on occupational health and safety.
The action plan ensures that there is access to First Aid
sufficient to respond to emergencies.
Injury, emergencies, fire, noise and dust are addressed.
Occupational
The action plan is implemented.
G
health and safety

SOC99

Social aspects

SOC100Social aspects

SOC101Social aspects

Occupational
Necessary protective equipment is provided to the Farmer
health and safety Group´s employees free of charge.

G

SOC102Social aspects

Occupational
Necessary protective equipment is provided to and used byhealth and safety all seasonal workers operating in hazardous conditions.

G

SOC103Social aspects

Occupational
Farm workers must be able to bring potable water, washing F
health and safety water and soap (in order to wash hands before eating) towork, or the farm must provide these.
For plantations: Workers will have free access to potablewater, hand‐washing facilities and shelter for breaks andmealtimes. Workers in or near buildings must have access toclean toilets, hand washing with soap, and food storage
facili es.

SOC104Social aspects

Prevention of
discrimination,harassment andabuse

SOC105Social aspects

SOC106Social aspects

SOC107

Social aspects

Prevention of
discrimination,harassment andabuse
Prevention of
discrimination,harassment andabuse
Prevention of
discrimination,harassment andabuse

SOC108Social aspects

Social protection Social security is provided to the organization´s employees,
systemsand if so required the organization meets its financial
obligations to this end.

SOC109Social aspects

Land rights

G, F
The right to use the land is demonstrated by ownership,leasehold, or by documentation of traditional use rights.
Where agriculture is allowed and traditional land rights arerecognized, smallholder farmers are exempt to demonstrate
their land rights.

SOC110Social aspects

Land rights

Large scale land projects require FPIC (free prior andinformed consent) of local populations. The handling ofcustomary or use rights of such land is clarified in thisprocess.

SOC111Social aspects

TRA112Training

Expected requirement on Farm and Group level

Implementation guidanceApplicable(F=farm, G=
Farmer group,
P=Programm/origin)

Code

Occupational
Agricultural workers are informed about and protected
health and safety against occupational health and safety risks in theiragricultural work. This information is provided clearly andvisibly in the working environment of the organization, in alanguage they understand and with pictograms.
Occupational
Health and safety competence of agricultural workers
health and safety operating in hazardous conditions is assured.

Basic needs

G, F

G, F

G
The principle of non‐discrimination and the rights of theindividual are respected and initiatives are taken tocontribute to the elimination of discrimination if observed,
including, but not limited to, discrimination on the basis ofrace, color, gender, personal relationships, disability, marital
status, age, HIV/AIDS status, religion, political opinion,
language, property, nationality, ethnicity, or social origin.
No workers are subjected to corporal punishment, mental or G
physical coercion, or verbal abuse.

Men and women receive equal opportunities and equal
remuneration for equal work.

GP
An action plan is implemented to eradicate all forms ofharassment and abuse, including a gender sensitive
grievance procedure incorporating equal access for men andwomen. Within the grievance procedure there is no
retribution or punishment for reporting an injustice.

Initiatives are undertaken to raise awareness andunderstanding of the rights of workers, farmers and theirfamilies in regards to basic needs. A minimum of 1 meeting
per year is organized. Meeting(s), participants and main
results are documented and shared.
Training of group The following training is provided to the Farmer group staff
staff
by dedicated BC trainers, based on a training program andcurriculum mentioned below. Focused regular update
trainings are realized. Training records (minutes andparticipants lists including gender and signatures) are kept.
The following subjects are covered:‐ Sprayers: application of pesticides‐ Pruners: Requirements for pruning‐ Group staff involved in relevant processes, such as anadministrator or warehouse keeper:‐ Traceability‐ Quality‐ Social aspects including child protection‐ Business Skills‐ Environmental protectionGG

min. Y1 min. Y2 ‐Target Y5 Target

Min. Y10
TargetExistence of the Plan
national OSH plan developedTraining Actionof FG plan
&farme partiallyrs
implemented

Action plan
fully
implemented# of cooperatives Y1 100%
compliant ;Sample of 30% of
Farmer Groups

Accredit Accreditati
on of
ation
establis sprayers
operational
hed;
sprayertraining# of cooperatives Y1 100%See requirement on Sprayers: if they are employees of the farmer
compliant ;group.
Other equipment as identified in the risk assessment, e.g. for operating Sample of 30% of
Farmer Groups
dangerous equipment, or availability of dust mask for work in dusty
conditions.
See requirement on Sprayers: they have access to a PPE when spraying # farmers /Accredit Accreditati
on ofagrochemicals.
accreditedation
sprayerestablis sprayers
operational
hed;
sprayertraining
not applicable
Smallholder farmers will bring water along during work, or accessthrough water source near the farm.
Sensitization is done on hygiene practices such as hand washing before
eating.
Accredited sprayers are trained on the appropriate use of water for
drinking and for washing themselves and their equipment.
This concerns chiefly Sprayers who have been trained by the COH
program. Accreditation exams serves to assure these Sprayers
competences on OSH.

# farmers /accredited
sprayer

Farmer groups capacity building covers principles and good practice to
avoid discrimination, harassment and abuse. For example during hiring
or promotion of new staff, or workers' contracts.
Recruitment processes for productivity and replanting services respectthese principles.

# Farmer groups(cooperatives,branches,
districts)

Farmer groups capacity building covers principles and good practice to
avoid discrimination, harassment and abuse.
Recruitment processes for productivity and replanting services respectthese principles.
This requirement is implemented via HR policy of Farmer group, Direct
Sourcing and Origin sustainability services# Farmer groups Group Group(cooperatives,
informe capacity
branches,dbuilding
districts)# of cooperatives Y1 100%
compliant ;Sample of 30% of
Farmer Groups# Farmer groups Group Group(cooperatives,
informe capacitydbuildingbranches,
districts)

The action plan at the national level comprises the following elements:
1) Farmer groups capacity building covers principles and good practice
to avoid discrimination, harassment and abuse.
2) Recruitment processes for productivity and replanting services
respect these principles.
3) Grievance mechanism (see SOC105)
Farmer groups capacity building covers principles and good practicerespecting labor law of the country. Permanent employees must be
subscribed to the national social security system and the worker
contract contain clauses to that effect.
For smallholder farmers in West and Central Africa, traditional land
rights confer them ownership of the farm without further need ofproof. During farmer census, the status of the land ownership isrecorded, and all cocoa farms are mapped. If there is an opportunity,
the mapping data can serve to establish property titles.
For larger farms (>10ha), demonstration of the land right is required.
For smallholder farmers in West and Central Africa who expand theirfarming area or replant, FPIC is not a requirement due to the small
area affected.
For Replanting of cocoa at clustered, larger scale covering at least 50
ha , FPIC must be conducted with the communities to safeguardinterests and avoid conflicts that endanger the replanting.

Group Group
informe capacitydbuilding# Farmer groups(cooperatives,branches,
districts)# of farmers fully
mappedGroup Group
informe capacitydbuilding

not applicable

becomeG, F

The program supports the creation of community structures that have not applicablea mandate on community development, education and child labor.
The structures are enabled and capacitated to raise awareness of rights
of workers, farmers and their families.

P, G

Origin countries cover these training requirements in their training
plans. Relevant trainees are usually identified by the Farmer Groups,
while the training itself is organized at a national level by competent
BC staff, or external experts.

# Farmer Group
staff trained

Y5 100%
10%
(for
new
origins)

appliedwith>50 ha
RP in
one
commu
roll‐out 50% of
100% ofplan
communiti communitie
done
es
s

Start
FG stafftrainingy17Cocoa Horizons Methodology ‐ v 25
Code

Area

Subtitle

Expected requirement on Farm and Group level

Implementation guidanceApplicable(F=farm, G=
Farmer group,
P=Programm/origin)

Leading KPI

min. Y1 min. Y2 ‐Target Y5 Target

TRA113Training

Tasks andaccreditation of
farmers trainers

Farmer Trainers present in each Farmer Group are
responsible for the following tasks:‐ Data collection & farmer registration (and codification)‐ Training of farmers via Farmer Field Schools.

G

Farmer groups are usually the ones who propose farmer trainers. They
select farmer trainers based on criteria here suggested. Trainer
selection is validated at country level based on information submitted
by the Farmer group, and / or interviews.
Training is organized usually a central level for each origin. Training isdone by external experts or BC staff.
Farmer trainers are accredited as described in the criteria.

# Farmer Group
staff trainedStart
FG stafftraining
y1

P,G# Farmer Group
staff trainedStart
FG stafftraining
y1

G

The training program is done at country level and is part of the
National Plan. The program identifies the trainers and curricula thatare used. An accreditation system is established for famer trainers.
Regional Training Workshop of Training of Trainers is organized atcountry level. Dedicated BC staff responsible for the organization ofRegional Training Workshops ensures that minutes and signed
participants lists of each training of trainers are available.
Training curricula are developed by internal or external experts for the
topic at either global or country level.
included in the curriculum for farmer trainers / coaches only

not applicable

Farmer Trainers are proposed by the Farmer Group based
upon the following criteria:‐ Able to read and write‐ Resident of village‐ Being a Group Member or a relative of a Group Member‐ Speaks local languages.

Min. Y10
TargetAll proposed Farmers Trainers are trained and evaluated bydedicated BC staff:‐ Training is provided to farmers trainers as part of theFarmer Trainer Accreditation.
‐ A test is devised to check the knowledge of Farmer
Trainers. Selected Farmer Trainers are subjected to a test.
‐ The test results are evaluated against a target pass‐rate.
Farmer Trainers who pass the mark are accredited.
‐ After evaluation the best Farmer Trainers are chosen
This process is documented (minutes, signed participants listand evaluation results).
TRA114Training

Training of
farmers trainers

An annual training program is established. This program is
accompanied by the training curriculum modules and a time
table. This program states the number of modules and thefrequency of farmer training.
Training is provided to farmers trainers based on the training
program and curriculum. Focused annual update trainings
are realized. The following subjects are covered:

TRA114aTraining

TRA114b

Training

TRA114c

Training

TRA114dTraining

TRA114f

Training

TRA114g

Training

TRA114hTraining

TRA114i

Training

TRA114j

Training

TRA114k

Training

TRA115Training

Training of
farmers trainers
Training of
farmers trainers‐

Adult Education‐ Good Agricultural Practices:
Planting, maintenance of cocoa trees, Soil
fertility/protection, IPM and application of pesticides,
Harvesting, pod‐breaking, fermentation, Drying, packaging,storage, Resilience and diversification of production‐
Farming as a businessG

included in the curriculum for farmers

not applicableG

included in the curriculum for farmer trainers / coaches only

not applicable‐

Protection of the EnvironmentG

included in the curriculum for farmers

not applicable‐

Health & SafetyG

included in the curriculum for farmers and sprayers

not applicable‐

Application of agrochemicals

G

included in the curriculum for farmers and sprayers

not applicable‐

TraceabilityGincluded in the curriculum for farmers

not applicable‐

QualityG

included in the curriculum for farmers

not applicable‐
Social aspects including child protection:G
Human rights, Gender‐related issues, Children´s rights andchild labor, Workers rights and labor conditions, Right to thefreedom of association
Training of‐ Creating awareness of the potential impact of climateG
farmers trainers change and how to assist registered farmers adapting to newclimatological conditions (if applicable)
Training of
Dedicated BC staff is responsible for the training of farmers G
farmers and their Two methods are used for training:
workers
1. Farmer Field Schools
2. Individual Group Member training

included in the curriculum for farmers

not applicable

not yet available

not applicable

Training of
farmers trainers
Training of
farmers trainers
Training of
farmers trainers
Training of
farmers trainers
Training of
farmers trainers
Training of
farmers trainers
Training of
farmers trainers

The following training is provided to farmers and theirworkers based on an annual training program andcurriculum. Focused annual update trainings are realized.
Training records (minutes and participants lists including
gender and signatures) are kept. The following subjects arecovered as detailed in the following chapters:‐ Protection of the Environment‐ Good Agricultural Practices‐ Health & Safety‐ Quality, Traceability‐ Social aspects including child protection

TRA116

Training

Coaching

TRA117

Training

TRA117aTraining

Training on
environment
Training on
environment

TRA117b

Training

Training on
environment

TRA117c

Training

Training on
environment

TRA117dTraining

TRA117f

Training

Training on
environment
Training on
environment

Once the Farm Business Plan (FBP) shall be set up: Businesstraining
G, F
Farmers are provided with coaching that enables them to
implement the FBP. Coaching includes as a minimum one on‐
farm coaching session per 12 months.

Based on national training plan, farmer trainers train farmers in Farmer # Farmers
graduated
Field Schools or equivalent settings. The aim is that a farmer has freeaccess to basic and advanced training modules over 2‐3 years. The
farmer is first assessed on knowledge on training topics, in order to
identify gaps. The farmer then attends to trainings particularly useful toaddress the gaps. After about 2 years, the farmer graduates throughanother evaluation, and obtains a diploma stating performance.
Farmers who perform very well during the first assessment can obtaina diploma straight away.
A farmer in training is expected to enroll for farm services based on
his/her FBP. At least after 3 years, a farmer does no longer have free,systematic access to training, except new content or specific needs
occur.

Training
Y1

Coaching is part of the FBP and the consequent PP and RP. The SOP forcoaching specifies more details.

Start
FG stafftrainingy1# Farmer Group
staff trained‐ Business training and support including technical,
logistical, infrastructure related and financial knowledge andinformation and expenditures to build their financial history‐ Coaching on adoption and implementation of the cocoa
Farm Business Plan
Coaching includes a minimum include one on‐farm coachingsession per 12 months.
Training content on protection of the environment
G, F

included in the curriculum for farmers

not applicable

G, F

included in the curriculum for farmers

not applicable

G, F

included in the curriculum for farmers and farmer groups

not applicable

G, F

included in the curriculum for farmers and farmer groups

not applicable

G, F

included in the curriculum for farmers

not applicable

G, F

included in the curriculum for farmers

not applicable‐ how to identify, protect water bodies (e.g. buffer zones
between cocoa fields and water bodies, how to avoid
contamination of surface and underground water by
agrochemicals, no discharge of sewage, wastewater,
pesticides, empty pesticide containers or othercontaminants into fresh water bodies)‐ how to protect the ecosystem, threatened andendangered species and their habitats (The hunting, fishingor gathering of rare, threatened or endangered species on
the farm is prohibited. Farmers and workers are informed
about these species and that destroying important habitats
on‐farm (or off‐farm because of farming activities) is notallowed).
‐ forest protection and protection of vegetation on
unproductive land, prohibition of land burning and of
farming activities in national parks, wildlife refuges, forestry
reserves, buffer zones, water bodies and other public or
private conservation areas.
‐ planting of shade trees, forest tree species, timber trees,
fruit trees and shrubs‐ waste management (waste disposal in designated areas,no open‐air burn of any waste, correct disposal of empty
pesticide containers, expired agrochemicals etc.)8Cocoa Horizons Methodology ‐ v 25
Code

Area

Subtitle

Expected requirement on Farm and Group level

Implementation guidanceApplicable(F=farm, G=
Farmer group,
P=Programm/origin)

Leading KPITRA118Training

G, FPart of farmer training curriculum

not applicable

Training

Training on GAP– Planting
Training on GAP– Planting
Training on GAP– Planting
Training on GAP– Planting

Training content of GAP ‐ planting

TRA118a‐ use of adequate planting material

G, FPart of farmer training curriculum

not applicable‐ (re)planting, rejuvenation/ rehabilitation

G, FPart of farmer training curriculum

not applicable‐ grafting techniques

G, F

Grafting is currently not permitted in GH and Ivory Coast, therefore no not applicabletraining done on that topic in these two origins. In Cameroon and otherorigins where grafting is allowed, training on grafting can start in year 2
or 3.
Part of farmer training curriculum
not applicable

TRA118b

Training

TRA118c

Training

TRA119Training

TRA120Training

TRA120a

Training

TRA120b

Training

TRA120c

Training

TRA120d

Training

TRA121

Training

TRA121aTraining

TRA121b

Training

TRA121c

Training

TRA121dTraining

TRA121f

Training

TRA121g

Training

TRA121hTraining

TRA121i

Training

TRA121j

Training

TRA121k

Training

TRA121lTraining

TRA121m Training

TRA122Training

TRA122aTraining

TRA122b

Training

TRA122c

Training

TRA122dTraining

TRA123Training

TRA124aTraining

TRA125b

Training

TRA126c

Training

TRA127

Training

TRA128Training

TRA129
TRA129a
TRA129b
TRA129c

Training
Training
Training
Training

Training on GAP Training content on GAP – maintenance of cocoa trees– maintenance of ‐ Maintenance and rehabilitation of trees
cocoa trees
Training on GAP ‐ Training on GAP ‐ Soil fertility/protection
Soilfertility/protectionTraining on GAP ‐ ‐ soil fertility management, nutrient balance andreplenishment and how to minimize nutrient losses.
Soilfertility/protectio ‐ Proper application of fertilizersnTraining on GAP ‐ ‐ practices to avoid soil erosion.
Soil
Training to include managing locally relevant risks of soil loss
fertility/protectio and degradation (erosion, loss of structure, contamination,nloss of soil Organic Matter), and management systems
appropriate for preventing or correcting problems.
Training on GAP ‐ ‐ to leave mulch cover and healthy organic waste such as
disease‐free pod husks and pruning debris, seeds and fruits
Soilfertility/protectio in the farm.to increase microbial activitynTraining on GAP ‐ ‐ composting
Soil
fertility/protectionGAP – IPM andAll persons who are involved in or concerned byapplication of
agrochemical treatments are trained according to thepesticides
following subjects:
GAP – IPM and‐ Integrated pest and disease management (IPM measures)
application ofpesticides
GAP – IPM and‐ how to reduce use of pesticides
application ofpesticides
GAP – IPM and‐ choice of agrochemicals including list of prohibited
application of
products
pesticides
GAP – IPM and‐ correct application of agrochemicals, including no‐spray
application ofzones, how to minimize exposure of the operators,
pesticides
bystanders, the environment and non‐target areas
GAP – IPM and‐ who is allowed to apply agrochemicals
application ofpesticides
GAP – IPM and‐ use of appropriate personal protective equipment (PPE)application of'‐ Emergency procedures, first aid and medical attention forpesticides
cases involving poisoning with CPP
GAP – IPM and‐ dosage, timing, intervals of application
application ofpesticides
GAP – IPM and‐ protection of family, bystanders, the local community andapplication of
the environment
pesticides
GAP – IPM and‐ re‐entry time and pre‐harvest intervals
application ofpesticides
GAP – IPM and‐ maintenance and calibration of spraying equipment
application ofpesticides
GAP – IPM and‐ proper closing of bottles during storage and transportation
application ofin order to prevent spillage
pesticides‐ storage in a secure location separated from living
quarters, food or feed, where only authorized persons haveaccess.
GAP – IPM and‐ safe storage, handling and disposal of empty agrochemical
application ofcontainers and expired agrochemicals
pesticides‐ triple washing of empty containers before disposal, no re‐use of agrochemical containers and no open‐air burning
GAP –GAP – Harvesting, pod‐breaking, fermentation
Harvesting, pod‐
breaking,
GAP –‐ good harvest techniques (including identification of ripe
Harvesting, pod‐ pods ready for harvest andbreaking,
GAP –‐ identification of diseased, mummified or insect‐damaged
Harvesting, pod‐ pods to be discarded
breaking,
GAP –‐ good pod‐breaking techniques
Harvesting, pod‐
breaking,
GAP –‐ good fermentation techniques
Harvesting, pod‐
breaking,
GAP – Drying,
GAP – Drying, packaging, storage
packaging,storage
GAP – Drying,‐ appropriate drying techniques, avoiding direct contact
packaging,with roads and soil
storage
GAP – Drying,‐ sun‐drying on a clean and prepared surface, without direct
packaging,
contact with roads and soil
storage
GAP – Drying,‐ proper packaging and storage techniques and materials
packaging,storage
GAP – Resilience ‐ diversification of crops, including use of shade trees
anddiversification of
production
GAP – Resilience Climate change
and‐ the potential impact of climate change and how to adapt
diversification of to new climatological conditions (if applicable)
production
Social criteria
Social criteria
Social criteria‐ Human rights
Social criteria‐ Gender‐related issues
Social criteria‐ Children´s rights and child labor

G, F

G, F

The training curriculum on this topic is updated and used to train
farmers.

not applicable

G, FPart of farmer training curriculum

not applicable

G, F

included in the curriculum for farmers

not applicable

G, F

included in the curriculum for farmers

not applicable

G, F

included in the curriculum for farmers

not applicable

G, FPart of sprayer training curriculum

not applicable

G, F

included in the curriculum for farmers and sprayers

not applicable

G, F

included in the curriculum for farmers and sprayers

not applicable

G, F

included in the curriculum for farmers and sprayers

not applicable

G, F

The training curriculum on this topic is updated and used to train
farmers.

not applicable

G, F

The training curriculum on this topic is updated and used to train
farmers.

not applicable

G, F

included in the curriculum for farmers and sprayers

not applicable

G, FPart of sprayer training curriculum

not applicable

G, F

The training curriculum on this topic is updated and used to train
farmers.

not applicable

G, F

The training curriculum on this topic is updated and used to train
farmers.

not applicable

G, FPart of sprayer training curriculum

not applicable

G, F

The training curriculum on this topic is updated and used to train
farmers.

not applicable

G, FPart of sprayer training curriculum

not applicable

G, F

The training curriculum on this topic is updated and used to train
farmers.

not applicable

G, FPart of sprayer training curriculum

not applicable

G, FPart of farmer training curriculum

not applicable

G, FPart of farmer training curriculum

not applicable

G, FPart of farmer training curriculum

not applicable

G, F

The training curriculum on this topic is updated and used to train
farmers.

not applicable

G, FPart of farmer training curriculum

not applicable

G, FPart of farmer training curriculum

not applicable

G, FPart of farmer training curriculum

not applicable

G, FPart of farmer training curriculum

not applicable

G, F

Curricula for farmer and farmer training need to be updated from time
to time for emerging realities of climate change.

not applicable

G, F
G, F
G, F
G, F

Part of farmer and cooperatives staff training curriculumPart of farmer and cooperatives staff training curriculumPart of farmer and cooperatives staff training curriculumPart of farmer and cooperatives staff training curriculum

not applicable
not applicable
not applicable
not applicablemin. Y1 min. Y2 ‐Target Y5 Target

Min. Y10
Target2019/20
curriculae
updated9

Cocoa Horizons Methodology ‐ v 25
Code

Area

Subtitle

Expected requirement on Farm and Group level

Implementation guidanceApplicable(F=farm, G=
Farmer group,
P=Programm/origin)

Leading KPI

min. Y1 min. Y2 ‐Target Y5 Target

TRA129dTraining

Social criteria‐ Workers rights and labor conditions

G, FPart of farmer and cooperatives staff training curriculum

not applicable

TRA129f

Training

Social criteria‐ Right to the freedom of association

G, FPart of farmer and cooperatives staff training curriculum

not applicable

MGT130Management & Cocoa
Performancesustainability
management
systemCocoa sustainability management system
Requirements for a Farmer Group:
Every Farmer Group signs the following documents:‐ The Supplier Code.
‐ The COCOA HORIZONS Convention.
‐ The Child Labor Charter.
‐ A Declaration on protected forests.

G

When a farmer group joins COH, the group leadership is informed &trained about the policies of COH. The content of these policies isaligned with this standard and formalized in the 4 documents cited.
These are updated from time to time, usually at a global level, and thenfarmer groups must sign a new copy.
Each farmer group is supported to establish an IMS that meets theminimum requirements.

# of cooperatives Y1 100%
compliant ;Sample of 30% of
Farmer Groups

Min. Y10
TargetEvery Farmer Group has an effective internal management
system following minimum requirements:‐ Organizational Chart‐ Governance Procedure Manual:a) Approval of new Group Membersb) Obligations of the Farmer Group and the Group Membersc) Premium payment to Group Members.
‐ Group Member register according to program
requirements.

MGT131

Management & Registration of
Performance
farmers

0 All farmers obtain a Farmer Passbook that contains
1. Farmer ID 2. Sales logbook 3. Non‐sales record ( training, kits,
credits) 4. Farmer contract including compliance information on GAP,
OSH, protection of the environment, human rights. 5. Grievancemechanism / integrity line number.
All farmers must sign the contract in the passbook and newly joining
farmers must sign it before December each fiscal year.
The content of the passbook and in particular the farmer contract, isreviewed from time to time at country level and translated into local
language.

Requirements for a Group Member:
A Group Member is a farmer that is registered at the Farmer
Group. Each Group Member must sign a COCOA HORIZONSContract which stipulates the obligations of the Farmer
Group and the Group Member according to thismethodology.
Farmer Groups can register new group members up to
December each fiscal year.

MGT131a Management & Registration of
Performance
farmers

Prior to registration, farmers are informed of:a) the objectives and scope of cocoa suitable management
systems and this standard;

G

MGT131b Management & Registration of
Performance
farmersb) the Farm Business Plan (FBP) process;G

MGT131c Management & Registration of
Performance
farmersGc) the cocoa sustainability activities of both parties forfulfilling the requirements of this chapter, including the:1) services to be provided by the organization to the farmer
when registered;
2) requirements to be fulfilled by the farmer after
registration; including social, environmental, and economic
requirements specified in this standard;d) generic estimates of the costs and benefits to be realized G
by a farmer as a result of fulfilling the requirements of thisstandard;

MGT131d Management & Registration of
Performance
farmers

MGT131e Management & Registration of
Performance
farmers

MGT131f Management & Registration of
Performance
farmers
MGT131g Management & Registration of
Performance
farmers

MGT131h Management & Registration of
Performance
farmers

MGT131i Management & Registration of
Performance
farmers
MGT132 Management & Registration of
Performance
farmers ‐Documentation
MGT132a Management & Registration of
Performance
farmers ‐Documentation
MGT132b Management & Registration of
Performance
farmers ‐Documentation
MGT132c Management & Registration of
Performance
farmers ‐Documentation

MGT132d Management & Registration of
Performance
farmers ‐Documentatione) the information expected to be shared, including
rationales for sharing it:1) all information which shall be collected during theregistration process and GAP analysis processes;2) how confidential information about farmers and theiractivities is treated;
3) the potential risks of sharing personal information;4) the right of farmers to access their information;5) the use of their data by other stakeholders;f) that registered farmers will be subject to both internal andexternal auditing;g) transparency on all agreements made by the Farmer
Group with first buyers or other interested parties forfarmer premiums or for financing the costs ofimplementation, including cost recovery mechanisms;h) the conditions and the mechanism by which theregistered farmers can take ownership of the Farmer Group
without compromising the organization’s performance,
including the cocoa sustainability management system, if sodesired by the majority of registered farmers;i) other relevant opportunities and risks.

G

G

Covered in contract.

not applicable

G

Farmers are informed about the farmer premium they will receive, as
well as on the resources which the farmer group has available toimplement the program, e.g.. Staff cost paid by COH, premium paid tocooperative.
For both cooperatives and private farmer groups, the national laws
specify how such mechanism can be operated by farmers.

not applicable

G

G

G

A contract specifying the responsibilities of the farmer andG, F
the Farmer group is signed by both parties (or thumbprint).
The date of registration of each individual farmer isdocumented.
G
For each registered farmer, the following information isavailable and maintained, including the signature (orthumbprint) of the registered farmer:a) name;b) identification document (ID) (if available);c) date of birth or estimated date and birth, if not known;d) gender;e) household composition, including names, date of birthand education status;f) number, gender and age of permanent laborers; including
laborers from the household;g) children of household, including gender, date of birth,name of parents and school enrolment;h) size of the cocoa farm (using the most effective form of
measurement available to the organization) and thepercentage of its land that is planted with cocoa;i) number and location of cocoa fields (using the mosteffective form of measurement available to the organizationaccording to national practices);j) previous crop year's production;k) legal ownership rights over the land if applicable or if notapplicable, a record of the testimony of the farmer and/or
land owner of rights relating to the land.
G
The organization provides a justification for any otherpersonal information collected and the farmers are aware of
the justification and the potential risks of sharing personal
information.

100%
farmers
supplying areregistered

not applicable
In the process of on‐boarding a new farmer group, all the farmers areinvited to sensitization and information session animated for ex. by thecoach, where the farmer contract is presented and discussed.
Furthermore the farmer passbook that each farmer obtains contains
the basic information
In the process of on‐boarding a new farmer group, all the farmers are
not applicableinvited to sensitization and information session where the farmer
contract is presented and discussed. Furthermore the farmer passbook
that each farmer obtains contains the basic information
not applicable
In the process of on‐boarding a new farmer group, all the farmers areinvited to sensitization and information session where the farmer
contract is presented and discussed. Furthermore the farmer passbook
that each farmer obtains contains the basic information

not applicable
In the course of informing the farmer, content on generic FBP should
be presented, on the status quo situation of farmers versus a future
having adopted the FBP; also services that are free for the farmers suchas training, access to financial and farm services, community
development, coaching, and the FBP should be highlighted.
not applicable
Before farmers respond to the general survey / data collection, they
provided their FPIC (Free prior and informed consent) for personal
data. The origin programs with help from the legal counsels are
informed on personal data protection and follow the local regulations,e.g. with regard to the content of the FPIC that farmers sign, andstoring, sharing of data.

Registration of farmers ‐ Documentation

The registered farmer is aware of the conditions for leaving
the organization.

# of farmers
registered

not applicableThis is covered in the farmer contract and during initialization meetings not applicablewith farmers.
0 Farmer passbook
not applicableThis is specified in the farmer contract and copied in the farmers
Passbook. As a rule, a farmer is free to leave the farmer group.

not applicableAll farmers obtain a Farmer Passbook that contains amongst other the
Farmer contract including compliance information on GAP, OSH,
protection of the environment, human rights.

not applicable

The farmers census and mapping that covers several of these aspects.
Some are currently only covered by the sample‐based survey of 10% of
the farmers, notably the areas on household composition.

not applicableThis is covered in the FPIC process described above in MGT131

not applicable10Cocoa Horizons Methodology ‐ v 25
Code

Area

Subtitle

MGT133

Management & Confirmation of
Performanceregistration of
farmers
MGT133a Management & Confirmation of
Performanceregistration of
farmers
MGT133b Management & Confirmation of
Performanceregistration of
farmers

MGT134

Management & Data ownership
Performance

MGT134a Management & Data ownership
Performance

MGT134b Management & Data ownership
Performance
MGT134c Management & Data ownership
Performance

MGT135

Expected requirement on Farm and Group level

Implementation guidanceApplicable(F=farm, G=
Farmer group,
P=Programm/origin)

Confirmation of registration of farmers

The farmers registration is extended or terminated within
the first year of registration.

G

G
It is assured that:a) the farmer´s FBP will be established in line with relevant
GAP criteria ;b) the information specified above (Sensitization process) is
up‐to‐date, and is supplied to the farmers.
Documentation includes the signature (or thumbprint) of theregistered farmer.
Data ownership

G
Farmers maintain ownership of their individual data.
In case of leaving the organization, it is assured that his/her
personal data are deleted within 2 years.
When a farmer wishes to be registered within one otherorganization, the farmers receive all his/her data on asuitable format by the organization.
The Farmer group shares personal information only whenGdocumented approval has been gained from the individual
as a part of the registration process.
Upon request of relevant parties, information is available for F
performance monitoring and verification of conformity withthis standard.

Management & Leadership and
Performancecommitment
MGT135a Management & Leadership and
Performancecommitment

Leadership and commitment
The Farmer Group demonstrates commitment with respect
to the cocoa sustainability management system by ensuringthat applicable statutory and regulatory requirements are
determined, understood and constantly met.

G

MGT135b Management & Leadership and
Performancecommitment

The program assigns the responsibility and authority to (an)individual(s) for:a) ensuring that costs of implementation of therequirements in this standard are clearly calculated, andtransparent procedures are established, implemented andmaintained for the accounting and record‐keeping of thecosts of implementation, including external provision;b) ensuring registered farmers are adequately assisted tofulfil the requirements of this standard; this includes
ensuring that transparent procedures are put in place andmaintained for accounting and record keeping in relation to
any financial transactions, e.g. distribution and receipt ofany registered farmer premiums.
Organizational roles and farmers representation

G

MGT135c Management & Leadership and
Performancecommitment

MGT136

Management & Organizational
Performanceroles and farmers
representation
Top management shall be inclusive of registered farmer
MGT136a Management & Organizational
Performanceroles and farmers representation in accordance with the requirements
representation
specified in 136d. The process used to appoint top
management promotes the inclusion of women and is
documented and understood throughout the organization.

G

Leading KPI

0 Current practice is that a farmer once registered stays registered until
either party resigns from the contract.

not applicable

Farmer's registration is automatically confirmed and renewed until
other procedures come in vigor or the contract is terminated by either
party.
For each crop season starting in September each year, farmer
registration is terminated latest by December, to ensure that integrityof the product flow is intact. Farmer registration occurs with signing ofa farmer contract during these first 4 months. Farmers will go throughbasic and advanced training before completing an FBP. Farmer
information is automatically updated via the annual Farmer census.

not applicablemin. Y1 min. Y2 ‐Target Y5 Target

not applicable

0 The origin programs with help from the legal counsels are informed on not applicable
personal data protection and follow the local regulations, e.g. withregard to the content of the FPIC that farmers sign, and storing, sharingof data.
These rights are conferred and communicated to the farmer in the
not applicable
contract or the FPIC form.

These rights are conferred and communicated to the farmer in thecontract or the FPIC form.

not applicable

These rights are described and communicated to the farmer in thecontract or the FPIC form. Farmer data is usually handled at a COH
program level to enable reporting and performance evaluation, e.g.
using Katchilé.
0 title ‐ see details in sub points

not applicable

In a first instance, Farmer groups commit to the cocoa sustainability
program by signing the 4 key documents (convention, supplier code,
child labor convention and declaration on forests.
At a company level, the standard ensures that local regulations arerespected.
This is handled at the program / country level, where annual budgets
are approved and followed‐up in line with company processes.

not applicable
not applicable

not applicableThis is handled by the farmer group, which issues the necessary
not applicable
documentation for farmer premium payment, which is part of the third
party verification.

0 title ‐ see details in sub points

not applicable

G

Farmer representation in Farmer Group Top management is applicablefor cooperatives, and shall follow the rules of cooperative
Memorandum of Association.
Farmer groups, direct sourcing organization and origin sustainability
organization have a hiring policy that are inclusive for women.

not applicable

An organizational processes is established and maintained to G
MGT136b Management & Organizational
Performanceroles and farmers ensure non‐discrimination of the hiring and selection of all
representation
staff, including, but not limited to, discrimination on thebasis of race, color, gender, personal relationships, disability,
health, marital status, age, HIV/AIDS status, religion, politicalopinion, language, property, nationality, ethnicity, or social
origin.

This applies to the farmer group and is handled via HR policies forhiring and promotion. Capacity building for cooperatives covers these
aspects.

# of cooperatives Y1 100%
compliant ;Sample of 30% of
Farmer Groups

G

This applies to the farmer group and is handled via HR policies forhiring and promotion. Capacity building for cooperatives covers these
aspects.

not applicableG

not applicableThis is applicable for cooperatives and national laws regarding
cooperative constitution and cooperative live shall be respected.
Private sector type direct sourcing operations are not expected to havea democratically elected farmer representative.

MGT136c Management & Organizational
The selection process for management, other paid positions
Performanceroles and farmers and any leadership posts within the organization is open,
representationand the inclusion of women for selecting management isencouraged.
MGT136d Management & Organizational
If applicable, a body of democratically elected registered
Performanceroles and farmers farmer representatives participate in management. The
representationbody shall be established within the first year of claimed
conformity to this document.
Documented procedures for free and fair elections must be
established.
Elections periodically take place with intervals of no lessthan every three years.
MGT136f Management & Organizational
Suppliers must ensure that there are regular meetings for
Performanceroles and farmers farmers and/or farmer groups to discuss not only quality,
representation
price and delivery dates, but also to discuss cocoa
sustainability issues and understand how any problems thefarmers are facing might be overcome.

MGT137

MGT138

Management & Training and
Performancecoaching

GP,G
Training and coaching
Education, Training and coaching are provided to registeredfarmers to meet the requirements specified this standard‐ cocoa farm plan management, i.e. developing andmaintaining the Farm Business Plans (FBPs), including
measuring farmer performance against their individual Farm
Business Plans (FBPs);‐ managing risks of child labor and forced labor where it
exists and contributing to its elimination;
Resources, cost identification and recovery mechanisms

Management & Resources, cost
Performance
identification andrecoverymechanisms
P
MGT138a Management & Resources, cost The organization determines and provides the resources
Performance
identification and needed for the establishment, implementation,
recoverymaintenance and continual improvement of the cocoa
mechanisms
sustainability management system in a clear and transparent
way.

Min. Y10
Target

Where there are several farmer groups in a country (Ivory Coast, Cam),an annual meeting is organized with farmer group representatives toinform them about the oncoming cocoa season. Topics as specified arecovered. The annual meeting also serves as a sounding board for
emerging challenges of farmers and farmer groups.
For cooperative, the annual general assembly serves the purpose ofthis requirement.
Direct sourcing operations that are not cooperative organize meetings
to discuss these topics at appropriate levels.
The training program is done at country level and is part of the
National Plan. The program identifies the trainers and curricula thatare used. An accreditation system is established for famer trainers.
Regional Training Workshop of Training of Trainers is organized atcountry level. Dedicated BC staff responsible for the organization ofRegional Training Workshops ensures that minutes and signed
participants lists of each training of trainers are available.
Training curricula are developed by internal or external experts for the
topic at either global or country level.
0 title ‐ see details in sub points

This is handled at the global level through multiyear forecasts andannual budget processes that are based on targets of the leading KPIs
of this standard. Resources such HR, financial and infrastructure areplanned e.g. For training and service provision.

# of cooperatives Y1 100%
compliant ;Sample of 30% of
Farmer Groups# Farmer Group
staff trainedStart
FG stafftraining
y1

not applicable

not applicable11

Cocoa Horizons Methodology ‐ v 25
Implementation guidanceApplicable(F=farm, G=
Farmer group,
P=Programm/origin)

Leading KPIPGlobal COH planning process. This is handled at the global level basedon a sales forecasts and expected revenue streams are established andthrough multiyear forecasts. Annual budget processes that are basedon targets of the leading KPIs of this standard. Resources such HR,
financial and infrastructure are planned e.g. for training and service
provision.

not applicable

MGT138c Management & Resources, cost The Program shall monitor and communicate to its members P
Performance
identification and the market demands for sustainable cocoa and develop arecoveryplan and provide resources to strive for market up‐take forsustainable cocoa produced by the organization is available.
mechanisms

This is implemented at a global program level where COH demand andsourcing are matched, long term projections and annual plans aremade.

not applicable

MGT138d Management & Resources, cost The Farmer group shall respect the cocoa sourcing
Performance
identification and agreements it has with the buyer and it shall respect therecoverynational regulations on internal cocoa marketing, notably
mechanisms
the respect of a minimum farm gate price if one is defined,of cocoa quality, of weighing equipment and packaging
materials.
MGT138e Management & Resources, cost The organization shall support registered farmers’ access to
Performance
identification and external provision (e.g.: training services, approved planting
recoverymaterials, quality inputs) that are relevant to meeting therequirements of this document. The organization should
mechanisms
strive to provide these at competitive prices withoutcompromising quality. The organization shall support
registered farmers’ access to external provision atcompetitive prices (e.g. training services, planting materials,
inputs) that are relevant to meeting the requirements of thisdocument.
MGT138f Management & Resources, cost The Farmer Organization shall facilitate collective purchasing
Performance
identification and of external provision provided this is the most cost‐effective
recoveryoption for registered farmers and if the majority ofregistered farmers expressed interest.
mechanisms
The organization shall respect purchase contracts (e.g.
payment terms) and agreements with farmers (timing, cash
management)
MGT138g Management & Resources, cost The Farmer Group shall identify, raise awareness andPerformance
identification and facilitate access to government support relevant to therecovery
implementation of this standard.
This may cover access to planting material and subsidized
mechanisms
inputs, income diversification support, social welfare,wellbeing of children and women, protection of theenvironment, biodiversity, reforestation etc.
MGT139 Management & Competence
Competence
Performance
MGT139a Management & Competence
The Farmer group identifies the competencies necessary to
Performance
support itself and its registered farmers in meeting
requirements of this standard. It is ensured that persons
working under its control meet these competencies and will
document any actions that have been taken to acquire or
increase the necessary competencies.
MGT139b Management & Competenceb) ensure that these persons are competent on the basis of
Performance
appropriate education, training, or experience; e.g. ensurethat persons being assigned management roles arecompetent in basic management and business practices andensure that person(s) authorized to conduct the cocoa farmdiagnostic and develop the cocoa Farm Business Plan (FBP)
with the registered farmer are competent in sustainable
farming practices;c) where applicable, take actions to acquire the necessarycompetence, and evaluate the effectiveness of the actions
taken; e.g. establish consulting capacity to coach registeredfarmers in good agricultural practice and management of
their sustainability improvement;d) retain appropriate documented information as evidenceof competence.
MGT140 Management & Documented
Documented information
Performance
information
The Farmer Group creates, updates and controls actual andcomplete documents (internal and external, e.g. farmers
register) that relate to the fulfilment of the requirements
specified in this standard (documented information
determined by the organization as being necessary for theeffectiveness of the cocoa sustainability management
system).
MGT141 Management & Annual work plan Annual work plan
Performance
MGT141a Management & Annual work plan An annual work plan is established, which explains how
Performance
processes shall be implemented in order to meet the cocoa
sustainability objectives and the relevant parts of the Farm
Business Plans (FBPs). The annual work plan considers
medium and long term plans and shall:a) be suitable for the organization;b) be generated once per year and monitoredc) be aligned with the cocoa sustainability policyd) be aligned with the cocoa sustainability objectivese) consider the requirements of this document;f) provide detailed explanations for activities which will
occur over the following 12 months.

G

Farmer groups are informed and trained on the national regulations
that apply for marketing of their cocoa. The contract between thebuyer and the farmer group shall respect these regulations as well.
Farmer groups are expected to comply with commercial laws on
weighing and quality, and if this is required, have their equipment
checked by the competent authority.
The collective purchasing of e.g. Inputs for the Productivity or
Replanting Packages, or for PPE, is handled at the origin level, forexample by Farm Services division or by a competent procurement
department. Terms of purchase can be specified in SOP for PP and RP
and follow the procurement policy of the relevant organization.

# of cooperatives Y1 100%
compliant ;Sample of 30% of
Farmer Groups

G

The collective purchasing of e.g. Inputs for the Productivity or
Replanting Packages, or for PPE, is handled at the origin level, forexample by Farm Services division or by a competent procurement
department. Terms of purchase can be specified in SOP for PP and RP
and follow the procurement policy of the relevant organization.

not applicablePThis is delegated chiefly at the origin level, not at Farmer group level.
Notably, the National Plan identifies the government resources andprograms that it can draw from. For example, the number of seedlings
or seeds received from government agencies, or referral of
unconditional child labor cases to competent government institutions.

Existence ofnational plan on
government
resourcesP

not applicable
At a global and origin level, a plan is made for each year (Sept ‐ Aug)
that covers volumes, sourcing footprint, activities on GAP, ENV, SOC
chapters, as well Farmer Group capacity building, farmer training, FBP,
PP, RP and community work, and more generally a activities under the
COH program. The annual plan gives targets for KPIs or deliverables,
defines a budget and responsibilities, and a time plan for activities.
The main documentation form of this plan is the origin budget for COH.

MGT141b Management & Annual work plan The organization develops, monitors and reports activities
Performanceagainst annual work plans to support the implementation
requirements of this standard.

G

The COH update reports (half yearly) serve that purpose. Part of its
content is verified by PWC.

not applicable

The COH update reports (half yearly) serve that purpose. Part of its
content is verified by PWC.
During the annual meeting with Farmer Groups, the principal results of
the last year's report are shared.

not applicable

Code

Area

Subtitle

Expected requirement on Farm and Group level

MGT138b Management & Resources, cost The organization assesses its organizational capacity and
Performance
identification and prepares a documented plan, to build capacity in order tomeet the requirements of this standard. The assessment isrecoverydocumented and covers:
mechanismsa) which resources needed can be obtained from external
providers;b) the financing for start‐up costs of implementation to benegotiated with first buyers or other interested parties;c) the financing for registered farmer premiums to benegotiated with first buyers.
d) the capabilities of, and constrains on, existing internal
resources;e) the means of individual registered farmers to reach theircocoa sustainability objectives and the resources needed.

G

0 title ‐ see details in sub points

CdI, GH Cam andotherorigins

not applicable

Each Farmer group has an org‐chart on record that identifies the key
persons responsible for implementing the COH program. Competenciesof these key persons are strengthened by trainings at the origin level.
Such training is recorded.

# of cooperatives Y1 100%
compliant ;Sample of 30% of
Farmer Groups

P,G

Farmer group and origin level staff who are in charge of implementing
the sustainability activities of the COH program are selected to fit therequirements of their position, and if needed are offered training
courses to expand their knowledge and competences.
Policies for hiring of dedicated farmer group staff such as ADG or Field
Officers exist at national level.

not applicable

P,G

The data platform used to store and update records on farmers, farmer not applicablegroups and cocoa supply is done a global level using the Katchilé
solution. Farmer groups keep copies of such records and registers

0 Title ‐ see details in sub points

G
Communication
For communication with regard to the cocoa sustainability
management system, it is determined what will be
communicated, when to communicate, with whom tocommunicate, how to communicate, who will communicate.

MGT142

Traceability

0 Title ‐ see details in sub points

Min. Y10
Targetnot applicable

G

MGT141c Management & Communication
Performance

Management & Traceability
Performancemin. Y1 min. Y2 ‐Target Y5 Target

not applicableallorigins

all origins

all origins

not applicable12

Cocoa Horizons Methodology ‐ v 25
Expected requirement on Farm and Group level

Implementation guidanceApplicable(F=farm, G=
Farmer group,
P=Programm/origin)

Leading KPI

min. Y1 min. Y2 ‐Target Y5 Target

MGT142a Management & Traceability
Performance

When a registered farmer has separate farms of which one
or more is not within the scope of the cocoa sustainability
management system, the registered farmer segregates thesustainably produced cocoa that conform to therequirements of this standard.

G

Volume of COH
cocoa

Not
applicable

MGT142b Management & Traceability
Performance

Documented information on the sustainably produced cocoa G
is delivered at all logistical stages within the Farmer Group(e.g. post‐harvest activities, collection, transport andstorage. etc.) and includes the following information:a) transport identification, e.g. waybill number
connaissement, voucher;b) pick up location/name;c) name and identification (ID) of the delivering registeredfarmer;d) name of the organization, quantity (quantity of bags;
gross/net weight);e) carrier’s information including delivery date and vehicle
registration plate, delivery location/name.
G
Each storage facility/warehouse of the Farmer Group
segregates the sustainably produced cocoa that conform to
the requirements of this standard.
A stock management procedure documents the following tomanage the intake and outtake of sustainably produced
cocoa:
a) weight of volumes coming in and out;b) release weight net/gross;c) registered farmer name(s);d) number of bags (if applicable);e) unique sale parcel number;f) transport date;g) names of buyer and seller;h) storage facility name;i) transport reference (truck registration plate, B/L);j) physical handling (fermenting, drying, blending/mixing,cleaning, bagging) including type of reconditioning, net
weight prior and after reconditioning, reason why theywould differ, procedure of management of reconditioned
cocoa in relation to the segregation of conforming cocoa.

Volume of COH
Training of Farmer Group staff: Dedicated BC staff annually train the
cocoa
Farmer Group staff on operating an effective traceability system.
Minutes and participant lists with signatures are available.
Traceability Manual: BC provides Farmer Group with a template for the
traceability manual to ensure uniform system across Farmer Groups.
Farmer Groups adopt this template and make minor amendments
where required.

100%

100%

100%

Volume of COH
cocoa

100%

100%

100%

The records of the Farmer Group and the receipt ofregistered farmers document the following information:a) registered farmer name and ID;b) Farmer Group name;c) quantity, weight;d) sale date;e) price;f) sales record number;g) buyer information.
Performance Monitoring
A documented monitoring system is in place to allow theorganization to control conformity to the followings:
1) actual production against estimated production;2) that registered farmers are implementing good
agricultural practices which they have been trained in;3) what is required to be monitored and measured in thisstandard, e.g. progress on action plans specified in chapter"Social"G

Training of Farmer Group staff: Dedicated BC staff annually train the
Farmer Group staff on operating an effective traceability system.
Minutes and participant lists with signatures are available.
Traceability Manual: BC provides Farmer Group with a template for the
traceability manual to ensure uniform system across Farmer Groups.
Farmer Groups adopt this template and make minor amendments
where required.
Traceability flow:• The Farmer Group performs a quality check and verifies the weightper Farmer Receipt against their own measurement.
• Once accepted the cocoa volume is entered onto the “Register” andstored.
• When there is sufficient cocoa in stock, the Farmer Group delivers aconsignment to BC buying site. This consignment is accompanied by
the “Bill of Lading “ (i.e. “Connaissement”) and the “Farmer List” (i.e.
“Fiche d’accompagnement”), which details volume of the delivery perGroup Member.
• Upon arrival of consignment at BC buying site, the cocoa is registered
and weighed.
• Subject to independent quality checks performed by BC and by anagency assigned by the Government, the cocoa is accepted and stored
at BC buying site.
• Dedicated BC staff create a Reception Slip (i.e. “Bordereau de
Reception”), which confirms volume and quality received and is signed
off by the Farmer Group, BC and Government.
• The cocoa of Group Members is delivered to the Farmer Groupaccompanied by a Farmer Receipt (i.e. Reçu d’Achat) and/or in the
Farmer Passbook.
• Once accepted the cocoa volume is entered onto the “Register” andstored.

Volume of COH
cocoa

100%

100%

100%

P

How this requirement is fulfilled is described in more detail in the
Assurance process documentation. There are 4 main sources of
information to measure performance: 100% of farmers with census
and 10% with a detailed census, sample of 200 farmers for GAP
adoption monitoring, 1/3 of farmer groups are subjected to internal
audit, and 100% of cocoa volumes for traceability data. All is subjected
to external verification process.

not applicable

Analysis and evaluation
Results of monitoring, measurement and internal audits are
documented and evaluated annually. The result of analysis
are used to evaluate:‐ conformity and identify non‐conformities to therequirements of this standard;‐ performance and effectiveness of the cocoa sustainability
management system;‐ effective implementation of planning;‐ effectiveness of action to address opportunities and risks;‐ performance of external providers;‐ the revenue and costs incurred relative to the budget;‐ need for improvements to the cocoa sustainability
management system.

P, G

At a program level, based on the annual results, action plans for the
next period / year are reviewed and updated to course correct ontarget achievement and redress non‐conformities.

not applicable

How this requirement is fulfilled is described in more detail in the
Assurance process documentation. Internal audit and comparison ofachievements versus targets are based on 4 main sources of
information to measure performance: 100% of farmers with census
and 10% with a detailed census, sample of 200 farmers for GAP
adoption monitoring, 1/3 of farmer groups are subjected to internal
audit, and 100% of cocoa volumes for traceability data. All is subjected
to external verification process.
Annually, the training curricula and SOP of program components, e.g.
PP, RP and farmer training, are controlled to match against
requirements of this standard.
There are two farmer level audits: adoption measurements on around200 farmers, and the 10% sample of complete census. The 10% sample
is random sampled to avoid any bias.
In addition, farmers who have started implementing the FBP receive
coaching visits to support the implementation of the FBP.
Title ‐ see details in sub points

not applicable

Code

Area

Subtitle

MGT142c Management & Traceability
Performance

MGT142d Management & Traceability
Performance

MGT143

Management & Performance
Performance
Monitoring

MGT144

Management & Analysis andPerformance
evaluation

MGT145

Management & Internal audit
Performance

MGT145a Management & Internal audit
Performance

MGT146 Management & Management
Performance
review
MGT146a Management & Management
Performance
review

MGT146b Management & Management
Performance
review

Appropriate documented information is retained as
evidence of the analysis.
GInternal audit (conformity check)
Internal audits are conducted according to an audit programat planned intervals of not more than 12 month to provide
information on whether the cocoa sustainability
management system:1) conforms to:a) the organization’s own requirements for its cocoa
sustainability management system and the cocoa
sustainability objectives;b) the requirements of this standard;2) is effectively implemented and maintained.
GInternal audits should include field visit in cocoa fields thathave been selected based on a risk‐based concept.
Also, Farm Business Plans (FBPs) are subject to coaching
visits within the first 12 months and again within the next 12months of their existence to update on progress.
Management review
P,GThe program's cocoa sustainability management system isreviewed at planned intervals, to ensure its continuing
suitability, adequacy, and effectiveness.

P

The organization shall take into account the need for further P,Gsupport of registered famers, as well as feedback received
from the registered farmers after having shared the resultsfrom the review.

Not applicable for current operations in Ivory Coast, GH and Cam. The
smallholder farmers who are in the COH program in these countries
have all farms registered under this program.

At a program level, based on the annual results, action plans for the
next period / year are reviewed and updated to course correct ontarget achievement and redress non‐conformities. This also comprises
the performance of the parts of the management system :organizational structure, M&E system, assurance processes, internal
control. Changes of management system are reflected in the budget
and annual plans.
Program changes take into account results from reviews on supported
needed for farmers and communities to reach targets. Feedback fromfarmers usually reaches the program through farmer groups. These
provide their feed‐back at least once per year during the pre‐season
meeting.

Min. Y10
Targetnot applicable

not applicable
not applicable

not applicable13

Cocoa Horizons Methodology ‐ v 25
Code

Area

Subtitle

MGT146c Management & Management
Performance
review

Expected requirement on Farm and Group level

Implementation guidanceApplicable(F=farm, G=
Farmer group,
P=Programm/origin)

Leading KPIThe outputs of the management review shall include
decisions and actions related to:a) improvement opportunitiesb) need for further support to registered farmers;c) need for changes to the cocoa sustainability management
system;d) resource needs.

P

At a program level, based on the annual results, action plans for the
next period / year are reviewed. The updated action plan and budget
cover the 4 areas specified in the requirements.

not applicable

P,G

title ‐ see details in sub points

not applicable1)When a farmer group or individual farmers significantly violates
human rights, laws or is involved in destruction of environment, thefarmer group shall be warned and requested to implement corrective
actions. If the farmer group or farmer fail to improve after having
been warned, it should be excluded from the program.
2) For non‐conformities and shortfalls on target achievements, farmergroups are responsible for addressing these.

not applicableG

In cases of exclusion of farmers or farmer groups for reasons of major
violations as described above, thorough documentation of the process
shall be kept.

not applicable

F, G

not applicable
The premium due to each farmer is computed and a suitable
document established to pay the premium to the farmers (list,
receipt). Each farmer is paid the premium due to him / her against asignature / thumbprint. The effectiveness of payout to farmers isverified.
Farmers volumes are recorded through the traceability system, and the not applicable
farmer group calculates the total volume of cocoa delivered by eachfarmer, usually 1x year.
Budgets are established on an annual basis for each origin and at a
not applicableglobal level.

min. Y1 min. Y2 ‐Target Y5 Target

Min. Y10
TargetDocumented information is kept as evidence of the resultsof management reviews.
MGT147

Management & Nonconformity
Performanceand corrective
actionMGT147a Management & Nonconformity
Performanceand corrective
actionNonconformity and corrective action

P,G
Nonconformity and corrective action
When a nonconformity occurs, the Farmer group shall react
to the nonconformity, as applicable, by either:1) take action to control and correct it;2) deal with the consequences.
The organization evaluates the need for action to eliminate
the cause(s) of the nonconformity, in order that it does notrecur or occur elsewhere, by:‐ analyzing the nonconformity;‐ determining the causes of the nonconformity;‐ determining if similar nonconformities exist, or could
potentially occur‐ The necessary measures are implemented.
‐ The effectiveness of corrective actions is reviewed.
‐ The opportunities and risks determined during planning are
updated if applicable.
‐ Changes to the cocoa sustainability management systemand to the traceability are made if necessary.

PRE149Transparencyof Premium
Flows

Premium
Entitlement

If a corrective action can only be carried out by an individual(for example a registered farmer the organization shallensure that this individual understands his/her
responsibilities in relation to carrying out corrective actions
which address a nonconformity.
Documented information is kept as evidence of:‐ the nature of the nonconformities and any subsequentactions taken‐ the results of any corrective action‐ validation of the effectiveness of the corrective action by
an authorized person
It is ensured, that all farmers receive the Horizons Premiumfor the Horizons cocoa delivered and accepted.

PRE150Transparencyof Premium
Flows
Transparencyof Premium
Flows

Premium
Entitlement

Premiums to farmers are based on volume of beans sourced
from that farmer.

F, G

Premium use

Premium payments are used in five ways:
1. Payment of premiums to Group Members and Farmer
Groups.
2. Productivity projects related to Training of Group
Members and Farmer Groups, establishing FBPs, othertargeted productivity activities, and implementing
traceability.
3. Community projects related to the elimination of childlabor, supporting community structures on Children's rights
and women’s Empowerment
4. Conservation of nature, including mapping of farms,
participating in plans to halt deforestation, and carbon
sequestration at farm or community level
5. Administration, including assuranceP

PRE152

Transparencyof Premium
Flows

Premium use

It is ensured, that at least 50% of the premium paid to Group F, G
Members & Farmer Groups will go to the Group Members.

PRE153

Transparencyof Premium
Flows

Premium
communication

The exact premium distribution is communicated to Farmer
Groups and Group Members at the start of each crop.

PRE154

Transparencyof Premium
Flows

Premium credit
management

It is ensured, that premiums are spent within 2 seasonsPfollowing the season they’ve been earned with ameasurement of the FY ending (31 August) to determine theamount of premium over/underspent for that season.

MGT147b Management & Nonconformity
Performanceand corrective
actionPRE151F, G

Farmer groups are informed about the premium level each year i.e..
with the sourcing contract. Farmer groups contract's specify that atleast 50% of the cash premium paid to them must be paid to thefarmers.
Farmer groups sign a contract with their buyer on the premium level,
e.g. as part of the season volume contract for COH offtake. In turn,based on this contract, the farmer groups inform the farmers on thepremium level. This can be done during meetings or by a written noticeat purchasing point.
How this Chain of Custody requirement is implemented is explained
more in the relevant manual on claims + credits management.

not applicable

Share ofSharepremium paid to corresp
farmers
onds tox% asinrequirenot applicable14