ANNEX CHAPTER 2:
Traceability
Document SA-S-SD-20
Version 1
EnglishBinding from July 1st, 2022
Published on July 1st, 2022

Included in this document:
S06 Traceability© 2022 Rainforest Alliance. All rights reserved.

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

Name of the document

Date of first publication

Expires byAnnex Chapter 2: Traceability

July 1st, 2022

Until further notice

Linked to
SA-S-SD-1 Rainforest Alliance 2020 Sustainable Agriculture Standard, Farm Requirements
SA-S-SD-2 Rainforest Alliance 2020 Sustainable Agriculture Standard, Supply Chain Requirements
Replaces

Applicable to

SA-S-SD-7-V1.2 Annex 6: Traceability, published on
January 31st, 2022

Farm and Supply Chain Certificate Holders

Annexes are binding and must be complied with for certification.
More information
For more information about the Rainforest Alliance, visit www.rainforest-alliance.org, contact info@ra.org or
contact the Rainforest Alliance Amsterdam Office, De Ruijterkade 6, 1013AA Amsterdam, The Netherlands.
Translation Disclaimer
For any question related to the precise meaning of the information contained in the translation, please referto the official English version for clarification. Any discrepancies or differences in meaning due to translation
are not binding and have no effect for auditing or certification purposes.
Any use of this content including reproduction, modification, distribution, or republication, without the priorwritten consent of Rainforest Alliance is strictly prohibited.

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OVERVIEW OF KEY CHANGESIn this document, the content has been shortened to make it more user friendly.
It incorporates binding changes already published in Version 1.2, published in January 31st
as listed below.
SectionSubject

Change1.
Introduction

Traceability types:
Identity Preserved(IP)

Added traceability type Mixed IP to traceability
type Identity Preserved (IP).

1.
Introduction

Traceability types:
Segregation (SG)Removed traceability type Mixed IP fromtraceability type Segregation (SG ).

1.
Introduction

Traceability types:
Scope - Mass
Balance (MB)

Added option to work with Mass Balance forflowers, processed fruits and coconut oil.

1.
Introduction

Credit Validity

Removed clause relating to credit validity for
segregated and mass balance RA2017 and UTZ
certified volumes

3.
Traceability inthe online
platform

Platform activities

Clarification that online traceability follows both
legal ownership and physical possession of certified
product.

3.
Traceability inthe online
platform

Requirement 2.1.9
Converting
certified products

Clarification that for products with traceability types
identify preserved and segregation, conversion
factors also must be recorded in the platform.

3.
Traceability inthe online
platform

Requirement 2.2.1
Managing
outgoing
transactions ofcertified product

Additional clause specifying that when retailers arealso brand owners, final product manufacturers
must issue a sales transaction to the retailer and theretailer must confirm receipt. Redemption of
volumes is not required.

3.
Traceability inthe online
platform

Requirement 2.2.5
Aggregatingtransactions

RemovedSA-S-SD-20-V1

Addition of definition of the platform function“redeem” and explanation of the cases in which
Rainforest Alliance Certified volumes are to beredeemed.

3

TABLE OF CONTENTS
S6 Traceability........................................................................................................................................ 5
1.

Introduction ............................................................................................................................... 5
Scope for traceability ................................................................................................................... 5
Level of traceability reporting ..................................................................................................... 5
Applicability of Standard requirements ..................................................................................... 5
Traceability types .......................................................................................................................... 6•

Identity preserved (IP) ............................................................................................................ 6•

Segregation (SG) .................................................................................................................... 6•

Mass balance (MB) ................................................................................................................ 6

Scope ............................................................................................................................................. 7
2.

Traceability ................................................................................................................................ 7
Requirement 2.1.7 – double selling ............................................................................................. 7
Requirement 2.1.9 – conversion rates ........................................................................................ 8
Requirement 2.1.12 – sales documentation .............................................................................. 8

3.

Traceability in The online platform .......................................................................................... 9
Traceability platform activities .................................................................................................... 9
Requirement 2.1.9 – converting certified product .................................................................. 9
Requirement 2.2.1 – managing outgoing transactions of certified product ........................ 9
Requirement 2.2.2 – managing incoming transactions of certified product ........................ 9
Requirement 2.2.3 – removing certified volumes...................................................................... 9
When to report? (requirement 2.2.1 and 2.2.3) ...................................................................... 10

4.

Mass balance .......................................................................................................................... 10
Requirement 2.3.1 – credit exchange ...................................................................................... 10
Requirements 2.3.3 and 2.3.4 – origin matching ..................................................................... 10

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S6 TRACEABILITY
1. INTRODUCTION
This document includes additional rules around the requirements in the traceability chapter inthe Rainforest Alliance 2020 Sustainable Agriculture Standard.
More information on implementation of rules and requirements can be found in the document
SA-G-SC-42 Traceability Guidance.

Scope for traceability
Traceability must be maintained to allow for accurate claims on the certified product.
Traceability through the certification program is maintained by:
1) Traceability requirements on managing on-site and online traceability.
2) Recording the movement and conversions of the certified product through theRainforest Alliance Certification platform, RACP.
Traceability at both these levels must be implemented by any certificate holder (CH) thatengages in the activities listed in the Certification Rules:

•
•
•
•
•
•
•

Farming
Trading
Warehousing
Processing and/or manufacturing
Packing and/or rebagging
Labeling
RetailLevel of traceability reporting••

Reporting of traceability is implemented at the level of the CH. If the CH is certified asa multi-site, then the multi-site administrator (central management) is responsible forthe implementation of traceability requirements. Traceability is not mandatory for
movement of the certified product amongst sites included on the same certificate. .
If a CH works with subcontractors who carry out processes in which volumes arechanged e.g. through processing, those conversions must be reported.

Applicability of Standard requirements•••

Traceability requirements are applicable to legacy volumes and volumes certified
against the Rainforest Alliance 2020 Sustainable Agriculture Standard (SAS).
Chapter 2.2 of the SAS is only applicable to crops for which traceability in the online
platform is available. For an overview per crop, please have a look at our webpage:
How to use our Certification Program’s Online Portals.
With the exception of retailers that purchase certified tea, traceability to the retaillevel is not mandatory. Retailers currently have the possibility to opt in to traceability
requirements if they wish to ensure traceability of certified products from their
suppliers.

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Traceability types
The following traceability types are available in certified supply chains, listed from “highest” to“lowest” traceability type: identity preserved (IP), segregated (SG), and mass balance (MB).

•Identity preserved (IP)A traceability option to trace a Rainforest Alliance Certified ingredient or product backto a farm certificate holder. This is the most stringent traceability type. There is no mixingof certified ingredient or product with non-certified ingredient or product, or withcertified ingredient or product from different sources. If a certified product is fromdifferent certified sources/farms, but identity is preserved throughout the supply chain,
the subtype Mixed Identity Preserved (Mixed IP) can be applied.

•Segregation (SG)A traceability process in which the certified product is kept separate from the noncertified product, both physically and in documentation. This segregation occurs
during all receiving, processing, packaging, storage, and transportation stages of the
supply chain. There is no mixing of non-certified product with certified product. Thismeans that the full product content is certified, although it can come from different
certified sources/farms, including different countries of origin.

•

Mass balance (MB)Administrative traceability that allows a certificate holder to claim a product which is
not certified as Rainforest Alliance Certified when the equivalent quantity was sourced
as Rainforest Alliance Certified.

SCA = SUPPLY CHAIN ACTOR"Upgrading” one traceability type to another is not possible. For example, it is not possible togenerate an output with traceability type identify preserved when the input was segregation.
However, it is possible to “downgrade” from a higher traceability type to a lower one, forexample, from segregation to mass balance. The CH must update their scope in the RACP
when there is a change to the traceability type.

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Scope
The traceability type identity preserved may be applied to any crop included in scope for
Rainforest Alliance certification.
The traceability type segregation may be applied to any crop included in scope for Rainforest
Alliance certification. Segregation can not be applied by farm CHs.
Mass balance may be applied to the following crops: cocoa, processed fruits (includingorange juice), hazelnut, coconut oil and flowers1. All supply chain certificate holders (first buyer
and beyond) may select mass balance as traceability type for these crops. Farm certificate
holders may apply the mass balance traceability type for hazelnut, coconut oil and flowers.

2. TRACEABILITY
Requirement 2.1.7 – double selling
Double selling is the practice of selling the same volume produced or purchased as Rainforest
Alliance Certified twice, once as Rainforest Alliance Certified and once as conventional orunder another certification. Double selling is not allowed.
For example, 100 MT of coffee produced by a farm can be certified as both organic andRainforest Alliance and sold as-

100 MT Rainforest Alliance Certified only, or
100 MT Organic only, or
100 MT Rainforest Alliance Certified and Organic (once in one batch) to one buyer.

However, that same volume of coffee cannot be sold as separately 100 MT of organic coffee
as well as 100 MT of Rainforest Alliance Certified coffee.

1 For flowers, the mass balance traceability is done on the number of certified input (stems) the CH receives within agiven period (day/week/year) and allows the CH to claim the percentage of certified input in its final product.

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Requirement 2.1.9 – conversion rates
The table below indicates the conversion rates for mass balance, for sectors where this isallowed. The conversion rates for segregation and identity preserved are pre-set in the
traceability platform.

Crop/Sector

1stconversion

2ndconversion

3rdconversion

4th
conversion

1:0.5:0.5

NA

NA

NA

Cocoa
Beans to liquor

1:0.82Beans to nibs

1:0.82

Nibs to liquor

1:1

Liquor to butter and powder
Hazelnut
In shell to kernel

1:0.5

Kernel to roasted kernel

1:0.94

Kernel to processed kernel (e.g.
blanched, chopped, sliced, etc.)

1:1

Roasted kernel to roasted processedkernel

1:1

Coconut
Fresh fruit to copra

1:0.25

Copra to crude coconut oil

1:0.62

Crude coconut oil to refined coconut
oil (RBD)

1:0.96

Crude coconut oil to refined coconut
oil (hydrogenated)

1:0.96

OrangesFresh fruit to soluble solids (SS)Kg of SS =(X Boxes offresh fruit /Y Boxes per
tonof
FCOJ at 66
Brix) × 1000
× 66%

Soluble solids to juice (FCOJ)

1:1

Soluble solids to juice (NFC)

1:1

Juice to reconstituted juice

1:1

Requirement 2.1.12 – sales documentation
When final product manufacturers are also the brand owners, sales documentation to the next
legal owner does not need to include the traceability type or percentage (if applicable).

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3. TRACEABILITY IN THE ONLINE PLATFORM
Traceability platform activities
The traceability platform reflects the movement of Rainforest Alliance Certified product fromcertificate holder to certificate holder. In most cases, this is following legal ownership, however
in some cases, for example when a subcontractor is involved, this would follow physicalpossession. Reporting entails: sales, conversions, confirmation, redeeming, removing of thecertified product.

Requirement 2.1.9 – converting certified productFor activities such as processing that result in a change of the certified volume (e.g. green toroasted coffee), the volume must be converted (in the platform) before it is redeemed or soldonward. For activities such as manufacturing that result in a different product (e.g. multiingredient product) but do not result in a change of the certified volume, if volumes are
redeemed the SC CH is not required to perform the platform activity “manufacture” prior toredeeming. If the manufactured volumes are sold onward, the SC CH must perform theplatform activity “manufacture” prior to selling onward.

Requirement 2.2.1 – managing outgoing transactions of certified productAll business-to-business sales of a certified product must be reported through the Rainforest
Alliance traceability platform, starting from the farm certificate holder up to either:a) the point where the certified product is packaged and labeled under a CH’s own
brand. In this case, certified product is redeemed2 from the traceability platformorb) the point where the certified product is sold to the brand owner by the supply
chain CH who is packaging and labeling certified product for that brand owner.
In this case, a sales transaction3 of the certified product is issued to the brandowner.
Retailers are not required to redeem volumes. However if the retailer is also the brand ownerand has opted in to traceability, the final product manufacturer must issue a sales transactionof the certified product to the retailer, and the retailer must confirm receipt, see requirement
2.2.2.
In the case of fresh fruits, traceability must be provided at least until the level of the importer
with the possibility to opt in to traceability for retailers.

Requirement 2.2.2 – managing incoming transactions of certified productTransactions of certified product sold by suppliers must be reviewed and confirmed4 by the CH
that is purchasing the certified product.

Requirement 2.2.3 – removing certified volumes

Redeem = The CH owning the brand traces volumes out of the traceability platform that are destined as final
consumer product. The activity 'redeem' marks the end of the online traceability for Rainforest Alliance Certified
products.
2

3 Sales = CH makes a transaction of corresponding volume sold to their buyer
4 Confirm = CH reviews and approves details (quantity, product details, any other transactional references provided)of incoming transactions from certified suppliers, if those correspond to details of real transacted volume

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Certified products are removed from the traceability platform when they are sold not as
Rainforest Alliance Certified, or when they cannot generally be sold onwards due to productdamage (product “lost”).
In case of mass balance, the certified volume can physically be sold onwards as conventional,
and corresponding mass balance credits may be kept.

When to report? (requirement 2.2.1 and 2.2.3)
Transactions must be reported in the traceability platform within 2 weeks from the end of thecalendar quarter (January – March, April – June, July – September, October – December) in
which the transaction occured.
••

Example 1: A physical sale is made in May - the CH must report the sale transaction
latest by July 14th.
Example 2: A certified volume is sold as conventional in December - the CH must
remove the certified product from the traceability platform by January 14th of thefollowing year.

4. MASS BALANCE
Requirement 2.3.1 – credit exchange
Credit exchange is only possible to the same product or to a further processed product, forexample:•••••Rainforest Alliance certified cocoa butter to conventional cocoa butter
Rainforest Alliance certified cocoa beans to conventional cocoa liquor
Rainforest Alliance certified cocoa beans to conventional cocoa butter
Rainforest Alliance certified in-shell hazelnuts to conventional roasted hazelnut kernel
Rainforest Alliance certified crude coconut oil to conventional refined coconut oil

Credit exchange in a backward direction is not allowed (from cocoa liquor to cocoa nibs,
from chocolate to cocoa butter, from cocoa butter to cocoa powder (and vice versa), fromprocessed hazelnut kernel to in-shell hazelnuts, etc.).
Credit exchange from Rainforest Alliance Certified non-pure products (e.g., chocolate) toconventional pure products (e.g., cocoa butter) is not allowed either as this constitutes abackward conversion.
Credit exchange from Rainforest Alliance Certified non-pure product (chocolate) toconventional non-pure product (chocolate) is allowed.

Requirements 2.3.3 and 2.3.4 – origin matching
For the cocoa sector, the following origin matching requirements and definitions apply:

Definitions
Annual recipe

The recipe for certified liquor sales. This recipe may be reviewed andadjusted on an annual basis but may also be adjusted more frequently.

OriginThe country where the certified cocoa beans were produced.

Origin footprint

The country of origin of a farm certificate holder on a credit associatedwith a certified cocoa purchase or sale.

Origin matching

Matching the origin of products purchased or sold with the origin
footprint of the credits associated with those purchases or sales (pertransaction or on an aggregate basis).

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Sourcing planA plan to implement shifting certified sourcing to meet the requirementsof origin matching. This plan must be submitted to and approved by
the Rainforest Alliance.

Scope
Origin matching is required as of July 1st 2021, for all transactions completed in the traceability
platform with contracts signed from April 1st, 2021, as indicated in this document. This includes
all mass balance certified cocoa.
Origin matching is required for all cocoa that has an origin footprint displayed in the
traceability platform. If the origin footprint of a specific cocoa product is not displayed in the
traceability platform, then origin matching is not required. The traceability platform
automatically determines whether origin must be displayed or not. This is not at a company’s
discretion.
Origin matching exception: The Rainforest Alliance can give an exemption for origin matchingfor a specific volume and origin based on approval of a sourcing plan.

COCOA BEANS AND NIBS
Origin matching is required for 100% of each purchase and sales transaction of certified cocoa
beans and nibs between supply chain certificate holders. Purchase and sales documentation
for beans and nibs sold as certified must include origin information to country-level for bothcertified and conventional cocoa bean and nibs inputs.
COCOA LIQUOR
Origin matching is required for the sale of certified cocoa liquor from the first buyer to thesecond supply chain certificate holder on an aggregate level for each 12-month period.
Documentation required at the supply chain certificate holder level includes origin information
to country-level for certified and non-certified cocoa inputs.
The origins for aggregate certified liquor sales and the annual recipe are compared. Origin
matching up to at least 80% by volume is required.
If more than 20% of cocoa derivatives sold in a 12 month period do not have an origin footprintin the traceability platform, then origin matching below 80% is allowed, as long as all volumes
with an origin footprint have origin matching.
If origin matching is less than 80% for the 12-month period, then the volume gap must becompensated for within the next 3 months.
If no certified cocoa volume is available from a country and this causes a product to be under
the required percentage of origin matching and cannot be compensated for, this productcannot be sold as certified mass balance cocoa.

THE ANNUAL RECIPE FOR LIQUOR
Companies must show their annual recipe for origin matching of certified mass balance liquor.
This can be done in one of the following ways:
1. If there is only one liquor recipe used for sales of certified liquor, the company can use
the actual annual liquor recipe used for certified liquor sales. If there are multiple
recipes used for certified liquor sales, then an average of these recipes can becalculated.
2. If it is not possible to distinguish between liquor used for certified vs. conventional sales,
and the company can prove this, then all recipes that are (fully or partly) sold ascertified can be combined and averaged.
3. If it is not possible to distinguish between liquor used for sales vs. liquor used in further
internal processing, and the company can prove this, then all recipes can be
combined and averaged.

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The above options should lead to one annual recipe for the previous 12-month period or, if acompany prefers to use several actual annual recipes and not average those, then acompany could refer to the average use of each of those recipes as their annual recipes. The
average recipe does not need to be a weighted average. Proof of calculation for any of themethods must include the necessary documentation the company used to make said
calculation.

ORIGIN MATCHING OF THE ANNUAL RECIPE FOR LIQUOR
A company will need to compare the breakdown of liquor transactions per origin in the
Rainforest Alliance traceability platform with the annual recipe calculated by the company,
and at least 80% of the volume sold in the traceability platform must match with the origins
identified in the annual recipe.
To calculate the percentage:
Annual recipe

Transactions in MTT

Origin Matching %Country% content

Country% content% difference

Country A

40%

Country A

35%

5%Country B

40%

Country B

35%

5%Country C

20%Country C

30%

10%

TOTAL

100%

100%

20% difference =80% matched

For a simple overview of the mass balance origin matching, please see here.

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