ANNEX S6

Traceability
Version 1.2

© 2021 Rainforest Alliance. All rights reserved.

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Document Name: Document Code: Version:

Annex S6: Traceability SA-S-SD-7-V1.2 1.2
Date of first Date of revision: Valid From: Expires by:
publication:
June 30th, 2020 January 31st, 2022 July 1st, 2022 Until further notice

Developed by: Approved by:

Rainforest Alliance Department Standards Director of Standards and Assurance
and Assurance
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:
SA-S-SD-7-V1.1: Annex 6: Traceability and Shared Responsibility
Applicable to:
Supply Chain Certificate holders

Country/Region:
All
Crop: Type of Certification:
All crops in the scope of the Rainforest Farm and Supply Chain Certificate
Alliance certification system; please see Holders
Certification Rules

Annexes are binding and must be complied with for certification.

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

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KEY CHANGES IN VERSION 1.2

Overview of key adaptations in this document

SA-S-SD-7-V1.2 Annex S6 Traceability V1.2 published January 31st, 2022,
compared to the previous version:
SA-S-SD-7-V1.1 Annex S6 Traceability V1.1 published January 31st, 2021

Section Subject Change

General The content of the standard requirements
themselves is left out of the Annexes, so these do
not have to be adapted when the standard is
adapted.

Introduction Traceability types: Added traceability type Mixed IP to traceability

Identity Preserved type Identity Preserved (IP).
(IP)

Introduction Traceability types: Removed traceability type Mixed IP from

Segregation (SG) traceability type Segregation (SG ).

Introduction Traceability types: Added option to work with Mass Balance for
Scope - Mass flowers, processed fruits and coconut oil.
Balance (MB)

Introduction Credit Validity Removed clause of credit validity for segregated

and mass balance RA2017 and UTZ certified
volumes as the approach is not supported by the
platform.

Traceability in Platform activities Clarification that online traceability follows both

the online legal ownership and physical possession of certified
platform product. Addition of a definition of the platform
activity “redeem” and explanation of the cases in
which RAC volumes are to be redeemed.

Traceability in Requirement 2.1.9 Clarifification that products with traceability types

the online Converting identify preserved and segregation, congersion
platform certified products factors also have to be recorded in the platform.

Traceability in Requirement 2.2.1 Additional clause about retailers and the

the online Managing redemption of volumes. When the retailer is also the
platform outgoing brand owner, final product manufacturers must
transactions of issue a sales transaction to the retailer and the
certified product retailer must confirm receipt. Redemption of
volumes is not required.

Traceability in Requirement 2.2.5 Removed this clause as the requirement 2.2.5

the online Aggregating sufficiently talks about what to do regarding
platform transactions aggregated transactions.

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CONTENTS
1. Introduction ..........................................................................................................................................5
Scope for traceability .........................................................................................................................5
Level of traceability reporting ...........................................................................................................5
Applicability of Standard requirements ..........................................................................................5
Traceability types .................................................................................................................................5
• Identity preserved (IP)................................................................................................................5
• Segregation (SG) ........................................................................................................................6
• Mass balance (MB) ....................................................................................................................6
Scope .....................................................................................................................................................6
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 ....................................................................... 10
4. Mass balance .................................................................................................................................... 10
Requirements 2.3.3 and 2.3.4 – origin matching ........................................................................ 11
Annual recipe and origin matching for liquor ............................................................................ 12

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 1. INTRODUCTION
This document includes additional rules around the requirements of the traceability chapter
in the Rainforest Alliance 2020 Sustainable Agriculture Standard. The structure of this
document follows the order of requirements of the traceability chapter, introducing
traceability principles and terminology in the introductory section, providing additional
interpretation to the general traceability requirements in section 2, outlining the requirements
for management of the online traceability platform in section 3, and providing additional
explanation around mass balance requirements in section 4.

Scope for traceability

Traceability is core to certification. It must be maintained to allow for accurate claims on the
certified product. Traceability through the certification program is maintained by
implementing two separate yet closely related components:
1) Traceability requirements which specify the rules for managing online traceability as
well as how to implement on-site traceability.
2) Traceability through the Rainforest Alliance online platform which records the
movement and conversions applied to the certified product,

Traceability at both these levels must be implemented by any certificate holder (CH) that
engages in the activities listed in the Certification Rules:
• Farming
• Trading
• Warehousing
• Processing and/or manufacturing
• Packing and/or rebagging
• Labeling
• Retail

Level of traceability reporting

• Reporting of traceability is implemented at the level of the CH. If the CH is certified as
a multi-site, then the multi-site administrator is responsible for the implementation of
traceability requirements. Traceability in the Rainforest Alliance online traceability
must reflect the certified volumes as managed at the level of the CH, i.e. traceability
for movement of the certified product amongst sites is not mandatory.
• If a CH engages subcontractors that perform processing activities resulting in a
change of volume, 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.

Traceability types
Traceability types are methods used for handling certified volumes and tracing them back to
their origin. Currently, 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). Further explanation about the traceability types can be found
below.

• Identity preserved (IP)

A traceability option in which it is possible to identify the Rainforest Alliance Certified
ingredient or product back to a farm certificate holder. This is the most stringent

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 traceability type.There is no mixing of certified ingredient or product with non-certified
ingredient or product. If a certified product is from different 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 non-
certified 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. This
means that the full product content is certified, although it can come from different
certified sources/farms, including other 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.

SUPPLY CHAIN ACTOR (SCA)

"Upgrading” one traceability type to another is not allowed. For example, it is not possible to
generate an output with traceability type identify preserved when the input was
segregation. However, it is permitted to “downgrade” from a higher traceability type to a
lower one, for example, from segregation to mass balance. The CH must update their scope
in the Rainforest Alliance Certification Platform (RACP) when there is a change to the
traceability type.

Scope

The traceability types identity preserved and segregation may be applied to any crop
included in scope for Rainforest Alliance certification.

Mass balance at supply chain certificate holder level (first buyer and beyond) is available for
cocoa, processed fruits (including orange juice), hazelnut, coconut oil and flowers.

For hazelnuts, coconut oil and flowers, mass balance may be applied at the supply chain as
well as the farm certificate holder level.

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 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 or under another certification.

For example, 100 MT of coffee produced by a farm can be certified as both organic and
Rainforest 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.

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Requirement 2.1.9 – conversion rates
The table below sets out the conversion rates as they shall be used in sectors for which mass
balance is an approved traceability type.

1st 2nd 3rd 4th

Crop/Sector conversion conversion conversion conversion
Cocoa
Beans to liquor 1:0.82
Beans to nibs 1:0.82
Nibs to liquor 1:1
Liquor to butter and powder 1:0.5:0.5 NA
Hazelnut
In shell to kernel 1:0.5
Kernel to roasted kernel 1:0.94 NA NA
Kernel to processed kernel (e.g. 1:1
blanched, chopped, sliced, etc.)
Roasted kernel to roasted processed 1:1
kernel
Coconut
Fresh fruit to copra 1:0.25
Copra to crude coconut oil 1:0.62
Crude coconut oil to refined coconut 1:0.96
oil (RBD)
Crude coconut oil to refined coconut 1:0.96
oil (hydrogenated)
Oranges
Fresh fruit to soluble solids Kg of SS =
(X Boxes of
fresh fruit /
Y Boxes
per ton of
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 percetange (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 from
certificate holder to certificate holder. In most cases, this is following legal ownership,
however in some cases like a subcontractor, this would follow physical possession. Therefore,
it is essential for certificate holders to report any activity performed on the certified product.
Reporting entails: sales, conversions, confirmation, redeeming, removing of the certified
product, all of which are explained in the chapter below.

Requirement 2.1.9 – converting certified product

In addition to applying correct conversion rates for mass balance (see chapter above), any
conversion1 of the certified product with traceability types identify preserved (IP) and
segregation (SG) that leads to a change in volume and/or output product must be reported
as such in the traceability platform.

Requirement 2.2.1 – managing outgoing transactions of certified product

In general, this means that all 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

a) the point that certified product is packaged and labeled under a CH’s own
brand. In this case, certified product is redeemed2 from the traceability
platform* or
b) the point that certified product is sold to the brand owner by the supply chain
CH who is packaging and labeling certified product for a brand owner. In this
case, a sales transaction3 of the certified product is issued to the brand owner.

*NOTE: Retailers are not required to redeem volumes, however if the retailer is also the brand
owner, the final product manufacturer must issue a sales transaction of the certified product
to the retailer , and the retailer must confirm receipt, see requirement 2.2.2.

Requirement 2.2.2 – managing incoming transactions of certified product

In general, transactions of certified product sold by suppliers must be reviewed and
confirmed4 by the CH that is purchasing the certified product. A CH has 7 days to review the
incoming transactions and request the supplier to make any edits to transaction details.

1 Conversion = CH reports the transformation of certified product applying ratio resulting from physical conversion
2 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.
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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Requirement 2.2.3 – removing certified volumes
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 product
damage (product “lost”).

In case the CH is operating under the traceability type mass balance, the certified volume
can be sold onwards as conventional, and corresponding mass balance credits may be
kept.

When to report?
Within 2 weeks after the end of the quarter, with quarter referring to calendar quarter
(January – March, April – June, July – September, October – December).

Example 1: A physical sale is made in May - the CH must report the sale transaction latest by
July 15th

Example 2: A certified volume is sold as conventional in December - the CH must remove

the certified product from the traceability platform by January 15th of the subsequent year

4. MASS BALANCE
Requirement 2.3.1 – credit exchange
Credit exchange is only possible for the same product or in a forward direction of physical
processing, meaning that Rainforest Alliance credits can be exchanged from a purchased
Rainforest Alliance product to the same or subsequently purchased conventional products.

• Example 1: Rainforest Alliance certified cocoa butter to conventional cocoa butter

• Example 2: Rainforest Alliance certified cocoa beans to conventional cocoa liquor
• Example 3: Rainforest Alliance certified cocoa beans to conventional cocoa butter
• Example 4: Rainforest Alliance certified in-shell hazelnuts to conventional roasted
hazelnut kernel
• Example 5: 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), from
processed hazelnut kernel to in-shell hazelnuts, etc.).

Credit exchange from Rainforest Alliance certified non-pure products (e.g., chocolate) to
conventional pure products (e.g., cocoa butter) is not allowed either as this constitutes a
backward conversion.

Credit exchange from Rainforest Alliance (non-)pure product (chocolate) to conventional

non-pure product (chocolate) is allowed, as long as the non-pure product is purchased.

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Requirements 2.3.3 and 2.3.4 – origin matching
The origin matching requirements and definitions below are only applicable in the cocoa
sector:

Definitions
The recipe associated with certified liquor sales. This recipe may be
reviewed and adjusted on an annual basis but may also be adjusted
Annual recipe
more frequently.

Country where the certified cocoa beans were produced.

Origin
Country displayed on a credit representing the origin of the certified
cocoa beans associated with the credit. The origin footprint does not
necessarily reflect the origin of the beans used to produce the
Origin footprint
physical cocoa product associated with the credit but only shows the
administrative origin of the credit.

The practice of matching the origin of certified purchases or sales of

physical products with the origin footprint of the credits associated
Origin matching with those purchases or sales, per transaction, or on an aggregate
basis as required below.

A plan was drawn up by a company to commit to shifting certified

sourcing as needed and in a credible way in order to meet the
Sourcing plan requirements of 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 that meet the conditions for origin matching under the requirements
described in this document. This includes all mass balance certified cocoa.

Origin matching is required for all certified sales with contracts signed on or after April 1st,
2021.

Origin matching is required for all cocoa that has an origin footprint displayed in the
traceability platform. If the origin footprint of the cocoa product is not displayed in the
traceability platform, then origin matching is not required for that specific product. It will not
be at a company’s discretion whether or not to display an origin. This is determined by the
traceability platform.

Origin matching exception: A certificate holder can be exempt from origin matching for a
specific volume from a specific origin if the certificate holder has received approval from the
Rainforest Alliance for a sourcing plan for that specific origin.

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Cocoa beans and nibs
Origin matching is required on transaction-level with 100% origin matching for all certified
cocoa bean and nibs purchases from another supply chain certificate holder and bean and
nibs sales to another supply chain certificate holder. Sales documentation for beans and nibs
sold as certified includes origin information to country-level for certified cocoa and
conventional cocoa bean and nibs inputs.

Cocoa liquor
Origin matching is required for the first sale of certified cocoa liquor to another supply chain
certificate holder on an aggregate level for a 12-month period. Documentation 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. Certified volumes can be combined
when making the reconciliation calculation for 80% origin matching.

If more than 20% of cocoa derivatives sold in a period do not have an origin footprint in 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 be
compensated 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
product cannot be sold as certified mass balance cocoa.

Annual recipe and origin matching for liquor

The annual recipe for liquor
To prepare for an audit, a company will be expected to determine the 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 by the company for certified liquor sales. If there are
multiple recipes used for certified liquor sales, then an average of these recipes can be
calculated.
2. If it is not possible to distinguish between liquor used for certified vs. conventional sales,
and that impossibility can be proven to an auditor, then all recipes that are (fully or
partly) sold as certified 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 that impossibility can be proven to an auditor, then all recipes
can be combined and averaged.

The above options should lead to one annual recipe for the previous 12-month period or, if a
company prefers to use several actual annual recipes and not average those, then a
company 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 the methods above needs to be shown to the auditor, including 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,

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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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