Farmer poverty is an enduring issue in the cocoa sector. Our 2020 Sustainable Agriculture Standard addresses this critical issue from many angles, including the introduction of Origin Matching Mass Balance in cocoa. The aim of origin matching is to shift the investment in certification to better reflect the industry’s physical demand for cocoa. This shift will support farmers in the countries from which cocoa is purchased to ultimately create consumer products bearing the Rainforest Alliance Certified seal. The goal is to move toward a system that will also allow companies to better control their supply chains, enable them to mitigate associated (supply chain) risks and promote company accountability
The concept of mass balance for cocoa was originally introduced years ago to enable companies with complicated supply chains and manufacturing processes to purchase certified cocoa without requiring segregation of certified cocoa. The flexibility of mass balance was intended to increase the demand for certified cocoa and to bring more farmers into the Rainforest Alliance certification program, in turn increasing the impact of certification. While this increase in the number of cocoa farmers participating in certification has been and continues to be realized, there have also been unintended consequences. One consequence is producers in certain countries are unable to realize the social and financial benefits of certification or investment from buyers. If there is a demand for certified cocoa from a specific country, we want the farmers in that country to benefit from certification. This has not always been the case.
We are introducing origin matching to address this imbalance and require companies to purchase certified cocoa from the countries that match the origin of cocoa used in certified consumer products. This move will continue to allow flexibility in the cocoa supply chain and will better support the development of certified farming practices in countries where farmers are producing cocoa that is eventually sold as certified.
Origin matching is currently only being introduced for cocoa because of the scale and global reach of the program. We do not require origin matching for any other certified crops at this time.
Phased approach to origin matching
The phased approach to rolling out origin matching mass balance for cocoa is as follows:
July – September, 2020:
- Extensive industry consultation on Origin Matching Mass Balance for cocoa
October 1, 2020:
- Origin Matching Mass Balance rules published.
- Any company expecting to face issues obtaining an adequate supply of certified cocoa from a particular origin must submit a Sourcing Plan. This is a formal request to the Rainforest Alliance for special consideration by October 1, 2020 (please contact the Rainforest Alliance if you have questions about this).
July 1, 2021:
- Origin Matching Mass Balance rules will go into effect for all cocoa volumes traded as Rainforest Alliance or UTZ certified. This will also apply to any cocoa entering the supply chain under our new Certification Program.
- Phase 1: The requirements that go into effect on July 1, 2021 will be the first phase of Origin Matching Mass Balance. The Rainforest Alliance will take a data-driven approach to implementing the next steps of the program which will include extensive cocoa sector engagement.
October 1, 2023:
- Phase 2: Origin Matching Mass Balance rules will extend to cover cocoa butter and powder, in addition to cocoa beans and liquor.
- The time between phases 1 and 2 will enable the Rainforest Alliance to:
- analyze the data collected in phase 1 to better assess the sourcing shifts that are taking place in the industry due to origin matching
- support the industry in making the changes to systems and technology necessary for meeting the phase 2 requirements
- develop the auditing protocol that will align with the new requirements and companies’ system updates
- assure supply is built up in a credible way through the implementation and completion of approved Sourcing Plans
October 1, 2025:
- Phase 3: Origin Matching Mass Balance rules will extend to the scope that is necessary for achieving 100% origin matching on mass balance cocoa. This may require origin matching for all Rainforest Alliance certified mass balance cocoa products from beans to chocolate. The first two phases will help us determine the exact scope required in this step.
Cocoa Specific Requirements in Phase 1
In the first phase, origin matching will be required on certified cocoa bean and nibs purchases and sales and on certified liquor sales. Origin matching will be required for all Rainforest Alliance programs: UTZ, current RA and New RA.
Beans and nibs
The physical origin of all certified cocoa beans and nibs sales must be matched with the administrative origin (which is the origin the sale is linked to in our traceability platform). See full requirements for further details.
Liquor
Origin matching for certified liquor sales is only required for the first certified liquor sale to another certificate. Individual transactions do not need to be matched. Instead, sales need to match at least 80% over a full year, based on the recipe(s) of the certified liquor. See full requirements for further details.
Butter, powder and chocolate
In phase 1 (2021-2023), origin matching is not required for any sales of certified butter, powder or chocolate. The scope will be extended per 2023 as described above.
The full requirements for Origin Matching Mass Balance are published in the Policy for Farm and Chain of Custody Certification in Cocoa. and will be added to the Rainforest Alliance Supply chain Standard Annex in 2021.
Supply Chain Actor Diagrams
Overview of Trade Flow: First Buyer
The First Buyer is the initial supply chain actor legally owning the certified cocoa beans after the farm certificate holder. The First Buyer can then sell those beans as mass balance certified with 100% origin matching on the sale.
View more 'First Buyer' diagrams
First Buyer – Certified Beans
- Producer produces certified beans.
- Producer sells the certified beans to First Buyer as Identity Preserved.
- First Buyer receives Identity Preserved certified beans.
- First Buyer must origin match 100% of the physical bean sale with the administrative origin of transaction as indicated in the Rainforest Alliance traceability portal.
- Processor receives mass balance certified beans and knows the origin of those beans.
First Buyer – Certified / Non-Certified Beans
- Producers produce 100MT of certified and 100MT of non-certified beans.
- Producers sell the certified beans to First Buyer as Identity Preserved and the non-certified beans to First Buyer as non-certified.
- First Buyer receives Identity Preserved certified beans and non-certified beans. These beans are mixed in the First Buyer’s warehouse.
- First Buyer sells 100MT of beans to Processor as mass balance. First Buyer must origin match 100% of the physical bean sale. Processor must origin match 100% of the physical bean sale with the administrative origin of transaction as indicated in the Rainforest Alliance traceability portal. First Buyer also sells 100MT of beans to Processor as non-certified.
- Processor receives 100MT of mass balance certified beans and knows the origin of those beans. Processor also receives 100MT of non-certified beans and does not necessarily know the origin of those beans.
Overview of Trade Flow: Pure Trader
A Pure Trader will purchase certified or non-certified beans or cocoa products from another supply chain actor (Supplier). The Pure Trader can then sell those beans or products as mass balance with the correct corresponding certification credits.
View more 'Pure Trader' diagrams
Pure Trader – Certified Beans
- Supplier has a stock of certified cocoa beans.
- Supplier sells beans to Pure Trader as mass balance. Supplier must origin match 100% of the physical bean sale and Pure Trader must ensure the purchase is 100% origin matched with appropriate documentation.
- Pure Trader receives mass balance certified beans and knows the origin of those beans.
- Pure Trader sells beans to Processor as mass balance. Pure Trader must origin match 100% of the physical bean sale. Processor must originmatch 100% of the physical bean sale with the administrative origin of transaction as indicated in the Rainforest Alliance traceability portal.
- Processor receives mass balance certified beans and knows the origin of those beans.
Pure Trader – Certified / Non-Certified Beans
- Supplier has a stock of non-certified cocoa beans.
- Supplier sells beans to Pure Trader as non-certified. Pure Trader must ensure the origin(s) of the purchase is clear on appropriate documentation if these beans are to be used as input for a future certified sale.
- Pure Trader receives non-certified beans but knows the origin of those beans.
- Pure Trader sells beans to Processor as mass balance using credits from certified stock of cocoa beans available in their Rainforest Alliance traceability portal, in accordance with requirement 2.2.2 of the Supply Chain Standard. Processor must origin match 100% of the physical bean sale with the administrative origin of transaction as indicated in the Rainforest Alliance traceability portal.
- Processor receives mass balance certified beans and knows the origin of those beans.
Pure Trader – Certified Liquor
- Supplier has a stock of certified cocoa liquor that Supplier processed from beans.
- Supplier sells liquor to Pure Trader as mass balance. Supplier must origin match this sale (it is the first certified sale of the liquor). To do so, the Supplier must include this sale in the yearly calculation of origins sold based on the Annual Recipe and ensure yearly origin matching of at least 80% across the Supplier Chain of Custody certificate.
- Pure Trader receives mass balance certified cocoa liquor but does not know the exact origins of the liquor.
- Pure Trader sells cocoa liquor to Processor as mass balance. No origin matching is required for this sale, as it is the second sale of this mass balance certified product.
- Processor receives mass balance certified liquor but does not know the exact origins of the liquor.
Pure Trader – Non-Certified Liquor
- Supplier has a stock of non-certified cocoa liquor that Supplier processed from beans.
- Supplier sells liquor to Pure Trader as non-certified.
- Pure Trader receives non-certified cocoa liquor and knows the exact origins of the liquor if this liquor is to be used as input for a future certified sale.
- Pure Trader sells beans to Processor as mass balance using credits from certified stock of cocoa beans available in their Rainforest Alliance traceability portal, in accordance with requirement 2.2.2 of the Supply Chain Standard. Processor must origin match 100% of the physical bean sale with the administrative origin of transaction as indicated in the Rainforest Alliance traceability portal.
- Processor receives mass balance certified liquor but does not know the exact origins of the liquor.
Overview of Trade Flow: Processor
A Processor will purchase certified or non-certified beans or cocoa products from another supply chain actor (Supplier). The Processor will then convert those purchases into other products and sell those products as mass balance with the correct corresponding certification credits.
View more 'Processor' diagrams
Processor – Certified Beans
- Supplier has a stock of certified cocoa beans.
- Supplier sells beans to Processor as mass balance. Supplier must origin match 100% of the physical bean sale with the administrative origin of transaction as indicated in the Rainforest Alliance traceability portal and Processor must ensure the purchase is 100% origin matched with appropriate documentation.
- Processor receives mass balance certified beans and knows the origin(s) of those beans. Processor then creates cocoa liquor with those beans.
- Processor sells liquor to Customer as mass balance. Processor must origin match this sale. To do so, the Processor must include this sale in the yearly calculation of origins sold based on the Annual Recipe and ensure yearly origin matching of at least 80% across Processor Chain of Custody certificate.
- Customer receives mass balance cocoa liquor but does not know the exact origins of the liquor.
Processor – Non-Certified Beans
- Supplier has a stock of non-certified cocoa beans.
- Supplier sells beans to Processor as non-certified. Processor must ensure the origin(s) of the purchase is clear on appropriate documentation if these beans are to be used as input for a future certified sale.
- Processor receives non-certified beans and knows the origin(s) of those beans. Processor then creates cocoa liquor with those beans.
- Processor sells liquor to Customer as mass balance using credits from certified stock of cocoa beans or liquor available in their Rainforest Alliance traceability portal. Processor must origin match this sale. To do so, Processor must include this sale in the yearly calculation of origins sold based on the Annual Recipe and ensure yearly origin matching of at least 80% across the Processor Chain of Custody certificate.
- Customer receives mass balance cocoa liquor but does not know the exact origins of the liquor.
Processor – Certified Liquor
- Supplier has a stock of certified cocoa liquor that Supplier processed from beans.
- Supplier sells liquor to Processor as mass balance. Supplier must origin match this sale (it is the first certified sale of the liquor). To do so, the Supplier must include this sale in the yearly calculation of origins sold based on the Annual Recipe and ensure yearly origin matching of at least 80% across Supplier Chain of Custody certificate.
- Processor receives mass balance certified liquor but does not know the exact origins of the liquor. Processor creates cocoa butter with this certified cocoa liquor.
- Processor sells cocoa butter to Customer as mass balance. No origin matching is required for this sale as butter is out of scope.
- Customer receives mass balance cocoa butter but does not know the exact origins of the butter.
Processor – Non-Certified Liquor
- Supplier has a stock of non-certified cocoa liquor the Supplied processed from beans.
- Supplier sells liquor to Processor as non-certified.
- Processor receives non-certified liquor but does not know the exact origins of the liquor. Processor creates cocoa butter with this non-certified cocoa liquor.
- Processor sells cocoa butter to Customer as mass using credits from certified stock of cocoa beans, liquor, or butter available in their Rainforest Alliance traceability portal. No origin matching is required for this sale as butter is out of scope. Customer receives mass balance cocoa butter but does not know the exact origins of the butter.
Overview of Trade Flow: Brand Manufacturer
A Brand will purchase certified or non-certified beans, cocoa products, or final products from another supply chain actor (Supplier). The Brand will then convert those purchases into final products and sell those products as mass balance certified.
Since chocolate is out of the scope of origin matching, Brands and Manufacturers of final products will only need to ensure that any mass balance certified cocoa bean purchases are 100% origin matched with appropriate documentation.
Overview of Trade Flow: Retailer
A Retailer will purchase certified final products from another supply chain actor (Supplier). The Retailer will then sell those final products as mass balance certified.
Since chocolate is out of the scope of origin matching, Retailers selling final products will not be required to be audited against origin matching rules.
Traceability platform
- The 2020 Rainforest Alliance traceability platforms have been adjusted to allow for origin matching. These changes went live in October 2020.
- The Good Inside Portal has been adjusted to show the country of origin for any UTZ cocoa that enters the supply chain after October 4, 2020 (any cocoa that was sold by producers to First Buyers after this date).
- Marketplace has been adjusted to ensure cocoa from different countries of origin can no longer be mixed, thereby preserving country-specific information.
- All cocoa will migrate to our new traceability platform in April 2021.
- All Mass Balance cocoa certified under our new Certification Program starting July 2021 will have an origin associated with volumes.
- This will enable the Supply Chain to identify the country of origin of the Mass Balance credits for a significant share of cocoa certified under the UTZ certification program as well as the 2017 Rainforest Alliance Sustainable Agriculture Standard, and all cocoa certified under the 2020 Rainforest Alliance Certification Program. All New Standard credits will have origins.
Credit expiration 2017 Rainforest Alliance SAS and UTZ Certification program
- Cocoa products certified under the 2017 Standard and the UTZ Certification Program expire on their current expiration date or on October 1, 2023, whichever comes first. This applies to all program levels (IP, Segregation, Mass Balance) and all cocoa products and derivatives (beans, liquor, butter, powder, non-pure products).
- UTZ and legacy Rainforest Alliance certified cocoa can continue to be traded until September 30, 2023.
- Credits that have not been attributed to a final product on the expiration date can no longer be traded or used towards a sustainability claim. See the Rainforest Alliance transition rules for more detail.
Credit expiration for New Standard cocoa (2020 Rainforest Alliance SAS)
- All cocoa certified under the 2020 RA SAS and traded as Segregated or Mass Balance will be valid for a period of 2 years. The 2-year validity will start upon downgrading of the cocoa product from Identity Preserved to Segregated or Mass Balance.
- Credit validity will renew for an additional 2 years upon:
- Each sale from one Supply Chain Certificate Holder to another Supply Chain Certificate Holder
- A conversion to cocoa liquor
- A conversion to cocoa butter/powder
- A conversion to mixed cocoa product
- No other conversions will receive a 2-year validity renewal.
Questions and Answers
Origin Matching Mass Balance Requirements
What will the requirements be for July 2021?
The Origin Matching Mass Balance requirements have been published in the Policy for Farm and Chain of Custody Certification in Cocoa and will be added to the Rainforest Alliance Supply Chain Standard Annex in 2021.
As a final brand owner, will I be required to do origin matching as of July 2021?
Any final brand owner or other actor in the supply chain that has operations falling under the requirements for Origin Matching Mass Balance will need to meet those requirements. This means that any company buying or selling certified cocoa beans/nibs or selling certified liquor (or transferring certified beans/nibs or liquor to another Supply Chain Certificate, even within the same company) will need to implement origin matching.
How will the requirements protect intellectual property of recipes?
Origin Matching Mass Balance for liquor sales will take place at the Supply Chain Certificate level. This means that customers do not receive the origin breakdown for their specific purchase of liquor, but a mix of origins at the supplier’s discretion. The supplier must then ensure that all of the origins attached to their individual sales add up to 80% origin matching across their Supply Chain Certificate on an annual basis.
How will the requirements address concerns around complexity and administrative burden?
Origin matching for cocoa liquor (not beans) will be required at the level of the Chain of Custody certificate, lessening the complexity and administrative burden per transaction in the Rainforest Alliance Traceability Systems.
Origin matching for butter and powder will be phased in over time as needed. See the timelines above for details.
What percentage of my beans and cocoa products do I need to match?
100% origin matching in cocoa beans and nibs is required for every physical purchase and sale of cocoa beans and nibs.
80% origin matching is required for cocoa liquor, on an annual basis (a period of 12 consecutive months). Individual cocoa liquor sales do not need to match up to 80%, but the overall certified cocoa sales for those 12 months need to be origin matched up to 80%. (The average recipe of liquor sold as certified can be used when calculating the 80% origin matching. You do not need to get to 80% matching on every single recipe you sell as certified.)
Does the 80% origin matching requirement for liquor mean I do not need to cover my Mass Balance sales with 100% Mass Balance purchases?
The Origin Matching Mass Balance requirements do not replace the Mass Balance requirements in the Supply Chain Standard. All mass balance cocoa sales will still need to be covered for 100% by mass balance cocoa purchases, in accordance with the Supply Chain Standard.
Do we need to match 80% for every liquor recipe that is sold as certified, or can we use the average of all recipes that are sold as certified to calculate the 80%?
The average recipe of liquor sold as certified can be used when calculating the 80% origin matching. You do not need to achieve 80% matching on every single recipe you sell as certified.
How can I match the origin of my cocoa if the cocoa in the traceability system does not have an origin indicated?
If there is no origin indicated on the certified cocoa in the Rainforest Alliance Traceability System then that specific volume does not need to be origin matched. If more than 20% of cocoa derivatives sold in a period do not have an origin footprint in the Rainforest Alliance traceability system then origin matching below 80% is allowed, as long as all volumes with an Origin Footprint have origin matching. This does not apply to beans.
Is Origin Matching also required for cocoa butter, powder and chocolate?
No, origin matching for butter, powder and mixed cocoa products is not required in the first phase of origin matching. We will further increase the scope in a data-driven, phased approach. Please see the timelines above for further detail.
The contract for my cocoa beans or cocoa liquor was signed before April 1, 2021. Do I need to do origin matching?
No, origin matching is only required for contracts signed after April 1, 2021.
Is origin matching required if a contract is signed after April 1, 2021 and the beans are delivered before July 1, 2021?
No, origin matching is not necessary. Origin matching is only required from July 1, 2021 onward.
Can I combine my UTZ and Rainforest Alliance volumes when I am matching the origins of my cocoa?
Yes, volumes for the three Rainforest Alliance programs (UT 2017 RA SAS, 2020 RA SAS or UTZ Certification Program) can be combined when making the reconciliation calculation to get to 80% origin matching. This does not apply to beans.
Do I need to segregate my Mass Balance cocoa from my conventional cocoa supply?
You are not required to keep your Mass Balance certified stock separate from your conventional stock.
However, segregation of beans is required by country of origin for any beans that are sold onward to another certificate holder as mass balance certified. Segregation of beans by country of origin is not required if the beans are converted to derivatives within the certificate.
Segregation of butter, liquor, powder or any other cocoa derivative is not required. Origin matching of liquor will be ensured at Certificate Holder Level.
Why do the Origin Matching Mass Balance requirements mention “conventional” cocoa?
Conventional cocoa in these requirements only refers to conventional cocoa that is sold as certified. In order for auditors to verify origin claims on certified cocoa they must be able to see the origins on documentation. Since conventional cocoa can be sold as certified mass balance, this cocoa must include origins on documentation.
Changes in the Good Inside Portal and Marketplace
Origins are now required for transactions in GIP and Marketplace, does this mean Origin Matching Mass Balance is already required?
No. Origin Matching is only required per July 1, 2021 in accordance with the published requirements. However, in preparation of Origin Matching, a few changes have been made in GIP and Marketplace in October 2020. This is solely to begin recording the origins in GIP and Marketplace to prepare for the Origin Matching Mass Balance rules to go into effect July 1, 2021. This does not mean origin matching rules must be followed before July 1, 2021.
Why have changes already been made in the Good Inside Portal and Marketplace?
In GIP, before October 2020 any origin information was lost when the cocoa was downgraded to Segregated or Mass Balance. Following the October 4, 2020 change, the origin of cocoa entering the system will now be recorded and will follow the cocoa through the system.
In Marketplace, an origin must be identified on all Transaction Certificates (TC) and that origin will be based on the origin of the input TCs used to create the outgoing TC. Additionally, in Marketplace, origins cannot be mixed in one TC, so separate TCs will need to be created for a product with multiple input origins.
This does not mean origin matching rules must be followed before July 1, 2021. The changes will ensure that the origins are available for a significant share of UTZ and legacy Rainforest Alliance cocoa volumes. once origin matching rules go into effect July 1, 2021.
Why do I have to enter the origin for Rainforest Alliance cocoa in Marketplace if origin matching is not yet required?
We have updated Marketplace to begin tracking the administrative origin of cocoa in the traceability system for both segregated and mass balance cocoa. While the administrative origin is now required in the traceability system, you are not required to begin origin matching before July 1, 2021.
You do not need to add an origin for cocoa in Marketplace, but the traceability system will not allow you to change the origin that is already assigned to cocoa volumes. Additionally, you can no longer mix volumes from different origins into one Transaction Certificate (TC). These changes ensure that the administrative origin of cocoa in Marketplace is not lost and is helping to prepare for the implementation of Origin Matching Mass Balance in July 2021.
Sourcing Plans and the potential shift in certified sourcing
What is the Sourcing Plan?
Origin matching will be required as of July 1, 2021. For some this will require a shift in certified sourcing. The Rainforest Alliance wants this shift to take place, but we also want this to happen in a credible way, within a realistic but ambitious timeframe. That is why we are giving companies the possibility to implement certification in these origins over a longer period with a maximum of 3 years (beyond July 1, 2021 and until December 31, 2023). Companies can request this longer period by submitting a Sourcing Plan. Only Sourcing Plans that include a clearly outlined transition plan toward full compliance can be considered for approval.
If you wish to apply for a Sourcing Plan exception, please contact your relationship manager at the Rainforest Alliance or e-mail CustomerSuccess@ra.org. The deadline for submitting a Sourcing Plan was October 1, 2020.
Please note that a Sourcing Exception does not give you an exception from origin matching. A Sourcing Exception only gives the company the possibility to use the approved origin to cover volumes from another origin, for specific volumes and for a specific time period.
What is the deadline for submitting a Sourcing Plan?
The deadline for submitting a Sourcing Plan was October 1, 2020.
I have an approved Sourcing Plan exception. Do I need to do origin matching?
You will need to do origin matching as described in the requirements for Origin Matching Mass Balance for any origin that is not included in your approved Sourcing Plan. When your Sourcing Plan exception(s) expire, you will be required to do origin matching for all origins.
The new Origin Matching Mass Balance requirements will impact in a way that we could not have known before October 1st. We did not submit a Sourcing Plan for this origin. What should we do?
Please contact your relationship manager at the Rainforest Alliance.
Won’t these new rules negatively affect some origins?
These rules will shift certified sourcing to more closely reflect the actual physical demand for inputs used in certified products. This means that some origins that are over-represented in the current Rainforest Alliance certified system may see a decrease in demand, while other origins that are under-represented or not present at all may see an increase in demand.
Credit Validity
What is the validity of Rainforest Alliance mass balance credits created under the 2020 Rainforest Alliance program?
Please see the requirements in the Policy for Farm and Chain of Custody Certification in Cocoa.
The credit validity defined in the Policy for Farm and Chain of Custody Certification in Cocoa does not apply to certified cocoa traded as Identity Preserved or Segregated. These two traceability types follow physical cocoa stocks through the supply chain and so as that stock moves through processing and is used up, the credits will do the same.
Will New Standard Identity Preserved cocoa also expire?
No. Identity Preserved (IP) credits will not expire because they are linked directly with a specific physical stock. As that stock moves through processing and is used up, the credits will do the same.
Claims on labeled products
Does origin matching mass balance enable me to make an origin claim on my labeled product?
No. Origin matching mass balance is still mass balance which does not allow for content claims. If you would like to make an origin claim on your product, it is your responsibility to ensure that claim and you should not use certification credits as the proof of origin. You may also be asked to confirm your understanding of this in writing when you seek approval from the Rainforest Alliance for any packaging containing origin information.
