1. ©2009 Rainforest Alliance Steps towards Certification - Preparation of a group – Presented by: Presented to: Date:Venue:

2. Standard documents for group certification 2 1.Sustainable Agriculture Standard For member farms About environmental, social and management practices at farms 2.Group Certification Standard For group administrator About Internal Control System

3. General process 3 Step 1: Formation of the group Step 1: Formation of the group Identifying the producers Sensitization of the producers Identifying the ICS team Step 2: Planning Analysis of the standard Defining responsibilities Developing a plan and tools Step 3: Preparation of the ICS team Step 3: Preparation of the ICS team Training of group administrator Training of internal auditors Training of trainers Step 4: Training of the producers Step 4: Training of the producers Training of producers Implementation of the standard Follow-up Step 6: External audits External audits of farms and of ICS Corrective actions Certification Step 5: Internal audits Internal audits of the farms and the ICS Corrective actions Follow-up Step 7: Continuous improvement Improvement of farms Improvement of ICS

4. Step 1: Formation of the group 4 1. Members (Producers need to be well informed and agree to join the group.) 2. Group Administrator (Group Administrator is in charge of the Internal Control System of the group. He/she also takes the final decision on the participation of the members to the group.) 3. Trainers (Trainers help the farms to implement the standard. They could be agronomists of the group, extension officers, lead farmers etc.) 4. Internal Auditors (Internal auditors inspect all the member farms at least once every year. They need to be adequately trained.) Step 1: Formation of the group Step 1: Formation of the group Identifying the producers Sensitization of the producers Identifying the ICS team Brief the producers about the steps towards certification, then identify the people who will form the group. ICS team

5. Step 2: Planning Which criteria are applicable at the Group (ICS) level ? (For each criterion, the Group Administrator needs to decide whether it will be handled by the group or by each farm. For example, the criteria in the principle 1 of the standard are likely to be handled by the group.) Which criteria are applicable at the Farm level ? (All the criteria that are not handled by the group need to be handled by the farms.) 5 Criteria for the group Criteria for the farms Non-applicable criteria Step 2: Planning Analysis of the standard Defining responsibilities Analyze the standard to define the responsibility of the group and that of the producers.

6. Step 2: Planning 6 Develop a plan that defines activities, timeline, responsible persons, tools and resources required. For example, a group may need to develop an internal inspection checklist for the criteria to be audited at the farm level. This could be a useful tool for the internal audits. Criteria for the farms Example of a checklist Developing a plan and tools

7. Step 3.1: Training of group administrator Group administrator needs to be trained upon how to develop the group’s ICS, based on the two standard documents that apply to the group. 7 Step 3: Preparation of the ICS team Step 3: Preparation of the ICS team Training of group administrator Criteria for the group Internal Control System of the group Group administrator needs to document the system as an ICS manual, and be implement it.

8. Trainers could be lead farmers, agronomists of the group, extension officers, etc. Trainers need to be well respected and trusted by the members, know how the farms can implement the standard, and communicate it to them. Step 3.2: Training of trainers 8 Step 3: Preparation of the ICS team Step 3: Preparation of the ICS team Training of trainers Criteria for the farms Trainers should be provided with training materials, such as posters, manuals, mini-flipchart and forms.

9. Step 3.3: Training of internal auditors Internal auditors need to be trained upon the standard, auditing techniques and how to use the checklist of the group. Group Administrator needs to do a spot-checks of internal audits conducted, to see whether the internal auditors are well-trained or need more training. 9 Step 3: Preparation of the ICS team Step 3: Preparation of the ICS team Training of internal auditors Criteria for the farms

10. Step 4: Training of the producers 10 Step 4: Training of the producers Step 4: Training of the producers Training of producers Implementation of the standard Follow-up Trainers train producers using a methodology that is most locally adequate. Remember to keep the record of the training sessions. Trainers need to follow up with the producers to ensure that the standard is implemented in the farms.

11. Step 5: Internal audits Each farm and the ICS needs to be internally audited at least once a year. It is a very important step to generate a process of continuous improvement of the farms and of the group. An internal auditor cannot audit his/her own farm or those of their immediate family members. The farms need to take a corrective action for each non-conformity. After the internal audits, follow-up the farms to ensure that all the corrective actions are taken. 11 Step 5: Internal audits Internal audits of the farms and the ICS Corrective actions Follow-up

12. Step 6: External audits External audits are conducted by external auditors from accredited certification bodies of Rainforest Alliance. Non-compliances will be indicated during the audits. Final decision:Certification, or Certification after corrective actions, or No certification 12 Step 6: External audits External audits of the farms and the ICS Corrective actions Certification (1)Audit of the ICS (2) Audits of sample farms (usually square root of the total number of farms)

13. Step 7: Continuous improvement The process does not stop at certification. After certification, both the farms and the ICS need to continue improving each year. Develop an “action plan” each year that defines activities, timeline, responsible persons, tools and resources required. Follow-up the plan to ensure that all the actions are implemented in time. 13 Step 7: Continuous improvement Improvement of the farms Improvement of the ICS

14. The Rainforest Alliance works to conserve biodiversity and ensure sustainable livelihoods by transforming land-use practices, business practices and consumer behavior. Thank You for joining us in this journey!