Integrity and Accountability

Core values and Code of Conduct

Our core values are a compass for our behavior that guide the way we work with our colleagues and partners. The Rainforest Alliance’s Global Code of Conduct builds on these values to provide written guidelines for conducting business with the highest standards of ethics.

This Code applies to people who work for, or provide services to, the Rainforest Alliance, anywhere in the world, as follows:

Rainforest Alliance employees, officers, members of the board of directors, volunteers, and interns; compliance with this Code is mandatory.
Independent contractors: Individual Rainforest Alliance independent contractors may agree to comply with the provision in this Code as a term of service under their contract, even though they are not employees.
Staffing company employees: The Rainforest Alliance uses certain staffing firms that assign their employees to provide services to the Rainforest Alliance; those staffing firms may require their employees to comply with the provisions of this Code when they provide services to the Rainforest Alliance.
Other contracting parties: The Rainforest Alliance contracts with grantees, certification bodies, and other service providers and may require compliance with the provisions in the Code under their contract, even though they are not employees. It is the responsibility of the contracting party to ensure its staff comply with this Code in connection with their work for the Rainforest Alliance.

The Rainforest Alliance is committed to an environment where open, honest communication is the expectation, not the exception. We want all Rainforest Alliance employees and partners to feel comfortable speaking up in instances where they believe violations of policies or standards have occurred. We encourage all parties to submit reports relating to violations of our Code or other policies and procedures within Rainforest Alliance. In situations where reporting in confidence is preferred, please use this hotline.

Financial documents

Review a list of all Rainforest Alliance audited financial documents.

Policies and procedures

We have developed policies and procedures to help ensure transparency, integrity, and accountability throughout all our programs:

Financial Independence

Our Rules for Accepting Donations

Maintaining financial independence from Rainforest Alliance Certified™ and verified farms, forestlands, and businesses is a critical element of our ability to provide technical assistance, certification, and verification services.

We accept contributions (monetary or in-kind) from entities that use our certification or verification services, only in the following ways:

Fees for certification, verification, and related services
Sponsorship or other support of public events
Funding for educational, training, or outreach activities

Under no circumstances may anyone involved in decisions regarding the acceptance or use of contributions from a specific entity be involved in certification or verification decisions regarding that entity.

Decision Making

How We Make Decisions Independently and Transparently

Rainforest Alliance certification and verification services are conducted by program staff and consultants who meet established criteria for experience and training and who have not provided related consulting services or technical assistance to the business being audited for at least the past two years. They must declare any potential conflicts of interest in writing.

Rainforest Alliance certification and verification decisions are based upon review of audit reports, comments from the audited business owners and managers, and the input of stakeholders and peer review comments.

Reviews of certification and verification audit reports are done by staff members who also have previously made written declarations of independence. They can review audit reports only if they did not participate in the audit being reviewed and have not provided technical assistance or consulting services to the business seeking certification or verification for at least two years prior to the audit.

No other staff members have any involvement in the actual decisions. Our board of directors and executive office staff are not involved in any way in these decisions.

We separate our certification and verification work from the technical assistance services we provide. Auditors do not provide technical assistance services while they are performing audits or vice versa.

Complaints and Appeals

We have a grievance procedure (en español) for complaints and appeals that can be used by owners of the business that was audited or by outside stakeholders. Designated staff members investigate complaints as well as appeals of certification decisions. They document the review process and provide formal responses to those who made the complaint.

Detailed information about how the Rainforest Alliance manages complaints and appeals related to our sustainable agriculture certification program is available on our Business website.

Disclosure

Rules We’ve Adopted to Avoid Any Conflict of Interest

The Rainforest Alliance Conflict of Interest Policy requires all directors, officers and staff members to disclose any actual or potential conflicts, both at the time of engagement and annually. An internal committee reviews these disclosures and reports to the Audit and Risk Committee (see Oversight and Accountability section below) on a quarterly basis.

Staff members and consultants who contribute to certification and verification decisions are required to disclose in writing all possible and actual conflicts of interest at the time the conflict or possibility of conflict becomes evident.

Oversight and Accountability

How We Review Our Decisions and Report to International Bodies That Also Double-Check Our Procedures

The Rainforest Alliance Audit and Risk Committee, which is independent of the financial control of the organization and certification and verification decision-making, meets on a quarterly basis and reviews at least annually our performance in maintaining full independence. The Committee is also charged with recommending to the Board of Directors the retention and termination of our independent auditor.

Members of the Committee are not remunerated by the Rainforest Alliance in any way, do not have any material financial interest in any entity doing business with us, and are not involved with our certification or verification decision-making.

Fiduciary oversight of our activities rests with our Board of Directors. Although we believe that Director experience with certification and verification can be quite valuable, it is our policy that our Board not be dominated by Directors with an interest in Rainforest Alliance Certified™ or verified operations.

Audit findings are documented in reports that are reviewed for quality and adherence to established procedures.

Stakeholder Feedback

Sustainable Agriculture

All stakeholders can comment on the Rainforest Alliance Sustainable Agriculture Standard at any time, as well as provide feedback on draft versions of updated criteria during public consultation periods. The public consultation process includes outreach to stakeholders via local workshops or to stakeholders who are contacted directly with a request to provide comments.

If you have questions, feedback, or suggestions about the Sustainable Agriculture Standard, its interpretation and application, and/or our certification requirements, please email sas@ra.org.

Responsible Forest Management

Rainforest Alliance supports the Forest Stewardship Council® (FSC) as the gold standard for responsible forest management. We were founding members of the FSC and are currently a member of the environmental chamber. Many of the forest communities we work with and our corporate partners are FSC® certified, however, we are not directly engaged in the certification process. Stakeholders may submit appeals or complaints about a FSC operation that they believe may not be in compliance with the FSC.

Whistleblower Policy

To help ensure that Rainforest Alliance, Inc. (the “Rainforest Alliance”) complies with the highest standards of financial reporting and lawful and ethical behavior, the Board of Directors of the Rainforest Alliance (the “Board”) has established the following procedures for the reporting of illegal or unethical conduct in connection with the Rainforest Alliance’s finances, corporate policies, or other aspects of its operations, and the retention and treatment of such complaints, including confidential, anonymous submissions received from directors, officers, employees, and volunteers who provide substantial services to the Rainforest Alliance (who are referred to in this policy as “volunteers”). The General Counsel of the Rainforest Alliance (the “General Counsel”) is hereby designated to administer this policy. This policy must be distributed to all directors, officers, employees, and volunteers of the Rainforest Alliance.

Procedure for Reporting Complaints

Should any director, officer, employee, or volunteer of the Rainforest Alliance have a concern regarding any action or suspected action taken by or within the Rainforest Alliance that is illegal, fraudulent, or in violation of any adopted corporate policy, that person should immediately submit a complaint (a “Complaint”) to the General Counsel. Individuals may identify themselves in a Complaint or may submit Complaints on a confidential, anonymous basis, either orally or in writing. If a Complaint concerns the General Counsel or the complainant is not comfortable reporting to the General Counsel, then the complainant should submit the Complaint to the Chair of the Audit and Risk Committee of the Board or another member of the Audit and Risk Committee instead. Issues arising under the Rainforest Alliance’s equal employment opportunity policy, including the policy against harassment, employee benefit policies and issues generally handled by individuals responsible for the Rainforest Alliance’s personnel practices and procedures are not covered by this policy. Mechanisms for resolving such issues are addressed in separate procedures.

Investigation

The General Counsel or the Chair of the Audit and Risk Committee shall cause all Complaints to be investigated, unless he or she believes that the Complaint was not made in good faith or unless the Complaint was made anonymously and does not contain sufficient information to conduct an investigation. The Chair of the Audit and Risk Committee may, at his or her discretion, direct any investigation to be conducted by others, such as outside legal, accounting, or other advisors. Investigations will be conducted with as much confidentiality as is possible and practical. However, in all cases the Rainforest Alliance will use best efforts to act with discretion.

Review

After the investigation is complete, the Audit and Risk Committee will receive a written report of the investigation, its findings and any action taken or proposed. The Audit and Risk Committee will inform the Board if any Complaint is confirmed to have merit or if the Committee otherwise believes that the Board should be made aware of the situation. The Audit and Risk Committee will ensure the appropriate resolution of any Complaints reported to it, subject to the Board’s oversight. The Audit and Risk Committee will use best efforts to ensure that records of all Complaints are maintained in accordance with the Rainforest Alliance’s Records Retention and Management policy.

Protection under Policy

No director, officer, employee, or volunteer of the Rainforest Alliance who in good faith reports any action or suspected action taken by or within the Rainforest Alliance that he or she perceives to be illegal, fraudulent, or in violation of any adopted corporate policy shall suffer intimidation, harassment, discrimination or other retaliation or, in the case of employees, adverse employment consequences. The Rainforest Alliance will impose disciplinary measures against anyone who threatens or retaliates against a person for making a Complaint in good faith pursuant to this policy or for participating in an investigation. However, any director, officer, employee or volunteer who deliberately or maliciously provides false information may be subject to disciplinary action, up to and including termination of employment.

No Contract

This policy cannot be viewed as creating a promise or contract by the Rainforest Alliance, and it may be amended by the Rainforest Alliance at any time without prior notification. Employment at the Rainforest Alliance in the United States is at-will, and nothing in this policy should be interpreted as in any way limiting this at-will relationship.

Contacts

Rainforest Alliance
298 Fifth Avenue, 7th Floor
New York, NY 10001
Telephone: +1 (212) 677-1900

General Counsel: Molly Stark

Chair of Audit and Risk Committee: Eric Rothenberg, Board of Directors

The Whistleblower Policy is also available in Spanish.