Cocoa: Origin Matching Mass Balance Timelines

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.

In the past few years, the cocoa and chocolate industry has seen demand grow for supply chain traceability from regulatory bodies in the US and Europe. Upcoming due diligence legislation in the European Union will only make traceability requirements a more pressing need. This means that traceability to origin level will likely become a requirement for the industry as the regulatory environment tightens.

It also means that the industry needs to look beyond Mass Balance traceability. The system has until now played a significant role in making sustainability initiatives scalable. Because companies don’t have to invest in segregating certified from conventional cocoa at the factory level, Mass Balance sourcing is a cost-effective way of implementing global sustainability practices, while providing companies the flexibility they need to scale their certified sourcing. Instead, these investments can go directly to the farmers who need them most.

However, mass balance has also allowed for certificates associated with one country’s production to be allocated to cocoa beans produced by non-certified farmers in different countries around the world. As such, those farmers are not able to benefit from participating in Rainforest Alliance certification.

Origin Matching can help address both challenges. With Origin Matching, more farmers will benefit from a Rainforest Alliance certified market, and the industry will have a tool that can help them to strengthen their regulatory compliance. Through Origin Matching, companies are building up certified cocoa supply in producing countries where certified volumes were previously insufficient to meet demand. Companies are putting in the necessary work where it was lacking in the past which better reflects the intentions of the regulations and creates the groundwork for implementing stricter traceability should it be required.

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 1, 2021: Phase 1 – Beans, nibs and liquor

In the first phase (2021-2023), Origin Matching Mass Balance is required for 100% of each purchase and sale of certified cocoa beans and nibs, and for 80% of the first certified sale of cocoa liquor on an aggregate level over a 12-month period. See full requirements in Annex Chapter 2: Traceability for details.
Origin Matching Mass Balance rules apply to all cocoa volumes traded as Rainforest Alliance or UTZ certified. This also applies to any cocoa entering the supply chain under our 2020 Certification Program.
With the start of Full Mutual Recognition, all cocoa volumes are now only be visible as Rainforest Alliance cocoa, greatly simplifying the administrative process of origin matching.
Having received questions from the industry about how to calculate the annual recipe to implement origin matching of a company’s first certified liquor sales, the Rainforest Alliance will allow companies to companies to choose between two options:
- Calculate the annual recipe as is stated in Annex Chapter 2, or
- Calculate the aggregated inputs for all certified liquor sales across a 12-month period.
  Either method of calculating Origin Matching Mass Balance on a company’s first certified cocoa liquor sales will be acceptable during an audit.
Companies are permitted to follow an origin regional approach for cocoa liquor whereby smaller origins within a geographic region can be substituted for one another:
- West Africa region
  Guinea, Liberia, Togo, Sierra Leone, Other Africa (Not Cameroon, Côte d’Ivoire, Ghana, Nigeria, Madagascar, or countries listed under Central and East Africa).
- Central and East Africa
  Congo, Democratic Republic of Congo, Equatorial Guinea, Gabon, Sao Tome and Principe, Tanzania, Uganda.
- South America
  Belize, Bolivia , Costa Rica, Cuba, Dominica, Grenada, Guatemala, Haiti, Honduras, Jamaica, Mexico, Nicaragua, Panama, Saint Lucia, Trinidad and Tobago, Venezuela, Bolivarian Rep. of , Other Americas (Not Brazil, Colombia, Dominican Republic, Ecuador, Peru).
- Asia and Oceania
  Fiji, India, Malaysia, Papua New Guinea, Philippines, Solomon Islands, Sri Lanka, Thailand, Vanuatu, Vietnam, Other Asia and Oceania (Not Indonesia).

October 1, 2023: Phase 2 – Scope extended to butter and powder exports from specified origins

Origin Matching Mass Balance rules have extended to cover cocoa butter and powder exports from certain origins, in addition to cocoa beans, nibs, and liquor.
The rules for phase 2 are as follows and are included in the Rainforest Alliance Sustainable Agriculture Standard and associated Annex Chapter 2:
- Applies to cocoa liquor, butter, and powder products exported from Côte d’Ivoire, Ghana, Ecuador with contract signature date of October 1, 2023 or later.
- Require 100% origin matching on sales out of origin if exporting from Côte d’Ivoire, Ghana, Ecuador (includes liquor, butter, powder)
- Follow origin regional approach (applicable to all products other than beans and nibs)
In 2024, the Rainforest Alliance will conduct an analysis of audit results, certified production and sales trends, and any other relevant data to determine if the scope of Origin Matching Mass Balance should be further broadened.

Note: Origin Matching Mass Balance will not be required for Brazilian cocoa beans or cocoa derivatives until January 1, 2026.

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 Rainforest Alliance Supply Chain Standard Annex 2 on Traceability.

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.

Note: Origin matching is not required for the first buyer purchase in origin. This purchase is never made on a mass balance basis and so will not require origin matching.

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 liquor to Processor as mass balance. Pure Trader must origin match this sale (it is the first certified sale of the liquor). To do so, the Pure Trader 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.
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 platform has been adjusted to allow for origin matching.
All Rainforest Alliance cocoa traceability is now available in MultiTrace.
All Mass Balance cocoa certified under our Certification Program after July 2021 will have an origin associated with volumes entered into the MultiTrace system.
Most of the cocoa volumes previously certified against the 2017 Rainforest Alliance Sustainable Agriculture Standard or the UTZ certification program will also have an associated origin with volumes.
This will enable the Supply Chain to identify the country of origin of the Mass Balance credits for a significant share of certified cocoa.
Under Full Mutual Recognition, all cocoa (regardless of whether it was certified under 2017 RA, UTZ, or 20202 RA) will only be visible as “Rainforest Alliance” cocoa, further simplifying Origin Matching Mass Balance. For details please see Full Mutual Recognition for Mass Balance Cocoa.

Origin Matching Mass Balance and certification risk levels

Origin Matching Mass Balance is a key element of our certification program. Companies needing to comply with origin matching requirements will require an audit for verification of these requirements. Risk levels may therefore be increased to ensure that the correct verification is in place. This is not an additional audit but incorporated into the audit process for the 2020 certification program. Please see Auditor Verification Protocol for more details.

Credit expiration for all cocoa (2020 Rainforest Alliance SAS, 2017 Rainforest Alliance SAS and UTZ Certified

It is not yet possible yet to input or show credit expiration dates in MultiTrace. Only when this is possible will we start the 2-year countdown for the expiration of your cocoa credits.

There is no need to worry about older credits expiring. No credits will expire before the countdown begins and we will give the industry sufficient notice before the credit expiration process is activated.

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 Rainforest Alliance Supply Chain Standard Annex 2 on Traceability. All mass balance requirements set out in the Rainforest Alliance Supply Chain Standard and Annex must be followed.

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.

Additionally, annual recipes for liquor are confidential and are only shared with the Certification Body performing the audit and the Rainforest Alliance Standards & Assurance team. Annual recipes will not be shared with any other third party.

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.)

100% origin matching is required on sales out of origin if exporting from Côte d’Ivoire, Ghana, Ecuador (includes liquor, butter, powder)

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?

100% origin matching is required on sales out of origin if exporting from Côte d’Ivoire, Ghana, Ecuador (includes liquor, butter, powder). 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.

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.

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 RA2020 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.

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