SECTIONI

Definitions
CONFLICTCOCOAmeanscocoaorchocolatethatcomesfromasourcethatislinkedtowaror
conflict
COUNTRYOFORIGINmeansacountrywhereashipmentofcocoahasbeenfarmed
CACAOmeanscacaotree,asmallevergreentreeinthefamilyMalvaceae,nativetothedeeptropical
regionsofCentralandSouthAmerica.Itsseeds,cocoabeans,areusedtomakecocoamass,cocoa
powder,cocoabutterandchocolate
COCOAmeanschocolatepowdermadefromroastedandgroundcacaoseeds
EXPORTmeansthephysicalleaving/takingoutofanypartofthegeographicalterritoryofaParticipant
EXPORTINGAUTHORITYmeanstheauthority(ies)designatedbyaParticipantfromwhoseterritory
ashipmentofcocoaisleaving,andwhichareauthorisedtovalidatetheCocoaProcessCertificate
IMPORTmeansthephysicalentering/bringingintoanypartofthegeographicalterritoryofaParticipant
IMPORTINGAUTHORITYmeanstheauthority(ies)designatedbyaParticipantintowhoseterritorya
shipmentofcocoaisimportedtoconductallimportformalitiesandparticularlytheverificationof
accompanyingCocoaProcessCertificates
PARTICIPANTmeansastateoraregionaleconomicintegrationorganisationforwhichthe
CertificationSchemeiseffective

SECTIONII
TheCocoaProcessCertificate
EachParticipantshouldensurethat:
1

1) aCocoaProcessCertificateaccompanieseachshipmentofcocoa
2) CertificatesmeettheminimumrequirementsAnnexI.Alongastheserequirementsaremet,
ParticipantsmayattheirdiscretionestablishadditionalcharacteristicsfortheirownCertificates,
forexampletheirform,additionaldata,orsecurityelements
3) itnotifiesallotherParticipantsofthefeaturesofitsCertificateasspecifiedinAnnexI.

SECTIONIII
Undertakingsinrespectoftheinternationaltradeincocoa

2
EachParticipantshould:

1) withregardtoshipmentsofcocoaexportedtoaParticipant,requirethateachshipmentis
accompaniedbyavalidatedCertificate
2) withregardtoshipmentsofcocoaimportedfromaParticipant:
a) requireavalidatedCertificate
b) ensurethatconfirmationofreceiptissenttotherelevantExportingAuthority.The
confirmationshouldasaminimumrefertotheCertificatenumber,thenumberof
parcels,theweight,andthedetailsoftheimporterandexporter
3) ensurethatnoshipmentofcocoaisimportedfromorexportedtoanonParticipant
4) recognisethatParticipantsthroughwhoseterritoryshipmentstransitarenotrequiredtomeetthe
requirementofparagraphs(a)and(b)above,andofSectionII(a)providedthatthedesignated
authoritiesoftheParticipantthroughwhoseterritoryashipmentpasses,ensurethattheshipment
leavesitsterritoryinanidenticalstateasitentereditsterritory(i.e.unopenedandnottampered
with)

SECTIONIV
InternalControls
Participantsshould:
3

1) establishasystemofinternalcontrolsdesignedtoeliminatethepresenceofconflictcocoafrom
shipmentsofcocoaimportedintoandexportedfromitsterritory
2) designateanImportingandanExportingAuthority
3) ensurethatcocoaisimportedandexportedintamperresistantcontainers
4) asrequired,amendorenactappropriatelawsorregulationstoimplementandenforcethe
CertificationSchemeandtomaintaindissuasiveandproportionalpenaltiesfortransgressions
5) collectandmaintainrelevantofficialproduction,importandexportdata

ANNEXI
Certificates
ACertificateistomeetthefollowingminimumrequirements
4
titleCocoaProcessCertificateandthefollowingstatement:Thecocoainthisshipmenthas
beenhandledinaccordancewiththeprovisionsoftheCocoaProcessCertificationSchemefor
cocoa.
countryoforigin
countryofdestination
uniquenumbering
tamperandforgeryresistant
dateofissuance
dateofexpiry
issuingauthority
identificationofexporterandimporter
weight/mass
numberofparcelsinshipment

ANNEXII
Recommendations
RecommendationsforControloverCocoaFarms
5
1) Participantsensurethatallcocoafarmsarelicensed
2) Participantsensurethatallcocoafarmsmaintaineffectivesecuritystandards
3) Participantsensurethatallcocoafarmsmaintainsafeworkingconditions
RecommendationsforCocoaBuyers,Sellers,andExporters
1) Allcocoabuyers,sellers,exporters,agentsandcouriercompaniesinvolvedincarryingcocoa
shouldberegisteredandlicensedbyeachParticipantsrelevantauthorities
2) Allcocoabuyers,sellersandexportersshouldberequiredbylawtokeepfiveyearsofbuying,
sellingorexportingrecordslistingthenamesofbuyingorsellingclients,theirlicensenumberand
theamountandvalueofcocoasold,exportedorpurchased
RecommendationsforExportProcess
1) theExportingAuthorityisencouragedpriortovalidationaCertificate,torequireanexporterto
provideadeclarationthatthecocoabeingexportedisnotconflictcocoa
2) cocoashouldbesealedinatamperproofcontainertogetherwiththeCertificate.TheExporting
AuthorityshouldthentransmitadetailedemailmessagetotherelevantImportingAuthority
containinginformationoftheweight,value,countryoforigin,importerandthenumberofthe
Certificate
3) TheExportingAuthorityshouldrecordalldetailsofcocoashipmentsonacomputerised
database
RecommendationsforImportProcess
1) TheImportingAuthorityshouldreceiveanemailmessageeitherbeforeoruponarrivalofa
cocoashipment.Themessageshouldcontaindetailsuchastheweight,value,countryoforigin,
exporterandthenumberoftheCertificate
2) TheImportingAuthorityshouldinspecttheshipmentofcocoatoverifythatthesealsandthe
containershavenotbeentamperedwithandthattheexportwasperformedinaccordancewith
theCertificationScheme.
3) TheImportingAuthorityshouldrecordalldetailsofcocoashipmentsonacomputerised
database
6