USER GUIDE

SAI PLATFORM i

CONTENTS
Preface ii
Thank you iii

INTRODUCTION 1
Purpose of the FSA User Guide 2
Scope of the FSA 3
FSA performance levels and measurement 3

FSA ROLES AND RESPONSIBILITIES 5

FSA IMPLEMENTATION STRATEGIES FOR

ASSESSING FARM-LEVEL SUSTAINABILITY 9
FSA implementation strategy considerations 10
FSA verification and the Letter of Attestation 15

CONTINUOUS IMPROVEMENT AND FARMER ENGAGEMENT WITH THE FSA 16

FSA continuous improvement approach 17
Farmer engagement – a cornerstone of the FSA 18

TRACEABILITY AND FSA VOLUMES 19

Traceability defined in the context of the FSA 19
Traceability models in FSA supply chains 21
Volume accounting in FSA supply chains 23

USING THE FSA TO TELL YOUR STORY 26

Glossary 27
FSA resources 28
ii SAI PLATFORM

PREFACE
Increasingly, we are witnessing the devastating effects that the
climate crisis and growing levels of inequality are having on
communities. The consequences of which negatively impact
every aspect of our existence, from global politics and food and
nutrition security, to biodiversity, water resources and soil health.
Business is not exempt.
It is untenable for businesses to continue operating according to the same
routines which have led to us exceeding the limits of our planet. We must change,
and we must do it quickly. A significant challenge faces those of us involved in
agricultural supply chains. How do we balance the needs of the planet, with
protecting the environment, and ensuring sustained economic livelihoods for
farmers? It seems a herculean task.

But it can and must be done. Through meaningful collaboration between

all actors in the supply chain, we are seeing that long-term, effective change
is possible. SAI Platform’s Farm Sustainability Assessment (FSA) is a robust and
empowering vehicle for enabling that collaboration around issues that matter.

In my role as the Chairman of the FSA’s Steering Committee, I am encouraged

to see the momentum and growth of the FSA across the globe. To date, the FSA
is used in over 40 countries, with over 100 crops, and by more than 200 000
farmers. As the FSA continues to foster a common understanding of sustainable
agriculture, we are pleased to be welcoming more people from diverse contexts,
into our community.

Using the FSA at Nordzucker, we have found a way that affirms what we had been
doing well for a long time and challenges us to improve. We have implemented
the FSA in seven of the eight countries in which we are active. I would be lying
if I said it was an easy task, but we succeeded and learned a lot along the way.
These lessons, and lessons from other FSA users, have been integrated by SAI
Platform into better manuals and better tools. Tools that are available for you
and will help you to avoid the pitfalls we encountered.

I strongly believe that the FSA will enable you drive relevant and demonstrable
continuous improvement of on-farm social, environmental and business
performance and will empower you to engage with farmers to improve.

However, every journey starts with a first step, and I hope this guide will help
you to make that step. The community of SAI Platform members and FSA Users
look forward to welcoming you.

IVER DRABAEK, NORDZUCKER

FSA Steering Committee Chairman
January 2022
 SAI PLATFORM iii

THANK YOU
We would like to express our sincere thanks to SAI Platform members,
Andrea Granier (Unilever), Emily O’Halloran (Ocean Spray), Emmanuelle Poujad
(Bonduelle), Jennifer Shaw (Syngenta), Karolina Sluzek (Döhler), and Paul Watson
(McCain Foods), for sharing their time and experience with us for the creation
of this User Guide.

Thank you also to Emily O’Halloran (Ocean Spray), Gabriel Sarasin (McCormick),
Hamish Taylor, Iver Drabaek (Nordzuker), and Mike Buttenham (Grain Farmers
of Ontario) for taking the time to provide written contributions. And a special
thank you to Nathan Smith and Eric Harris from SureHarvest who brought this
User Guide to life.
1 SAI PLATFORM

INTRODUCTION
The commitment to ensuring sustainable futures is gaining momentum
across the globe, in all sectors and industries. Agricultural supply
chains in particular have seen a greater focus on promoting
sustainable practices, especially on farm. As awareness grows
around the issues which face this sector, it is encouraging to see
people in more and more businesses at all levels understanding
the importance of integrating sustainability into their daily work.
But this can be an overwhelming task, despite having all the best intensions.
It can be a challenge to navigate through so many interpretations of sustainability
and a huge amount of choice in terms of approach. This is exactly why the
Sustainable Agriculture Initiative Platform (SAI Platform) was created and where
the Farm Sustainability Assessment (FSA) can help.

SAI Platform was founded in 2002 by Nestlé, Unilever, and Danone as

a precompetitive forum to think about and address big issues facing the
sustainability of agricultural supply chains. Since then, the network has grown
to over 150 members who recognise that sustainability is a challenge no one
company can face alone. Pre-competitive collaboration is required to find
practical solutions to shared challenges and SAI Platform has created a unique
space for its members to share knowledge, learn from each other, and work
together on projects and research, to achieve better results, faster.

One of SAI Platform’s industry solutions is the FSA. It was developed by the
members, their suppliers, farmers, and external stakeholders. It is a simple-
to-use system, that enables users to assess and measure on-farm sustainability
in line with global best practice. It is accessible to all at no fee, and can be
applied to all crop farms, of any size, in any place. It was created to be adaptive
to the needs of its users: farmers can be verified against it, it can be used
as a benchmark for other programmes, or simply as a tool to track progress.

The first version of the FSA was released in 2014, and since then the system has
undergone a number of revisions. The current version, FSA 3.0, was released in
April 2021. The FSA’s holistic, farm level sustainability survey is centred around
109 questions which deal with the three pillars of sustainability – people, planet,
and profit.
 SAI PLATFORM 2

PURPOSE OF THE FSA USER GUIDE

The FSA User Guide covers general information on the FSA for people who
might be interested in implementing it in their supply chains. This might
include food companies, processors, exporters, agriculture organisations,
farm management group coordinators, farmers, and service providers
involved with FSA implementation efforts, as well as other key stakeholders.

This FSA User Guide should:

1 H
 elp different FSA users understand their role in supporting the
implementation of the FSA in their supply chains.

2 P
 rovide an entry-level overview of the FSA system, including FSA resources,
FSA implementation strategies, FSA-compatible traceability models and
FSA claims.

NOTE
This Guide helps FSA users understand FSA implementation and sourcing
models; however, more detailed guidance is available in other FSA resources
listed in Section Two.
3 SAI PLATFORM

SCOPE OF THE FSA

The FSA can be used for all cultivated crop farming anywhere in the world.
The FSA is applicable to all types of farming systems, all sizes of farms and all
levels of professional sophistication and sustainability performance. The FSA
can be applied at the level of a single farm, a group of farms, or a group of
farms with their first-level buyer.

The FSA framework provides a uniquely flexible sustainable sourcing model for
users, as it enables buyers to understand the sustainability levels of the crops that
they are sourcing, either through farmers directly applying the FSA, or through
the benchmarking of pre-existing farm-level sustainable agriculture programmes.

The FSA is available for use free of charge by members and non-members of
SAI Platform. Members benefit from enhanced FSA implementation support and
preferred access to certain FSA tools, such as the online FSA Web App, in addition
to other SAI Platform industry solutions and initiatives. As of 2021, the FSA has
been implemented in more than 43 countries with 126 different crops grown
by an estimated 200,000 farmers.

 SA PERFORMANCE LEVELS
F
AND MEASUREMENT
Within the FSA it is possible to achieve Bronze, Silver and Gold performance
levels. This is determined by how many Essential, Intermediate, and Advanced
questions are met in the Self-Assessment Questionnaire. The performance
levels apply to both the FSA Self-Assessment verification approach, and to
benchmarked programmes.

43 COUNTRIES 104 CROPS 200,000

FARMERS
SAI PLATFORM 4
5 SAI PLATFORM

FSA ROLES AND

RESPONSIBILITIES
There are important roles and responsibilities to consider when implementing
the FSA in a supply chain. This is not an exhaustive list; we are sure you will find
additional roles which have a meaningful impact on the success of implementing
the FSA. For each role some characteristics have been highlighted, which have
set the leaders in FSA implementation apart, but it is important to recognise
that these roles in the supply chain are fluid; a buyer might also be a supplier
to another buyer, and occasionally suppliers take on the role of Farm
Management Group Coordinator.

NOTE

Have a look at the FSA Implementation Framework version 3.0 (Section 2.) for
additional context on roles those other organisations perform (e.g., the role of
SAI Platform or an approved FSA Verification Body). This is available in the FSA
Resource Centre.

 BUYER
A person from a food and/or beverage company who works with other partners
in the supply chain to implement the FSA for a particular crop or agricultural
raw material. Buyers are often responsible for initiating FSA implementation
strategies with suppliers. In some instances, a buyer may opt to benchmark
their sustainable sourcing programme against the FSA using a company-specific
FSA strategy.

There is a particular attitude that usually sets buyers apart as leaders in

sustainability and in the implementation of the FSA. This attitude is reinforced
by commitments and actions. An understanding that change does not happen
through assessments, but through people, and a realistic appreciation of their
influence on supply chain partners is key. This materialises in the way that
buyers interact with their suppliers. They:

- aim to build strong working relationships

- a
 re collaborative, open to dialogue and find solutions that suit all parties

- c ommunicate their vision and strategy well, and view their suppliers as partners
in the sustainability journey

- c ommit resources to achieve their commitments through funding

improvements or by supporting their suppliers to access funding

- intentionally procure sustainable product and ensure that sustainability is

integral to their procurement strategies.
 SAI PLATFORM

 SUPPLIER
A person from a food and/or beverage company that is the first point of contact
in the supply chain for the buyer and who often works with a farmer organisation
(or may work directly with farmers) on the implementation of the FSA. Suppliers
often fulfil certain roles for farmers, from supplying seed, determining production
quantities, and offering extension services, to coordinating logistics, and
marketing the product. Examples of suppliers include processors, exporters,
and aggregators, or similar intermediaries in the supply chain. In some cases,
the supplier may establish a farm management group coordinator (see this
role below) for the purposes of supporting FSA implementation with a farm
management group.

It is the suppliers with strong market intelligence that become leaders in

implementing the FSA. They develop their own narrative by responding to the
needs of the market, and with a clear strategy, they know what they want to do
as a company and can communicate that well. Excellent suppliers are usually
very good at reconciling the needs of the farmers and the requests of their
buyers. They translate buyer’s requests into options for farmers that are
manageable and appropriate to their farmer’s circumstances. Great suppliers
view farmers as partners and important members of their organisations, and
they give the farmers the support they need to improve and achieve their goals.
7 SAI PLATFORM

 
FARM MANAGEMENT GROUP
(FMG) COORDINATOR
The organisation that legally represents a group of farmers who collectively apply
the FSA self-assessment. This group of farmers is called the Farm Management
Group (FMG). This role may be organised as a farmer support initiative driven
by Suppliers or a first-level buyer for crops produced by the FMG. It is also often
a cooperative or farmer association which fulfils this role. The important thing
is that the role is filled by an organisation which deals with the farmers directly.
The FMG Coordinator must appoint a manager who is responsible for identifying
and engaging the individual farmers on FSA implementation activities.

The FMG Coordinators that achieve the most long-term success understand
the farmers they are working with and appreciate their capacity, needs and
priorities. They encourage dialogue around issues that farmers might be facing
in complying with the FSA and prioritise continuous improvement. Importantly,
FMG Coordinators who internalise the FSA are mindful of the farmers needs
and priorities. They celebrate achievements and communicate back to buyers
about the farmers’ progress. They invest in additional resources and support for
farmers and allocate time and budget to training farmers and helping them to
understand the process.

 FARMER
The person who manages the farming activities on the farm. They have overall
responsibility for the farm management and completing the FSA self-assessment.
Farmers are ultimately responsible for work on upholding or implementing
FSA farming and workforce management practices, and their efforts are the
foundation for successful FSA implementation.

Farmers who use the FSA well are open minded and willing to learn. They engage
with the ethos of the FSA and believe in continuous improvement.

FSA User Consideration

What role(s) do you and your organisation already perform in the supply chain
in relation to FSA Implementation?

Where do you think you and your company’s strengths lie in terms of ensuring
successful FSA implementation? Any areas you think you might need support?
 SAI
SAIPLATFORM
PLATFORM 8

EXAMPLE
The Sustainable Italian Rice Project (SAIRISI) project is an example of a
successful FSA implementation effort involving multiple FSA users. Six SAI
Platform members participated in the project involving nine millers and
140 rice farmers. Additional stakeholders were engaged, including several
universities and other supporting organisations. This type of pre-competitive
collaboration among buyers and coordination among suppliers and farmers
is a case study on an ideal FSA implementation scenario. See SAI Platform’s
projects webpage for more information.

ENGAGES
FM
COORDINA G
TOR

R
PLIE s & Trades
P ate FM
SU greg p(s)
Ag A cr
o Su G C
Fa ppo O
LI ES

FS
ER

r m rt
SU GAG

O
-L
RD A take
s
PP

F S l Up
ev
EN

IN
e

AT
OR

ENG ERS
FAR
oal
Sourcin A
gG
FS

AGES
M
BU Y E R
Sets an

Figure 1.
FSA supply chain roles and responsibilities in a buyer-driven
FSA implementation effort. Suppliers or farmers may also
initiate FSA activities.
9 SAI PLATFORM

FSA IMPLEMENTATION
STRATEGIES FOR
ASSESSING FARM-
LEVEL SUSTAINABILITY
The FSA has three possible implementation strategies. Users are encouraged
to think carefully about the benefits and considerations for each when making
their choice.


FSA

FSA BENCHMARKED PROGRAMME STRATEGY

The benchmarking of a pre-existing programme and/or standard
against the FSA, according to the Benchmarking Protocol. In this

1 scenario, the FSA is then implemented in the supply chain using

the benchmarked programme/standard rather than using the
FSA implementation framework.

FSA


FSA SELF-ASSESSMENT STRATEGY
The FSA framework, including Self-Assessment Questionnaire (SAQ)

2 and methodology for priority screening, continuous improvement,

and verification audits is used in its entirety.

FSA

+
FSA

FSA
 HYBRID STRATEGY
A combined approach to FSA implementation using aspects
of both the FSA framework and FSA benchmarked programme

3 implementation strategies. An FSA hybrid strategy may also

leverage equivalency arrangements established with other
programmes and/or standards (e.g., GLOBALG.A.P. certification).

TIP

When considering an FSA implementation strategy, it is best to decide based

on the needs and capacity of farmers, suppliers, and buyers. However, a
guiding principle is to also think about what farm-level sustainability efforts
are already underway and to build on those, if possible.
 SAI PLATFORM 10

 
FSA IMPLEMENTATION STRATEGY
CONSIDERATIONS
These tables summarise each FSA implementation strategy, along with the
benefits and considerations for applying them. The concept of continuous
improvement is vital to all of the strategies (see more details on this in Section 5).
Likewise, engagement with farmers on the part of suppliers and buyers is
another important aspect of FSA implementation. This creates the dialogue and
synergy needed between the people who are responsible for applying the FSA.
Whichever strategy you select, communicating the message of “why the FSA”
to your farmers and partners is crucial. Doing this helps to build consensus,
and as the implementation unfolds, it keeps everyone’s focus on the activities
that should be in place for the FSA to succeed.

FSA
1 FSA BENCHMARKED PROGRAMME STRATEGY

Summary: The FSA benchmarking strategy is a great way to reduce

the duplication of farm-level sustainability efforts. This strategy works well
if there is a pre-existing programme in place that aligns with FSA. For the
technical aspects to benchmarking, have a look at the FSA Benchmarking
Protocol version 3.0. It is important to remember that this strategy will require
time and planning if the pre-existing systems need to be benchmarked. An
FSA performance level must be awarded to the programme or standard
before farmers can be recognised against the FSA.

Value Propositions

Benchmarking of a crop-specific programme helps translate the general FSA

questions into concepts and terminology used by a particular industry/sector.
Benchmarking can add credibility to the existing value, engagement,
and suitability of localised programmes in the context of relevant and
internationally accepted best practices. It means that farmers can leverage
assessment approaches they are familiar with and may be best suited to the
commodities they produce and the way that they farm.
If a programme has its own set of consumer-facing claims, then benchmarking
allows for maintaining this as an option when implementing an FSA
benchmarked programme.
Legislation in particular legal jurisdictions (e.g., state, province, national, etc.)
defined as low or very low risk may be accounted for in the benchmark to
provide some additional coverage and reduce the scope of the farm-level
assessment/verification.
It is important to recognise that this strategy requires that an assessment
programme or standard is already established. Furthermore, the verification
system included in the standard/programme must meet or exceed the FSA
minimum requirements to be “FSA equivalent”.
Volume accounting is still required for supporting FSA claims for agricultural
raw materials sourced via FSA farms.
11 SAI PLATFORM

FSA User Considerations

Completing a benchmark involves a commitment of time and money so return

on investment must be considered.
It is important to recognise that this strategy requires that an assessment
programme or standard is already established. Furthermore, the verification
system included in the standard/programme must meet or exceed the FSA
minimum requirements to be “FSA equivalent”.
Volume accounting is still required for supporting FSA claims for agricultural
raw materials sourced via FSA farms.

EXAMPLE
McCormick & Company, Incorporated is a global leader in flavour.
As a Fortune 500 company with over $6 billion in annual sales across 170
countries and territories, we manufacture, market, and distribute spices,
seasoning mixes, condiments and other flavourful products to the entire food
industry including e-commerce channels, grocery, food manufacturers and
foodservice businesses.
Through its Purpose-Led Performance agenda, McCormick is working to
source all herbs and spices sustainably, beginning with its top five branded
iconic ingredients by 2025. The Company also aims to increase the resilience
of 90% of the smallholder farmers who grow their iconic herbs and spices,
in addition to advance Grown for Good, the Company’s third-party verified
sustainability standard which goes beyond the industry standard to drive
metrics including community resilience, gender equality, and women’s
economic empowerment in farming communities.
In 2019, McCormick launched its sustainability framework “Grown for Good”
to deliver against this agenda, which is operationalized through the Grown
for Good sustainability standard. Grown for Good was benchmarked at
“Silver level” against the 2.1 version of the Farmer Sustainability Assessment
(FSA) of the SAI Platform. This benchmarking provides a recognition of the
standard in the Food & Beverage Industry and increases its credibility. The
benchmarking also provides flexibility for suppliers to use other sustainability
certification schemes benchmarked as FSA Silver or above, that are accepted
by McCormick as equivalent to Grown for Good. Since launch, suppliers are
increasingly adopting Grown for Good given its adaptability to smallholder
farmers typically growing herbs and spices. Grown for Good is also the
first company scheme focused on Herbs and Spices to reach the FSA silver
equivalency level.

Gabriel Sarasin of McCormick & Company

 SAI PLATFORM 12

FSA 2 FSA SELF-ASSESSMENT STRATEGY

Summary: The FSA self-assessment strategy is the most

straightforward approach since it relies on the FSA and the Self-Assessment
Questionnaire (SAQ) for farm-level sustainability assessment. This strategy
supports the implementation process with a well-defined set of steps to
execute the strategy based on the FSA resources and tools available. It can
also be considered in situations where a buyer or supplier are not sure about
the status of farm-level practices related to the FSA themes and would like
to use the self-assessments to understand more. Equally, it can be used by
buyers or suppliers as a risk assessment.

Value Propositions

FSA SAQ is broadly applicable to many different cropping systems and

geographic contexts and is available in 11 different languages.
The system is designed to be approachable for farmers. It is free to use,
relatively straight forward and it encourages collaboration and continuous
improvement between farmers and other supply chain actors.
Buyers implementing a global farm-level sustainable sourcing strategy can
use the FSA for different agricultural raw materials. Additionally, multiple
crops can be assessed in the same verification and included on the same
Letter of Attestation.
This implementation strategy can be a starting point for some buyers who
have not previously worked on addressing farm-level sustainability in their
supply chains.

FSA User Considerations

Starting with one or two supply chains may be advisable to pilot the FSA
approach. Shorter supply chains where farmers, suppliers and buyers can
engage on continuous improvement are recommended.
Custom-tailored guidance may be needed to support farmer understanding
of the FSA and completion of SAQs if FSA concepts are not understood and
adaptation to the local context is important.
Record keeping systems for the FSA are important in terms of verification
audits. Work and resources may be needed to establish these types of systems.
Furthermore, the approach does not include a chain of custody, so users need
to design and keep precise and accurate volume accounting systems.
13 SAI PLATFORM

EXAMPLE
Symrise is a producer of flavours and fragrances. We source about 10 000
raw materials which are used to create more than 30 000 products. Our
operations cover over 100 countries. We work with our farmers to achieve
FSA Silver level performance for our main crop raw materials.
In the process of using the FSA, we have found that transparency is key,
as is managing expectations. When introducing the process to farmers, the
biggest initial fears we encountered were concerns around a bureaucratic
burden, a release of sensitive information, high costs of verification, and
non-compliance and what that might mean. Consequently, it was important
to communicate the benefits of successfully implementing the FSA from
the perspective of the farmer to provide reassurance about these fears
and concerns and show respect for the farmer’s time and participation.
For example, explaining that the initial FSA assessment is free at the point
of use, and gives the farmer an instant overview of what they are currently
doing correctly and where they have room for improvement in terms of
sustainability.
We run pilot studies to better understand the level of our farmers in new
regions and we make sure to communicate to the farmers the outcomes of
our pilot studies. Through this pilot process we better understand what is
needed in terms of capacity building. We have learnt to be prepared from the
outset with tools to accelerate the journey. These include water management
action plans, biodiversity maps, and draft record-keeping templates that can
be adopted by farmers. We encourage our farmers by explaining that this is
a journey and assist them in establishing “Pathways to Progress” that make
sense to them.
It seems simple, but it’s important to remember to keep the farmer in mind.
When you spend time on a farm, be considerate to the time and feelings of
the farmer; I always like to bring a small gift..
Hamish Taylor, Strategic Advisor on Sustainability to Symrise
 SAI PLATFORM 14

3 FSA HYBRID STRATEGY

FSA

+
FSA

Summary: The FSA hybrid strategy combines aspects of both the

FSA self-assessment and FSA benchmark programme strategies to offer
maximum flexibility. The reasons for pursuing a hybrid approach vary but
a common one involves situations where farmers already comply with a
standard (e.g., a benchmarked food safety standard), but this standard does
not cover all sustainability aspects that buyers require. Another scenario for
using a hybrid approach is when an FMG wants to improve their performance
level and uses the benchmark to reduce the number of questions that need
to be answered on the Self-Assessment Questionnaire.
Other hybrid implementation scenarios may involve farmers using a digital
agriculture sustainability metrics platform that is partially aligned with FSA but
not fully, either on a content level (e.g., gaps with key FSA topics) or on process
level (e.g., benchmarked self-assessment sustainability programme without
third-party verification). In those cases, a hybrid strategy may work very well.

Value Propositions

If some needs are addressed by existing FSA benchmarked certification

standards (e.g., Organic, Fairtrade, etc.), but these do not provide a solution
for all supply chains and crops, using a combination of the FSA strategies may
work well in a hybrid approach. In this way, FSA users can avoid duplicating
efforts, and farmers are recognised for the work they are already doing.
Programmes that focus on self-assessment or education on farm-level best
management practices may not want to fully adopt a third-party verification.
The FSA can offer a solution in the form of a scalable third-party verification
aspect that can support FSA sourcing claims buyers may request or require.
Legislation can be benchmarked against the FSA and used for countries
and legal jurisdictions deemed to be ‘low risk’ or ‘very low risk’ to leverage
situations in which farmers must comply with various laws and regulations
that overlap with the FSA questions.

FSA User Considerations

A targeted outreach to farmers may be needed to communicate how the

benchmarked programme compares and contrasts with the FSA and to support
understanding of focus areas (i.e., FSA topics to address during assessment).
At the level of the buyer, it can help to create an overarching model for the
sustainability implementation effort. This can unify the hybrid implementation
approach under one umbrella.
FSA verification audits are required to confirm that the claimed performance
level has been met unless the standard includes a third-party audit or
verification process that meets or exceeds the FSA requirement.
Volume accounting systems will need to be established for FSA claims related
to performance levels, which are determined based on a verification process.
Tracking volumes for supply chains with identity preservation should be
relatively easy in terms of the administrative tasks when compared with
supply chains where mixing of agricultural raw materials is common.
15 SAI PLATFORM

EXAMPLE
Ocean Spray is a vibrant agricultural cooperative owned by more than
700 cranberry farmers in the United States, Canada and Chile. Ocean Spray
uses the FSA Hybrid strategy while serving as the coordinator for two Ocean
Spray FMGs: one in North America and one in Chile. The Hybrid strategy
provides Ocean Spray the flexibility to use an established Cranberry Farm
Sustainability Survey to measure farmer sustainability practices while offering
the opportunity for external, third-party verification of these practices.
Cranberries are a long-lived perennial vine, which through unique
horticulture practices can produce berries for decades. Sustainability is an
inherent part of cranberry farming. For example, regenerative agriculture
has been practiced for generations on Ocean Spray cranberry farms.
These practices are not only good for the environment, our farmers and
their communities, they are also expected by many of our customers and
consumers. And now with the FSA hybrid option, Ocean Spray has further
improved farmer collaboration and engagement on critical sustainability
issues, identified and acted on cooperative-wide impact opportunities,
and is celebrating farm sustainability success stories across the cooperative.
We are proud to share that our cranberries are FSA verified.
Emily O’Halloran of Ocean Spray Cranberries

 
FSA VERIFICATION AND
THE LETTER OF ATTESTATION
Third-party verification is a key part of an FSA implementation effort since this
process allows for performance level claims to be assigned to volumes produced
by participating farmers. SAI Platform approved verification bodies are the
organisations that conduct FSA verification audits and issue your FSA Letters of
Attestation (LoA) if the audit is successful. The LoA is a record that confirms the
FSA performance level of a Stand-Alone Farm or an FMG.

Verification bodies are an important partner in FSA implementation and it is

important to consider the experience the auditors have with particular farms and
commodities in the geographic region(s) in which you operate. In some cases,
language skills and experience with specific crops are important considerations.

For buyers and suppliers interested in confirming the FSA verification status for
Stand-Alone Farms and FMGs in a given supply chain, FSA LoAs can be accessed
via the GLOBALG.A.P. Database, using the unique GGN code on the LoA.
 SAI PLATFORM 16

CONTINUOUS
IMPROVEMENT AND
FARMER ENGAGEMENT
WITH THE FSA

“Real change occurs from the bottom up; it occurs person

to person, and it almost always occurs in small groups
and locales and then bubbles up and aggregates to larger
vectors of change.”
Paul Hawken

A fundamental principle of the FSA is continuous improvement, which recognises

that everyone, regardless of their role in the supply chain, starts at a different
point on their sustainability journey. To embed this concept among FSA users,
all FSA Farm Management Groups must develop a Continuous Improvement
Plan (CIP). This is audited during the FSA verification process, as part of the
Farm Management System audit for FMGs. However, it is an optional part of the
verification process for Stand-Alone farms.

Similarly, FSA benchmarked programmes are expected to include an approach

that helps farmers prioritise areas for improvement. In the case of the FSA
Self-Assessment, the process for developing a CIP is designed to be flexible.
This empowers users to innovate and apply multiple pathways for addressing
continuous improvement priorities and targets.

NOTE

The Continuous Improvement Module includes guidance materials and

templates to support the efforts of an FMG Coordinator to establish
and monitor a CIP for the FMG and can also be used by Stand-Alone Farms
participating in the FSA. You can find this guidance in the FSA Resource Centre.
17 SAI PLATFORM

 
FSA CONTINUOUS IMPROVEMENT
APPROACH
The CIP can apply to both Stand-Alone Farms and FMGs, but the focus of the
Continuous Improvement Module guidance is on multiple farms that are part of
an FMG. It requires a lot of effort to organise and coordinate multiple farms, so
the FMG Coordinator must develop a process to address different farmers’ needs
and starting points. The CIP process involves setting time-bound measurable
targets that relate to FSA topics. It is important to acknowledge that objectives
and targets may not always be met. This is where farmer engagement and follow
up activities are important. To promote meaningful supply chain engagement,
buyers and suppliers should participate and support farmers
in achieving these objectives.

Each FMG that implements the FSA must come up with priority areas and
objectives for continuous improvement. These should have their own targets
attached to them. Common objectives include:

• Identifying and supporting the achievement of FSA farm-level performance

targets (e.g., Gold, Silver, Bronze).

• A
 ddressing the challenging FSA practices or risk points established using the
Priority Screening Tool.

• R
 educing environmental impacts associated with farming activities that relate
to FSA topics, such as water use and greenhouse gas emissions.

In some cases, a farm or FMG may already have plans or pre-existing activities
that are aligned with the FSA’s continuous improvement approach. In those
cases, users are encouraged to use existing projects and if needed, adapt them
to what is described in the Continuous Improvement Module.
 SAI PLATFORM 18

 
FARMER ENGAGEMENT -
A CORNERSTONE OF THE FSA

“There is a lot of value in getting all of the farmers together and

talking about experience implementing the FSA. This creates
dialogue amongst farmers and provides a basis for sharing
experience with the FSA.”
Mike Buttenham, Grain Farmers of Ontario

Effective engagement with farmers or farm managers in developing the CIP

is crucial, as it will build trust and create a safe space for innovation and
improvement. Initially this may feel like an attempt t to convince other actors in
the supply chain about why sustainability matters and why the FSA is the right
tool for the job. As the engagement process progresses, it will help confirm
which farms should be included and which implementation option will be most
appropriate. This is a critical step as it determines the outcomes all stakeholders
are hoping to achieve and ensures buy-in towards a shared vision.

For these discussions, it is important to ensure that the group of farmers is

representative of the overall FMG. Factors like the location and size of farms,
gender of farmers, and crops produced, can have different impacts on the
way that farmers are able to implement the FSA, as well as the aspects they
prioritise for continuous improvement. Eventually, as the FMG Coordinator uses
techniques to engage farmers, the priorities and targets that can generate the
most value for all members of the FMG are identified.

Ongoing engagement with farmers is vital to ensuring the success of a continuous

improvement plan. Where we have seen this type of engagement veer off course
is when engagement becomes too task focused. At the heart of the FSA is the
belief that people, and relationships drive change, not tools. By keeping people
at the centre of the implementation plan, FMG Coordinators will be able to involve
farmers in a way that resonates with more purpose and establishes greater trust.
19 SAI PLATFORM

TRACEABILITY
AND FSA VOLUMES
The FSA is a business-to-business tool, that does not allow on pack
claims or the use of the FSA name or logo on products. Because
of this, it does not include a chain of custody assessment and a
verification audit. However, establishing a traceable supply chain is
a requirement for FSA implementation and for users that seek to
make off-product claims related to FSA performance. For the FSA,
this links crops and agricultural raw materials produced by farms to
different FSA performance levels (e.g., Gold, Silver, Bronze) based
on self-assessment and verification activities.

 
TRACEABILITY DEFINED IN
THE CONTEXT OF THE FSA
Tracking information such as crop yields, farm size, farmer self-assessment
results, and volumes of raw and finished product is a good basis for establishing
a traceable FSA supply chain. For the FSA, traceability is the ability to track and
verify the history, origin, and quantity of agricultural raw materials, food products
and ingredients via documented identification or physical segregation (adapted
from the ISEAL Chain of custody models and definitions Version 1.0, 2016).

FSA volume claims are not possible without a traceability system. A traceability
system provides the farmers, FMG Coordinators (if applicable), suppliers, and
buyers with the ability to track the movement of volumes of crops grown by
farms participating in the FSA. This system relies on an effective document
management and record keeping approach and, in some cases, may include a
system of physical segregation. The more processing and handling steps in the
supply chain, the more documentation and records will be required.

Many countries now require supply chain traceability because of food safety
concerns. Users of the FSA can benefit from leveraging established systems that
are based on regulations requiring traceability. Additionally, it is critical to ensure
that buyers and suppliers are all aligned on sourcing targets for FSA volumes that
feed into broader sustainability goals that buyers establish. Part of the process of
alignment on sourcing targets involves suppliers also confirming farms have the
capacity to supply sufficient FSA volumes.
 SAI PLATFORM 20

“FOR THE FSA

TRACEABILITY IS THE ABILITY TO TRACK AND VERIFY THE HISTORY,
ORIGIN, AND QUANTITY OF AGRICULTURAL RAW MATERIALS,
FOOD PRODUCTS AND INGREDIENTS VIA DOCUMENTED IDENTIFICATION
OR PHYSICAL SEGREGATION. ”

B UY E R
SA volume
s F t(s) & go sou
m e al( rc
fir arg s) i
t
n

ng
Co

Co U
S
n fi P P L I E R it y
to ms farmer capac s
r
su p e
ply FSA volum

Figure 2. Confirmation of FSA Sourcing Targets

21 SAI PLATFORM

 
TRACEABILITY MODELS
IN FSA SUPPLY CHAINS
Here, three traceability models relevant to the FSA have been explained. Keeping
in mind that the FSA is flexible in terms of approach, it is important to recognise
that the traceability system selected needs to be appropriate and manageable
based on individual circumstances. This is because the approach needs to be
executed correctly and thoroughly for your suppliers and customers to have
certainty about the claims attached to the product.

1 Mass Balance:
FARMERS BUYERS
In the mass balance system, agricultural
raw materials produced by farmers Farmer A 100kg 100kg
FSA-Gold FSA-Gold
participating in the FSA may be aggregated
100kg
in the supply chain, and potentially mixed FSA-Bronze
Farmer B 100kg
with other agricultural raw materials from FSA-Bronze
unknown sources. In these cases, there 200kg
needs to be a management system in Farmer C 200kg Non-assessed

place to record the volumes produced by Non-assessed

each farmer and an accounting system

Figure 3. Mass Balance System
to ensure FSA volumes are recorded.

NOTE: FSA requires a mass balance volume accounting system as a minimum

level of traceability to support FSA claims.

NOTE: For FSA supply chains that use mass balance accounting, volume
conversion factors must be used when agricultural raw materials are processed.
This is because it results in a reduction of volume from input to output (e.g., milling
of wheat grain to flour; removing almond hulls and shells to produce almond
kernels). It is up to the FMG Coordinator to determine which conversion factors
are required and correctly calculate the pre-processed and post-processed
volumes. These must be defined and justified in the system procedures and
must apply for the full three-year duration of the Letter of Attestation.

2 Identity Preservation: FARMERS BUYERS

Farmer A 100kg
In the identity preservation model, FSA FSA-Bronze 200kg
materials are segregated from non-FSA FSA-Bronze

materials, and it is possible to trace back Farmer B 100kg

FSA volumes to specific farms participating FSA-Bronze

in the FSA. This model supports claims 200kg

Farmer C 200kg Non-assessed
that certain raw materials are produced
Non-assessed
by specific farms.
Figure 4. Segregated Chain of Custody
 SAI PLATFORM 22

3 Bulk Segregation: FARMERS BUYERS

Farmer A 100kg 100kg

In the case of bulk segregation, only FSA-Gold FSA-Gold
agricultural raw materials from an 100kg
aggregated FSA supply base can Farmer B
100kg FSA-Silver

be mixed, which should then be FSA-SIlver

segregated from non-FSA materials. 200kg

200kg
Farmer C Non-assessed
Non-assessed

Figure 5. Identity Preservation Model

23 SAI PLATFORM

Traceability Model Description

• V
 olume accounting of FSA product with
Mass Balance conversion factors (if applicable)
• Mixing of FSA and non-FSA product allowed
• F
 SA and non-FSA product kept physically
Bulk separate
Physical • FSA product from different farms mixed
Segregation • F
 SA and non-FSA product kept physically
Identity
separate
Preservation
• Ability to trace back to specific farm of origin

Table 1. Overview of FSA Traceability Models

 
VOLUME ACCOUNTING
IN FSA SUPPLY CHAINS
The Volume Accounting System supports the generation of accurate and
reliable verified FSA claims and ensures that there is no double counting of
FSA verified volumes. For bulk agricultural commodity supply chains, a mass
balance accounting system may be necessary to track FSA volumes, and a
similar consideration may apply to supply chains where product size or quality
specifications require mixing of FSA and non-FSA volumes.

Mass Balance Accounting:

The FSA requires a mass balance accounting system as a minimum level of
traceability for supporting FSA performance-level and FSA sourcing claims. This
system should account for FSA-verified and non-verified material physical mixing,
but also track these volumes separately via the management system to ensure
there is no overselling of FSA verified volumes. FMGs may choose to physically
segregate verified from non-verified volumes either in bulk or through identity
preservation, but segregation is not a requirement for FSA claims or the FSA
Management System Audit.

TIP
The FSA uses a 12-month inventory balancing period for mass balance
accounting. The accounts must be balanced and filed at the end of each
inventory period.
 SAI PLATFORM 24

Quantity Credit Method:

The FSA requires the use of the quantity credit method for mass balance
accounting. A ‘credit’ is a unit of agricultural raw material at a specific verified FSA
performance level (Bronze, Silver, or Gold). The FMG Coordinator must develop
and maintain an internal credit accounting system for making claims. This must
cover each crop at each FSA performance level. The credit output (volume of
material sold at that performance level) must be deducted from the credit
account for that material/performance level, up to the limit in, but not exceeding,
the credit account. This must consider any volume conversion factors for the
mass balance systems. While in some limited circumstances the credit account
balance may be negative (thus creating an ‘overdraft’) within a balancing period,
the credit account must ultimately be balanced out and should not be negative
following the inventory balancing period.
For the same crop, credits can be reassigned from a higher performance level
to a lower one if there are sufficient credits within the higher performance level.
This cannot be reversed later.
25 SAI PLATFORM
 SAI PLATFORM 26

USING THE FSA TO

TELL YOUR STORY
SAI Platform encourages FSA users to talk about their work with the FSA through
their own communication and sustainability pledges. By doing this, companies
take ownership of their sustainability journeys and commitments. With this
in mind, SAI Platform provides FSA users a practical set of considerations and
guidance in the Guide to Making FSA Statements and Claims available in the
FSA Resource Centre. This document provides users with guidance for the correct
use of language and the FSA logo when making FSA claims. It also clearly explains
where claims can be made to ensure consistency between claims and to make
sure that claims are aligned with the level of assurance that the FSA provides.

Understanding what types of claims are possible when using the FSA is
important, as many buyers and suppliers choose to use the FSA to assess
farm-level sustainability in their supply chains. Moreover, sustainability
goals established by buyers may depend on sourcing particular quantities of
agricultural raw materials or ingredients based on verified FSA performance
levels (e.g., Gold, Silver, etc.).

NOTE

The FSA does not allow on-pack claims and it cannot be used in consumer
facing marketing.

The following requirements apply when making FSA Claims:

• W
 hile it is not possible to use the FSA logo or other claims on packaging, it is
possible for companies to make self-declared on-pack sustainability claims that
are supported by off-pack FSA claims, for example on a website.

• C
 ompanies are permitted to make FSA performance level claims and FSA
participation claims on their websites, product websites and on social media.

 SA performance-level and volume claims must be supported by an FSA Letter

• F
of Attestation that can be demonstrated through a Mass Balance accounting
system as specified in the Implementation Framework.

 eference must always be given to the Farm Sustainability Assessment (FSA),

• R
not to SAI Platform and the perception that SAI Platform indicates whether
a product is sustainable must always be avoided.

• It must be clear what type of claim is being made.

Please direct any questions on FSA claims to fsatool@saiplatform.org or have

a look at our website.
27 SAI PLATFORM

GLOSSARY
• Benchmarked Programme: A sustainability programme which has been
benchmarked against the FSA as a point of reference to compare and
evaluate the content, performance requirements, and level of quality of that
sustainability programme against the FSA.
• Benchmarking: Comparison of a system against the FSA 3.0 content,
assurance, and governance requirements.
• Continuous Improvement: Activities and approach to promote improvement
and address the aspects called for in the FSA Continuous Improvement Module.
• Farm: All land and facilities used for agricultural production activities, including
non-productive areas under the management of an identified responsible
person(s). A farm may be composed of several physical separate farm buildings
and fields, producing the same crop(s)/product(s) in scope of the assessment.
• Farm Management Group: A group of farms who together apply the self-
assessment, on their own initiative (e.g., as a cooperative) or as part of the
supply base of a trader, processor or company.
• Farm Management Group Coordinator: Organisation legally representing
the Farm Management Group.
• Farmer: Representative of the farm with overall responsibility for the farm
management.
• Farm Sustainability Assessment: Name of the SAI Platform tool to assess,
improve and communicate social, environmental, economic agricultural
practices. The FSA is a list of Essential, Intermediate, and Advanced questions.
Depending on the coverage of these questions, the farmer can see at which
sustainability Performance Level they perform.
• FSA Performance-Level Claim: Declaration of the FSA Performance Level
(Bronze, Silver, Gold) by a Stand-Alone Farm, a farm in the FMG or the FMG.
• FSA Volume Claim: Declaration that a volume of product from a Farm
Management Group or Stand-Alone Farm is verified coming from farms that
are at one or more FSA Performance Levels (i.e., Bronze/Silver/Gold).
• Letter of Attestation: Formal letter issued by a Verification Body to confirm the
FSA Performance Level(s) of a Farm Management Group or Stand-Alone Farm.
• Self-Assessment Questionnaire (SAQ): Farm level questionnaire to assess
sustainability performance resulting in a Farm Sustainability Assessment
Performance Level Claim.
• Stand-Alone Farm: Farm that applies the Self-Assessment Questionnaire
directly and only to itself, without being part of a Farm Management Group.
• Verification Audit: Act of reviewing, inspecting, or testing to establish and
document that a farm or Farm Management Group meets the claimed
FSA performance level, and the requirements of the FSA Implementation
Framework.
• Verification Body: Organisation approved by SAI Platform for performing FSA
Verification Audits.
 SAI PLATFORM 28

FSA RESOURCES
In addition to this guide, several FSA resources are available at the
FSA Resource Centre. Each resource is developed to address a particular
aspect of the FSA. This list of resources should guide you towards the
information you need on specific FSA topics:

• FSA Implementation Framework: Describes the minimum requirements

for implementing the FSA based on the Self-Assessment Questionnaire (SAQ)
and provides practical implementation guidance to FMG Coordinators and
Stand-Alone Farmers.
• F
 SA 3.0 Self-Assessment Questionnaire: Farm-level questionnaire to
determine FSA performance through self-assessment. Farmers must answer ‘yes’
or ‘no’ to 109 questions to determine their FSA performance level.
• F
 SA Benchmarking Results: Provides an overview of sustainability schemes
that are FSA Benchmark Aligned and FSA Benchmark Equivalent.
• F
 SA Continuous Improvement Plan Guidance and Templates: Provides
guidance to FMG Managers and Stand-Alone Farm Managers on how to
develop, implement and monitor a Continuous Improvement Plan in line with
FSA requirements.
• FSA Benchmarking Protocol: Describes how third-party sustainability schemes
are benchmarked against the FSA and how to interpret the results.
• Guide to Making FSA Statements and Claims: Provides guidance on how
to make statements and claims about the use of FSA and different FSA
performance levels.
• F
 SA Audit Guide for Stand-Alone Farms: Provides guidance and requirements
for Verification Bodies to perform FSA verification audits for Stand-Alone Farms.
• F
 SA Audit Guide for Farm Management Groups: Provides guidance
and requirements for Verification Bodies to perform FSA verification audits
for Farm Management Groups.
• F
 SA Audit Control Points: Provides detailed guidance to auditors in assessing
if the FSA Management System requirements have been met.
 SA VB and Auditor Requirements: Sets out the organisational requirements
• F
for becoming an FSA Verification Body and the competency requirements for
FSA auditors.
• F
 SA Topic Guides: Goes through the topics of the FSA SAQ and helps users
understand the background to each question and what is required to
answer ‘yes’.
• FSA Training Toolkit: A comprehensive set of highly practical instruction
materials for implementers of the FSA.