SIST EN ISO 34101-1:2020

SLOVENSKI STANDARD
oSIST prEN ISO 34101-1:2020
01-april-2020
Trajnost in sledljivost kakava - 1. del: Zahteve za sisteme upravljanja trajnosti
kakava (ISO 34101-1:2019)
Sustainable and traceable cocoa - Part 1: Requirements for cocoa sustainability
management systems (ISO 34101-1:2019)
Nachhaltiger und rückverfolgbarer Kakao - Teil 1: Anforderungen an
Managementsysteme für die Nachhaltigkeit (ISO 34101-1:2019)
Cacao durable et traçable - Partie 1: Exigences relatives aux systèmes de management
de la durabilité du cacao (ISO 34101-1:2019)
Ta slovenski standard je istoveten z: prEN ISO 34101-1
ICS:
67.140.30 Kakav Cocoa
oSIST prEN ISO 34101-1:2020 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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oSIST prEN ISO 34101-1:2020

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oSIST prEN ISO 34101-1:2020
INTERNATIONAL ISO
STANDARD 34101-1
First edition
2019-05
Sustainable and traceable cocoa —
Part 1:
Requirements for cocoa sustainability
management systems
Cacao durable et traçable —
Partie 1: Exigences relatives aux systèmes de management de la
durabilité du cacao
Reference number
ISO 34101-1:2019(E)
©
ISO 2019

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oSIST prEN ISO 34101-1:2020
ISO 34101-1:2019(E)

COPYRIGHT PROTECTED DOCUMENT
© ISO 2019
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting
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Email: copyright@iso.org
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Published in Switzerland
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Contents Page
Foreword .v
Introduction .vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Context of the organization .11
4.1 Understanding the organization and its context .11
4.2 Understanding the needs and expectations of interested parties .11
4.3 Determining the scope of the cocoa sustainability management system .11
4.4 Cocoa sustainability management system and its processes .12
4.5 Registration of farmers to become part of the organization .12
4.5.1 Specific communication to farmers considering registration to become
part of the organization (sensitization process) .12
4.5.2 Registration of farmers .13
4.5.3 Confirmation of the registration of farmers .13
4.5.4 Data ownership .14
5 Leadership .14
5.1 Leadership and commitment .14
5.2 Policy .15
5.2.1 Purpose .15
5.2.2 Actions .15
5.3 Organizational roles, responsibilities and authorities.15
5.4 Registered farmer representation .16
6 Planning .16
6.1 Actions to address risks and opportunities .16
6.1.1 Purpose .16
6.1.2 Actions .16
6.2 Cocoa sustainability objectives and planning to achieve them .17
6.2.1 Cocoa sustainability objectives .17
6.2.2 Planning to achieve the cocoa sustainability objectives .17
7 Support .17
7.1 Resources .17
7.1.1 General.17
7.1.2 Cost identification and recovery mechanisms .18
7.2 Competence .18
7.3 Awareness .18
7.4 Communication .19
7.4.1 General.19
7.4.2 Communication throughout the organization .19
7.5 Documented information .19
7.5.1 General.19
7.5.2 Creating and updating .20
7.5.3 Control of documented information .20
8 Operation .20
8.1 Operational planning and control .20
8.2 Planning of activities .21
8.2.1 Annual work plan for the organization .21
8.2.2 Cocoa farm development plan.21
8.3 Changes to requirements for sustainable cocoa production .22
8.4 External provision of processes, products and services .22
8.5 Traceability of sustainably produced cocoa internally within the organization .22
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9 Performance evaluation .23
9.1 Monitoring, measurement, analysis and evaluation .23
9.1.1 General.23
9.1.2 Analysis and evaluation .24
9.2 Internal audit .24
9.3 Management review .25
9.3.1 General .25
9.3.2 Outputs .26
9.3.3 Feedback to the organization .26
10 Improvement .26
10.1 General .26
10.2 Nonconformity and corrective action .27
10.3 Continual improvement .27
Annex A (informative) Overview of the process for establishing the cocoa farm
development plan .28
Annex B (informative) Guidance for estimating start-up and recurring costs .30
Annex C (normative) Information on individual farms for cocoa farm diagnostic .31
Annex D (normative) Implementation and content of the cocoa farm development plan .33
Annex E (informative) Cocoa farm development plan — Guidance for registered farmers .34
Bibliography .35
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Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of
any patent rights identified during the development of the document will be in the Introduction and/or
on the ISO list of patent declarations received (see www .iso .org/patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see www .iso
.org/iso/foreword .html.
This document was prepared by the European Committee for Standardization (CEN) Technical
Committee CEN/TC 415, Sustainable and Traceable Cocoa, in collaboration with ISO Technical Committee
TC 34, Food products, Subcommittee SC 18, Cocoa, in accordance with the agreement on technical
cooperation between ISO and CEN (Vienna Agreement).
A list of all parts in the ISO 34101 series can be found on the ISO website.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www .iso .org/members .html.
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Introduction
0.1  The ISO 34101 series
The ISO 34101 series specifies requirements for the sustainable production of cocoa beans, for traceability
of sustainably produced cocoa and for the scheme for certifying sustainable and traceable cocoa.
Sustainably produced cocoa beans are obtained by fulfilling the management system requirements
of either this document or ISO 34101-4:2019, Annex A or B, and the performance requirements of
ISO 34101-2.
The stepwise approach of the ISO 34101 series comprises three requirement levels: entry, medium
and high. The requirements for the three levels for the performance requirements are all specified in
ISO 34101-2. The requirements for the three levels for the cocoa sustainability management system
requirements are specified in this document or ISO 34101-4 as follows:
— entry: ISO 34101-4:2019, Annex A;
— medium: ISO 34101-4:2019, Annex B;
— high: this document.
An organization that is sustainably producing cocoa beans can apply for initial certification to any level
and will then be on a path towards a higher level until the high level is reached. The path from entry
level to medium level can take up to 60 months. The path from medium level to high level can take up to
60 months.
The performance requirements specified in ISO 34101-2 are complementary to the cocoa sustainability
management system requirements. Only organizations that fulfil both the cocoa sustainability
management system requirements (either this document or ISO 34101-4:2019, Annex A or B) and the
performance requirements (ISO 34101-2) may claim their cocoa beans have been sustainably produced.
ISO 34101-3 specifies the requirements for traceability of sustainably produced cocoa (fulfilling the
requirements of the ISO 34101 series) from an organization that is sustainably producing cocoa beans
and throughout the cocoa supply chain.
ISO 34101-4 specifies the requirements for the scheme for certifying traceable, sustainably produced
cocoa conforming to the requirements of the ISO 34101 series and includes the requirements for the
entry and medium level for the cocoa sustainability management system.

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Document Subject Intended to be applied by
This High-level requirements for cocoa Registered cocoa farmers and organizations that are
document sustainability management systems. sustainably producing cocoa beans.
(Entry- and medium-level
requirements for cocoa
sustainability management systems
are specified in ISO 34101-4.)
ISO 34101-2 Entry-, medium- and high-level
requirements for performance
(related to economic, social, and
environmental aspects).
ISO 34101-3 Requirements for traceability. The cocoa supply chain actors.
ISO 34101-4 Requirements for certification Certification scheme owners and certification bodies
schemes. certifying conformity to the ISO 34101 series.
Entry- and medium-level Organizations wishing certification by an accredited
requirements for cocoa third-party certification body in order to make claims of
sustainability management systems. conformity.
(The high-level requirements for Registered cocoa farmers and organizations that are
cocoa sustainability management sustainably producing cocoa beans applying the entry-
systems are specified in this or medium-level requirements for cocoa sustainability
document.) management systems.
This document specifies the requirements for the high level of the cocoa sustainability management
system. ISO 34101-4 specifies the requirements for the entry and medium levels.
The overriding objective of this document is to develop, promote and maintain a framework for the
sustainable production of cocoa beans based on the principle of continuous improvement.
In order to achieve this objective, this document has been specifically designed to be relevant to
interested parties within the cocoa sector, in particular with a view to:
a) support and encourage all cocoa farmers;
b) improve the income of cocoa farmers and resilience of their livelihoods;
c) promote and support farmer organization, when necessary.
Although a diverse range of organizations can apply this document and ISO 34101-2 to their activities,
it is important that farmer organizations be recognized as a key delivery mechanism for a sustainable
cocoa economy and that such organizations be robust and truly representative of the registered cocoa
farmers they serve. It is expected that interested parties work together to help them achieve this.
0.2  Using a sustainability management system
The adoption of a cocoa sustainability management system is often a strategic decision for an
organization.
The objective of the cocoa sustainability management system is primarily to ensure there are clear
roles and responsibilities to promote internal planning, implementation, monitoring, evaluation
and learning, and to ensure ongoing progress towards cocoa sustainability goals. The cocoa farm
development plan (CFDP), a requirement in this document, is intended to be the central tool to achieve
continuous improvement and positive impacts.
The potential benefits to an organization implementing a cocoa sustainability management system are:
— the establishment and implementation of management practices, which allow the cost effectiveness
of the business to be assessed through operational performance indicators;
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— the ability to consistently provide sustainably produced cocoa that meets specified requirements
and applicable statutory and regulatory requirements;
— the ability to address risks and opportunities associated with the context and objectives of the
organization;
— the ability to demonstrate conformity to specified cocoa sustainability management system
requirements;
— organizational learning, adjustment of the organization's strategy and improvement of its
performance.
In the event that registered farmers wish to take over the management of the cocoa sustainability
management system from the organization, it is important that registered farmers are encouraged to
do so, with the support of the organization, and that their proposal takes into account any outstanding
start-up costs relating to the cocoa sustainability management system. In the context of this document,
one or more registered farmers may become an organization.
In addition to this document, elements that are integral to sustainability can be considered through
other activities or programmes including:
a) encouraging interested parties to take responsibility for supporting sustainability objectives for
cocoa farming;
b) other initiatives to support rural livelihoods;
c) development of a physical and social infrastructure.
It is not the intent of this document to impose:
— uniformity in the structure of different cocoa sustainability management systems;
— alignment of documentation to the clause structure of any part of the ISO 34101 series;
— the use of the specific terminology of the ISO 34101 series within the organization.
This document employs the process approach, the Plan-Do-Check-Act (PDCA) cycle and risk-based
thinking.
The process approach enables an organization to plan its processes and their interactions.
The PDCA cycle enables an organization to ensure that its processes are adequately resourced and
managed, and that opportunities for improvements are identified and acted on.
Risk-based thinking enables an organization to determine the factors that could cause its processes
and its cocoa sustainability management system to deviate from the planned results, to put in place
preventive controls to minimize negative effects and to make maximum use of opportunities as they
arise. Consistently meeting requirements and addressing future needs and expectations poses a
challenge for organizations in an increasingly dynamic and complex environment. To achieve this
objective, the organization might find it necessary to implement specific improvement measures in
addition to correction, corrective action and continual improvement, innovation and re-organization.
This document conforms to ISO’s requirements for management system standards. These requirements
include a high level structure, identical core text, and common terms with core definitions, designed to
benefit users implementing multiple ISO management system standards.
In this document:
— “shall” indicates a requirement;
— “should” indicates a recommendation;
— “may” indicates a permission;
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— “can” indicates a possibility or a capability.
Information marked “NOTE” is for guidance in understanding or clarifying the associated requirement.
0.3  Sustainability management principles
0.3.1  General
This document is based on cocoa sustainability management principles, which are:
— cocoa sustainability focus;
— leadership;
— engagement of people;
— process approach;
— improvement;
— knowledge-based decision making;
— relationship management.
Applying these principles is expected to help an organization to meet its cocoa sustainability objectives
and improve the livelihoods of registered farmers and their resilience.
0.3.2  Process approach
This document promotes the adoption of a process approach to meet the cocoa sustainability
requirements of interested parties when developing, implementing and improving the effectiveness of
a cocoa sustainability management system.
Understanding and managing interrelated processes as a system contributes to the organization’s
effectiveness and efficiency in achieving its intended results. This approach enables the organization to
monitor and control the interrelationships and interdependencies among the processes of the system
so that the overall performance of the organization can be enhanced.
The process approach involves the systematic definition and management of processes and their
interactions so as to achieve the intended results in accordance with the cocoa sustainability policy and
strategic direction of the organization. Management of the processes and the system as a whole can be
achieved using the PDCA cycle (see 0.3.3) with an overall focus on risk-based thinking (see 0.3.4) aimed
at taking advantage of opportunities and preventing undesirable results.
The application of the process approach in a cocoa sustainability management system enables:
a) understanding and consistency in meeting requirements;
b) the consideration of processes in terms of added value;
c) the achievement of effective process performance;
d) improvement of processes based on evaluation of data and information.
0.3.3  Plan-Do-Check-Act cycle
The PDCA cycle can be applied to all processes and to the cocoa sustainability management system as a
whole. Figure 1 illustrates how Clauses 4 to 10 can be grouped in relation to the PDCA cycle.
The PDCA cycle can be briefly described as follows:
— Plan: establish the objectives of the system and its processes, and the resources needed to deliver
results in accordance with customers’ requirements and the organization’s policies;
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— Do: implement what was planned;
— Check: monitor and (where applicable) measure processes and the resulting products and services
against policies, objectives and requirements and report the results;
— Act: take actions to improve performance, as necessary.
Figure 1 — Illustration of the structure of this document (including clause numbers) in the
PDCA cycle
0.3.4  Risk-based thinking
Risk-based thinking is essential for achieving an effective cocoa sustainability management system.
This is carried out through planning and implementing actions to address opportunities and risks.
Addressing both opportunities and risks establishes a basis for increasing the effectiveness of the
cocoa sustainability management system, achieving improved results and preventing negative effects.
Opportunities can arise as a result of a situation favourable to achieving an inten
...