Sustainable and traceable cocoa - Part 3: Requirements for traceability (ISO 34101-3:2019)

This European standard gives the principles and specifies basic requirements for the design and implementation of a traceability system in the sustainable cocoa supply chain. It can be applied by an organization operating at any step in the sustainable cocoa supply chain.

Nachhaltige und rückverfolgbare Kakaobohnen - Teil 3: Anforderungen für die Nachverfolgbarkeit (ISO 34101-3:2019)

Dieses Dokument legt grundlegende Anforderungen an die Einrichtung und Einführung von Rückverfolg-bar¬keitssystemen in der Kakaolieferkette für nachhaltig produzierten Kakao und Kakaoprodukte aus nach-haltig produzierten Kakaobohnen fest, die ISO 34101 2 und entweder ISO 34101 1 oder ISO 34101 4:2019, Anhang A oder B entsprechen, wie in der Einleitung beschrieben.
Dieses Dokument legt auch administrative Anforderungen an ein Massenbilanzsystem fest, wobei Kakao, der diesem Dokument entspricht, zusammen mit nicht konformem Kakao verwendet werden kann und die notwendige Rückverfolgbarkeit innerhalb eines Herstellungsprozesses bietet.
Dieses Dokument legt Anforderungen an die Rückverfolgbarkeit von nachhaltig produziertem Kakao, von der Organisation, die nachhaltig produzierte Kakaobohnen produziert, bis zu dem Punkt, an dem das fertige Handelsprodukt die Produktionsstätte verlässt, fest.
Dieses Dokument gilt nicht für ein Guthabensystem.

Cacao durable et traçable - Partie 3: Exigences de traçabilité (ISO 34101-3:2019)

Le présent document spécifie les exigences fondamentales s'appliquant à la conception et à la mise en œuvre de systèmes de traçabilité au sein de la chaîne d'approvisionnement du cacao pour les fèves de cacao produites de manière durable et les dérivés de cacao issus de fèves de cacao produites de manière durable, qui sont conformes à l'ISO 34101‑2 et à l'ISO 34101‑1 ou l'ISO 34101‑4:2019, Annexe A ou B, comme décrit dans l'Introduction.
Le présent document spécifie les exigences administratives relatives à un système de bilan massique dans lequel le cacao conforme au présent document peut être utilisé conjointement avec du cacao non conforme, et qui fournit la traçabilité nécessaire au sein d'un processus de fabrication.
Le présent document spécifie les exigences de traçabilité du cacao produit de manière durable, depuis l'organisme produisant des fèves de cacao produites de manière durable jusqu'au point de sortie de l'usine de fabrication du produit fini destiné à la vente au détail.
Ce document ne s'applique pas à un système de crédit.

Trajnost in sledljivost kakava - 3. del: Zahteve za sledljivost (ISO 34101-3:2019)

Ta evropski standard podaja načela in določa osnovne zahteve za načrtovanje in izvajanje sistema sledljivosti v trajnostni verigi dobave kakava. Lahko ga uporabljajo organizacije v katerem koli segmentu trajnostne verige dobave kakava.

General Information

Status
Published
Public Enquiry End Date
30-Nov-2016
Publication Date
26-Jun-2019
Technical Committee
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
13-Jun-2019
Due Date
18-Aug-2019
Completion Date
27-Jun-2019

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SLOVENSKI STANDARD
SIST EN ISO 34101-3:2019
01-september-2019
Trajnost in sledljivost kakava - 3. del: Zahteve za sledljivost (ISO 34101-3:2019)
Sustainable and traceable cocoa - Part 3: Requirements for traceability (ISO 34101-
3:2019)
Nachhaltige und rückverfolgbare Kakaobohnen - Teil 3: Anforderungen für die
Nachverfolgbarkeit (ISO 34101-3:2019)
Cacao durable et traçable - Partie 3: Exigences de traçabilité (ISO 34101-3:2019)
Ta slovenski standard je istoveten z: EN ISO 34101-3:2019
ICS:
67.140.30 Kakav Cocoa
SIST EN ISO 34101-3:2019 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST EN ISO 34101-3:2019

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SIST EN ISO 34101-3:2019


EN ISO 34101-3
EUROPEAN STANDARD

NORME EUROPÉENNE

June 2019
EUROPÄISCHE NORM
ICS 67.140.30
English Version

Sustainable and traceable cocoa - Part 3: Requirements for
traceability (ISO 34101-3:2019)
Cacao durable et traçable - Partie 3: Exigences de Nachhaltige und rückverfolgbare Kakaobohnen - Teil 3:
traçabilité (ISO 34101-3:2019) Anforderungen für die Nachverfolgbarkeit (ISO 34101-
3:2019)
This European Standard was approved by CEN on 8 July 2018.

CEN members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this
European Standard the status of a national standard without any alteration. Up-to-date lists and bibliographical references
concerning such national standards may be obtained on application to the CEN-CENELEC Management Centre or to any CEN
member.

This European Standard exists in three official versions (English, French, German). A version in any other language made by
translation under the responsibility of a CEN member into its own language and notified to the CEN-CENELEC Management
Centre has the same status as the official versions.

CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,
Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania,
Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland,
Turkey and United Kingdom.





EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION

EUROPÄISCHES KOMITEE FÜR NORMUNG

CEN-CENELEC Management Centre: Rue de la Science 23, B-1040 Brussels
© 2019 CEN All rights of exploitation in any form and by any means reserved Ref. No. EN ISO 34101-3:2019 E
worldwide for CEN national Members.

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SIST EN ISO 34101-3:2019
EN ISO 34101-3:2019 (E)
Contents Page
European foreword . 3

2

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SIST EN ISO 34101-3:2019
EN ISO 34101-3:2019 (E)
European foreword
This document (EN ISO 34101-3:2019) has been prepared by Technical Committee ISO/TC 34 "Food
products" in collaboration with Technical Committee CEN/TC 415 “Sustainable and Traceable Cocoa”
the secretariat of which is held by DS.
This European Standard shall be given the status of a national standard, either by publication of an
identical text or by endorsement, at the latest by December 2019, and conflicting national standards
shall be withdrawn at the latest by December 2019.
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. CEN shall not be held responsible for identifying any or all such patent rights.
According to the CEN-CENELEC Internal Regulations, the national standards organizations of the
following countries are bound to implement this European Standard: Austria, Belgium, Bulgaria,
Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia,
France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta,
Netherlands, Norway, Poland, Portugal, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland,
Turkey and the United Kingdom.
Endorsement notice
The text of ISO 34101-3:2019 has been approved by CEN as EN ISO 34101-3:2019 without any
modification.

3

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SIST EN ISO 34101-3:2019

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SIST EN ISO 34101-3:2019
INTERNATIONAL ISO
STANDARD 34101-3
First edition
2019-05
Sustainable and traceable cocoa —
Part 3:
Requirements for traceability
Cacao durable et traçable —
Partie 3: Exigences de traçabilité
Reference number
ISO 34101-3:2019(E)
©
ISO 2019

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SIST EN ISO 34101-3:2019
ISO 34101-3:2019(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
on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address
below or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Fax: +41 22 749 09 47
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii © ISO 2019 – All rights reserved

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SIST EN ISO 34101-3:2019
ISO 34101-3:2019(E)

Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Principles . 5
5 Objectives . 5
6 Documented information . 5
6.1 General . 5
6.2 Creating and updating documented information. 6
6.3 Control of documented information . 6
6.3.1 Purpose . 6
6.3.2 Actions . 6
7 Requirements . 6
7.1 General requirements . 6
7.1.1 Traceability system elements . 6
7.1.2 Traceability system requirements . 7
7.2 Organizational requirements . 7
7.3 Specific requirements for documentation . 7
7.3.1 Documentation elements . 7
7.3.2 Documentation requirements . 8
8 Physical traceability . 8
8.1 Identity preserved . 8
8.2 Cocoa segregation. 9
9 Administrative traceability — Mass balance system . 9
9.1 Principles . 9
9.2 Mass balance requirements .10
9.3 Mass balance administration .11
9.3.1 General.11
9.3.2 Single-site mass balance .11
9.3.3 Multi-site mass balance.12
10 Monitoring, measurements, analysis and evaluation .12
10.1 Monitoring .12
10.2 Internal audit .12
11 Improvement .13
11.1 Nonconformity and corrective actions .13
11.2 Continual improvement .13
12 Review .13
Annex A (normative) Documentation requirements .15
Annex B (informative) Guidance on and best practices for the implementation of a
traceability system .17
Annex C (informative) Mass balance .20
Bibliography .21
© ISO 2019 – All rights reserved iii

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SIST EN ISO 34101-3:2019
ISO 34101-3:2019(E)

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.
iv © ISO 2019 – All rights reserved

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SIST EN ISO 34101-3:2019
ISO 34101-3:2019(E)

Introduction
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 ISO 34101-1 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 ISO 34101-1 or ISO 34101-4 as follows:
— entry: ISO 34101-4:2019, Annex A;
— medium: ISO 34101-4:2019, Annex B;
— high: ISO 34101-1.
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 ISO 34101-1 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.
This document 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.

© ISO 2019 – All rights reserved v

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SIST EN ISO 34101-3:2019
ISO 34101-3:2019(E)

Document Subject Intended to be applied by
ISO 34101-1 High-level requirements for cocoa Registered cocoa farmers and organizations that are
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).
This Requirements for traceability. The cocoa supply chain actors.
document
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 ISO 34101-1.) or medium-level requirements for cocoa sustainability
management systems.
This document specifies the requirements for the traceability of sustainably produced cocoa. A
traceability system for sustainably produced cocoa is a technical tool to assist a cocoa supply chain actor
operating within a cocoa supply chain to achieve defined sustainable cocoa objectives. The complexity
of the traceability system for sustainably produced cocoa may vary depending upon requirements of
each stage of the cocoa supply chain and the objectives to be achieved.
It is intended to be flexible enough to allow cocoa supply chain actors within the sustainably
produced cocoa supply chain to achieve identified objectives but robust enough to ensure credible
implementation. The choice of a traceability system for sustainably produced cocoa is influenced by
applicable requirements, product characteristics and customer expectations.
Traceability determines the history or location of sustainably produced cocoa. Due to the complexity of
the cocoa supply chain, mass balance is an acceptable traceability system in this document.
The mass balance system administratively monitors the trade of conforming cocoa throughout the
cocoa supply chain, and facilitates the development of mainstream trade in sustainably produced
cocoa. The mass balance system allows everyone within the cocoa supply chain to demonstrate their
commitment to sustainable cocoa production.
Traceability requires the engagement and collaboration of actors along the entire cocoa supply chain.
Developments in technology and demands for greater transparency from both business and government
sectors are making this increasingly more manageable.
The implementation by a cocoa supply chain actor of a traceability system for sustainably produced
cocoa depends on technical limits inherent to the cocoa supply chain actor and the cocoa (e.g. the
nature of the raw cocoa, size of the lots, collection, handling, transport, production and processing
procedures), and the cost and benefits of applying such a system.
In this document:
— “shall” indicates a requirement;
— “should” indicates a recommendation;
vi © ISO 2019 – All rights reserved

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SIST EN ISO 34101-3:2019
ISO 34101-3:2019(E)

— “may” indicates a permission;
— “can” indicates a possibility or a capability.
Information marked “NOTE” is for guidance in understanding or clarifying the associated requirement.
© ISO 2019 – All rights reserved vii

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SIST EN ISO 34101-3:2019

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SIST EN ISO 34101-3:2019
INTERNATIONAL STANDARD ISO 34101-3:2019(E)
Sustainable and traceable cocoa —
Part 3:
Requirements for traceability
1 Scope
This document specifies basic requirements for the design and implementation of traceability systems
within the cocoa supply chain for sustainably produced cocoa beans and cocoa products derived from
sustainably produced cocoa beans that conform to ISO 34101-2 and either ISO 34101-1 or
ISO 34101-4:2019, Annex A or B, as described in the Introduction.
This document also specifies administrative requirements for a mass balance system whereby cocoa
conforming to this document can be used together with nonconforming cocoa and which provides the
necessary traceability within a manufacturing process.
This document specifies requirements for traceability of sustainably produced cocoa from an
organization that is sustainably producing cocoa beans to the point of exit from the manufacturer of
the final retail product.
This document does not apply to a credit system.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 34101-1 and the following apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https: //www .iso .org/obp
— IEC Electropedia: available at http: //www .electropedia .org/
3.1
audit
systematic, independent and documented process (3.20) for obtaining objective evidence and evaluating
it objectively to determine the extent to which the audit criteria are fulfilled
Note 1 to entry: An audit can be an internal audit (first party), or an external audit (second party or third party),
and it can be a combined audit (combining two or more disciplines).
Note 2 to entry: An internal audit is conducted by the organization (3.19) itself, or by an external party on its behalf.
Note 3 to entry: “Audit evidence” and “audit criteria” are defined in ISO 19011.
Note 4 to entry: External audits include those generally called second and third-party audits. Second-party audits
are conducted by parties having an interest in the organization, such as customers, or by other persons on their
behalf. Third-party audits are conducted by external, independent auditing organizations.
[SOURCE: ISO 34101-1:2019, 3.2, modified — Note 5 to entry has been deleted.]
© ISO 2019 – All rights reserved 1

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SIST EN ISO 34101-3:2019
ISO 34101-3:2019(E)

3.2
cocoa
cocoa beans (3.3) or derived products (3.21)
[SOURCE: ISO 34101-1:2019, 3.7]
3.3
cocoa bean
seed of the cocoa tree (Theobroma cacao Linnaeus)
Note 1 to entry: Commercially, and for the purposes of this document, the term refers to the whole seed, which
has been fermented and dried.
[SOURCE: ISO 2451:2017, 3.5]
3.4
cocoa product
product (3.21) derived from the processing of the cocoa bean (3.3), including nibs, cocoa liquor/mass,
cocoa butter, cocoa cake and cocoa powder
3.5
cocoa supply chain
sequence of the stages and operations involved in the movement and processing of cocoa (3.2), from
farm to the point of exit from the factory door of the manufacturer of the final retail product (3.21)
3.6
cocoa supply chain actor
organization (3.19) that physically handles, takes legal ownership or makes claims of sustainably
produced cocoa (3.27)
Note 1 to entry: The requirements for sustainably produced cocoa are specified in ISO 34101-2 and either
ISO 34101-1 or ISO 34101-4:2019, Annex A or B, as described in the Introduction.
3.7
competence
ability to apply knowledge and skills to achieve intended results
Note 1 to entry: Demonstrated competence is sometimes referred to as qualification.
[SOURCE: ISO 34101-1:2019, 3.15, modified — Note 2 to entry has been deleted.]
3.8
conformity
fulfilment of a requirement
[SOURCE: ISO 34101-1:2019, 3.16, modified — Note 1 to entry has been deleted.]
3.9
corrective action
action to eliminate the cause of a nonconformity and to prevent recurrence
Note 1 to entry: There can be more than one cause for a nonconformity.
Note 2 to entry: Corrective action is taken to prevent recurrence whereas preventive action is taken to prevent
occurrence.
[SOURCE: ISO 34101-1:2019, 3.20, modified — Note 3 to entry has been deleted.]
3.10
flow of cocoa
movement of cocoa (3.2) at any point in the cocoa supply chain (3.5)
2 © ISO 2019 – All rights reserved

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SIST EN ISO 34101-3:2019
ISO 34101-3:2019(E)

3.11
flushing
cleaning equipment used in a process (3.20) to be able to start a new process to reduce contamination
to an agreed level
Note 1 to entry: In this document, contamination could be a mixture of sustainably produced cocoa (3.27) and
non-sustainably produced cocoa.
3.12
identity
characteristics of cocoa (3.2) maintained to determine its origin
3.13
identity preserved
IP
maintained segregation (3.22) and documented identity (3.12) of cocoa (3.2) from an organization (3.19)
that is sustainably producing cocoa beans (3.3) (e.g. an individual farmer or a group of registered farmers)
throughout the whole cocoa supply chain (3.5) until manufacture of final consumer product (3.21)
3.14
location
place of production, processing, distribution, storage or handling from primary production to
consumption
3.15
lot
set (3.23) of units of cocoa (3.2) in bags or in bulk established at any point in the cocoa supply chain
(3.5) or a set of units of cocoa which have been produced and/or processed or packaged under similar
circumstances
Note 1 to entry: The lot is determined by parameters established beforehand by the cocoa supply chain actor (3.6).
Note 2 to entry: A set of units may be reduced to a single unit of product (3.21).
Note 3 to entry: Lot can also be expressed as “batch” when applied to goods produced by the industrial processing
of cocoa.
3.16
mass balance administration
cocoa supply chain (3.5) model for mixing and/or substitution (3.26) of sustainably produced cocoa (3.27)
3.17
multi-site mass balance
mass balance administration (3.16) performed at multiple sites (3.25) within one cocoa supply chain
actor (3.6)
3.18
one step forward and one step back
identification from where the cocoa (3.2) came and to where the cocoa went
[6]
[SOURCE: CAC/GL 60 2006, modified — In the definition, “food” has been substituted by “cocoa”.]
3.19
organization
person or group of people that has its own functions with responsibilities, authorities and relationships
to achieve its objectives
Note 1 to entry: The concept of organization includes, but is not limited to sole-trader, cooperative (coop),
company, corporation, firm, enterprise, authority, partnership, association, charity or institution, or part or
combination thereof, whether incorporated or not, public or private.
© ISO 2019 – All rights reserved 3

------
...

SLOVENSKI STANDARD
oSIST prEN ISO 34101-3:2016
01-november-2016
Trajnost in sledljivost kakavovih zrn - 3. del: Zahteve za sledljivost (ISO/DIS 34101-
3:2016)
Sustainable and traceable cocoa beans - Part 3: Requirements for traceability (ISO/DIS
34101-3:2016)
Nachhaltige und rückverfolgbare Kakaobohnen - Teil 3: Anforderungen für die
Nachverfolgbarkeit (ISO/DIS 34101-3:2016)
Fèves de cacao durable et traçable - Partie 3: Exigences de traçabilité (ISO/DIS 34101-
3:2016)
Ta slovenski standard je istoveten z: prEN ISO 34101-3
ICS:
67.140.30 Kakav Cocoa
oSIST prEN ISO 34101-3:2016 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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oSIST prEN ISO 34101-3:2016

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oSIST prEN ISO 34101-3:2016
DRAFT INTERNATIONAL STANDARD
ISO/DIS 34101-3
ISO/TC 34/SC 18 Secretariat: NEN
Voting begins on: Voting terminates on:
2016-09-12 2016-12-04
Sustainable and traceable cocoa beans —
Part 3:
Requirements for traceability
Fèves de cacao durable et traçable —
Partie 3: Exigences de traçabilité
ICS: 67.140.30
THIS DOCUMENT IS A DRAFT CIRCULATED
This document is circulated as received from the committee secretariat.
FOR COMMENT AND APPROVAL. IT IS
THEREFORE SUBJECT TO CHANGE AND MAY
NOT BE REFERRED TO AS AN INTERNATIONAL
STANDARD UNTIL PUBLISHED AS SUCH.
IN ADDITION TO THEIR EVALUATION AS
ISO/CEN PARALLEL PROCESSING
BEING ACCEPTABLE FOR INDUSTRIAL,
TECHNOLOGICAL, COMMERCIAL AND
USER PURPOSES, DRAFT INTERNATIONAL
STANDARDS MAY ON OCCASION HAVE TO
BE CONSIDERED IN THE LIGHT OF THEIR
POTENTIAL TO BECOME STANDARDS TO
WHICH REFERENCE MAY BE MADE IN
Reference number
NATIONAL REGULATIONS.
ISO/DIS 34101-3:2016(E)
RECIPIENTS OF THIS DRAFT ARE INVITED
TO SUBMIT, WITH THEIR COMMENTS,
NOTIFICATION OF ANY RELEVANT PATENT
RIGHTS OF WHICH THEY ARE AWARE AND TO
©
PROVIDE SUPPORTING DOCUMENTATION. ISO 2016

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oSIST prEN ISO 34101-3:2016
ISO/DIS 34101-3:2016(E)

COPYRIGHT PROTECTED DOCUMENT
© ISO 2016, Published in Switzerland
All rights reserved. Unless otherwise specified, 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 on the internet or an intranet, without prior
written permission. Permission can be requested from either ISO at the address below or ISO’s member body in the country of
the requester.
ISO copyright office
Ch. de Blandonnet 8 • CP 401
CH-1214 Vernier, Geneva, Switzerland
Tel. +41 22 749 01 11
Fax +41 22 749 09 47
copyright@iso.org
www.iso.org
ii © ISO 2016 – All rights reserved

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oSIST prEN ISO 34101-3:2016
ISO/DIS 34101-3:2016(E)

Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Principles and objectives . 5
4.1 General . 5
4.2 Documentation requirements. 6
5 Record keeping . 6
6 Physical traceability . 7
6.1 Identity preserved (IP) . 7
6.2 Segregation . 7
7 Conformity claims — Mass balance (MB) . 8
7.1 Principles . 8
7.2 Mass balance supply chain requirements . 9
7.3 Mass balance administration .10
7.3.1 General.10
7.3.2 Single-site mass balance .10
7.3.3 Multi-site mass balance.10
8 Improvement .11
8.1 Nonconformity and corrective actions .11
8.2 Continual improvement .11
8.3 Cocoa supply chain coordination .11
9 Implementation .12
9.1 General .12
9.2 Traceability procedure .12
9.3 Responsibilities .12
9.4 Training plan .12
9.5 Monitoring .12
9.6 Key performance indicators .12
9.7 Internal audit .12
10 Review .13
Annex A (normative) Documentation requirements .14
Annex B (informative) Rationale for business guidance .17
Annex C (informative) Mass balance .20
Bibliography .23
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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. 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. 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 on the meaning of ISO specific terms and expressions related to conformity
assessment, as well as information about ISO’s adherence to the WTO principles in the Technical
Barriers to Trade (TBT) see the following URL: Foreword - Supplementary information
The committee responsible for this document is ISO/TC xxx.
A list of all parts in the ISO 34101- series can be found on the ISO website.
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Introduction
The ISO 34101- series consists of International Standards and Technical Specifications with the
intended purpose as given in the table below.
Requirements/
ISO Publication Subject Intended to be applied by
Guidance
ISO 34101-1 Management of cocoa bean Registered cocoa farmers and organiza- Requirements
production tions producing sustainable cocoa beans
ISO 34101-2 Performance of cocoa bean
production
ISO 34101-3 Traceability of sustainably The cocoa supply chain actors Requirements
produced cocoa beans and
derived products
ISO 34101-4 Sustainable and traceable Certification scheme owners and con- Requirements
cocoa certification scheme formity assessment bodies certifying
conformity to the ISO 34101-series and
organizations wishing to make claims of
conformity
ISO/TS 34101-5 Guidance on application of Organizations wishing to implement Guidance
ISO 34101-series standards within the ISO 34101-series
and those assisting them in applying the
standards
NOTE   ISO/TS 34101-5 is not yet registered in the ISO database.
A traceability system for sustainably produced cocoa is a technical tool to assist an organization
operating within a cocoa supply chain to achieve defined sustainable cocoa objectives. The complexity
of the traceability system for sustainably produced cocoa can vary depending on the features of the
product and the objectives to be achieved. It is intended to be flexible enough to allow organizations
within the sustainably produced cocoa bean and/or product supply chain to achieve identified
objectives but rigid enough to ensure credible implementation. The choice of a traceability system
for sustainably produced cocoa is influenced by regulations, product characteristics and customer
expectations. Traceability is to determine the history or location of sustainably produced cocoa beans
and/or products. Due to the complexity of supply chain, mass balance is an acceptable supply chain
system in this document.
The mass balance supply chain model administratively monitors the trade of conforming cocoa
products throughout the entire supply chain, as a driver for mainstream trade in sustainably produced
cocoa beans and/or products. The mass balance supply chain model allows everyone within the supply
chain to demonstrate their commitment to sustainably produced cocoa bean and/or product production
and to actively promote the trading of conforming cocoa to reach a mainstream level of sustainably
produced cocoa bean and/or product trade.
Traceability requires the engagement and collaboration of actors along the entire supply chain to trace
a product’s history. Developments in technology and demands for greater transparency from both
business and government sectors are making this increasingly more manageable.
The implementation by an organization of a traceability system for sustainably produced cocoa depends
on technical limits inherent to the organization and products (i.e. nature of the raw cocoa beans and
cocoa products, size of the lots, collection, handling, transport, production and processing procedures),
and the cost and benefits of applying such a system.
In this document:
— “shall” and 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.
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DRAFT INTERNATIONAL STANDARD ISO/DIS 34101-3:2016(E)
Sustainable and traceable cocoa beans —
Part 3:
Requirements for traceability
1 Scope
This document specifies basic requirements for the design and implementation of a physical traceability
or conformity claim mass balance system to trace the flow, both physically and/or administratively, of
cocoa beans and cocoa products derived from those beans. This document specifies requirements for
cocoa beans conforming to the requirements of ISO 34101-1 and ISO 34101-2 and derivative products
from those beans. This document specifies verifiable requirements from an organization to the point of
exit from the manufacturer of the final retail product.
This document does not cover a credit system.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO 34101-1:20##, Sustainable and traceable cocoa — Part 1: Requirements for sustainability
management systems
ISO 34101-2:20##, Sustainable and traceable cocoa — Part 2: Requirements for performance (profit,
people and planet related)
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— IEC Electropedia: available at http://www.electropedia.org/
— ISO Online browsing platform: available at http://www.iso.org/obp.
3.1
audit
systematic and independent and documented process for obtaining objective evidence and evaluating it
objectively to determine the extent to which the audit criteria are fulfilled
Note 1 to entry: An audit can be an internal audit (first party), or an external audit (second party or third
party), and it can be a combined audit (combining two or more disciplines, e.g. quality management and cocoa
sustainability management).
Note 2 to entry: An internal audit is conducted by the organization (3.19) itself, or by an external party on its behalf.
Note 3 to entry: “Audit evidence” and “audit criteria” are defined in ISO 19011 and in 3.5 and 3.4 respectively.
Note 4 to entry: External audits include those generally called second and third-party audits. Second party audits
are conducted by parties having an interest in the organization (3.19), such as customers, or by other persons on
their behalf. Third-party audits are conducted by external, independent auditing organizations (3.19).
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3.2
audit findings
results of the evaluation of the collected audit evidence against audit criteria
Note 1 to entry: Audit findings indicate conformity (3.7) or nonconformity.
Note 2 to entry: Audit findings can lead to the identification of opportunities for improvement or recording good
practices.
Note 3 to entry: In English, if the audit criteria is selected from statutory requirements or regulatory
requirements, the audit finding can be called compliance or non-compliance.
3.3
cocoa bean
seed of the cocoa tree (Theobroma cacao Linnaeus)
[SOURCE: ISO 2451:2014, 3.5]
3.4
cocoa product
product (3.21) derived from the processing of the cocoa bean (3.3), including nibs, cocoa liquor/mass,
cocoa butter, cocoa cake and cocoa powder
3.5
cocoa supply chain
sequence of the stages and operations involved in the movement of cocoa beans (3.3) and processing
of cocoa products (3.4), from farm to the point of exit from the factory door of the manufacturer of the
final retail product (3.21)
3.6
competence
ability to apply knowledge and skills to achieve intended results
Note 1 to entry: Demonstrated competence is sometimes referred to as qualification.
3.7
conformity
fulfilment of a requirement
3.8
corrective action
action to eliminate the cause of a nonconformity (3.7) and to prevent recurrence
Note 1 to entry: There can be more than one cause for a nonconformity.
Note 2 to entry: Corrective action is taken to prevent recurrence whereas preventive action is taken to prevent
occurrence.
3.9
data
facts about an object
3.10
flow of cocoa beans and cocoa products
movement of cocoa beans (3.3) and cocoa products (3.4) at any point in the cocoa supply chain (3.5)
3.11
flushing
cleaning equipment of a process (3.20) to be able to start a new process (3.20) to reduce contamination
to an agreed level
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3.12
identity
characteristics of a product (3.21) maintained to determine its origin
3.13
identity preservation
IP
process (3.20) or system of maintaining the segregation (3.22) and documenting the identity (3.12) of
the cocoa beans (3.3) and cocoa products (3.4) from one organization (3.19) (e.g. an individual farmer or
a group of registered farmers) throughout the whole supply chain until manufacture of final consumer
product (3.21)
3.14
location
place of production, processing, distribution, storage or handling from primary production to
consumption
3.15
lot
set of units of a product (3.21) which have been produced and/or processed or packaged under similar
circumstances
Note 1 to entry: The lot is determined by parameters established beforehand by the organization (3.19).
Note 2 to entry: A set of units may be reduced to a single unit of product (3.21).
[SOURCE: ISO 22005:2007, 3.3]
3.16
mass balance administration
system kept under one central administration
3.17
multi-site mass balance
guarantee provided by the organization (3.19) of the conformance of multiple sites (3.25) belonging to
one mass balance administration (3.16)
3.18
one step forward, one step back
from where the cocoa beans (3.3)/cocoa product (3.4) came and to where the cocoa beans (3.3)/cocoa
product (3.4) went
[SOURCE: Codex Alimentarius: “Principles for traceability/Product tracing as a tool within a food
inspection and certification system” (CAC/GL 60-2006), modified – “food” has been substituted by
“cocoa beans (3.3)/cocoa product (3.4)”]
3.19
organization
person or group of people that has its own functions with responsibilities, authorities and relationships
to achieve its objectives in relation to sustainably production of cocoa beans (3.3)
Note 1 to entry: The concept of organization includes, but is not limited to sole-trader, cooperative (coop),
registered farmer, company, corporation, firm, enterprise, authority, partnership, association, charity or
institution, or part or combination thereof, whether incorporated or not, public or private.
Note 2 to entry: A cooperative can constitute the organization and the “scope of the system”.
Note 3 to entry: A non-farming company and registered farmers can constitute the organization.
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3.20
process
set (3.23) of interrelated or interacting activities which transforms inputs into outputs
Note 1 to entry: Inputs to a process are generally outputs of other processes.
Note 2 to entry: Processes in an organization (3.19) are generally planned and carried out under controlled
conditions to add value.
3.21
product
output of an organization (3.19) that can be produced without any transaction taking place between the
organization (3.19) and the customer
Note 1 to entry: Production of a product is achieved without any transaction necessarily taking place between
provider and customer, but can often involve this service element upon its delivery to the customer.
Note 2 to entry: The dominant element of a product is that it is generally tangible.
3.22
segregation
process (3.20) that separates conforming from nonconforming cocoa beans (3.3) and/or cocoa products
(3.4) but allows mixing of conforming cocoa beans (3.3.) and/or cocoa products (3.4) from different
organizations (3.19)
3.23
set
number of similar activities in different locations (3.14) falling under the same multi-site mass balance
(3.17) system
Note 1 to entry: Examples are roasting and grinding.
3.24
single-site mass balance
guarantee provided by the organization (3.19) of the conformity (3.7) or the conformance of a single
site (3.25)
3.25
site
location (3.14) where value-added manufacturing processes (3.20) occur
3.26
substitution
specific amount of conforming cocoa beans (3.3) or conforming cocoa products (3.4) that can be substituted
for the same amount of nonconforming cocoa beans (3.3) or nonconforming cocoa products (3.4)
3.27
sustainably produced cocoa beans
cocoa beans (3.3) that are produced in an economically viable, environmentally sound and socially
responsible manner, within an organization (3.19)
3.28
traceability
ability to follow the physical movement and/or mass conformity (3.7) of sustainably produced cocoa
beans (3.27) through specified stage(s) of production, processing and distribution
3.29
traceability system
totality of data (3.9) and operations that is capable of maintaining desired information about a product
(3.21) and its components through all or part of its production and/or utilization chain
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4 Principles and objectives
4.1 General
The objective of traceability should be to improve transparency and contribute to accountability in the
value chain.
Traceability systems for sustainably produced cocoa beans shall be able to document the history of the
product and/or locate a product in the cocoa supply chain. Traceability systems for sustainably produced
cocoa beans should contribute to the identification of the cause of nonconformity. Traceability systems
for sustainably produced cocoa beans can improve appropriate use and reliability of information,
effectiveness and productivity of the organization.
Traceability systems for sustainably produced cocoa beans should be able to achieve the objectives as
outlined below from a technical and economic point of view.
Traceability should relate to the origin of the sustainably produced cocoa beans and/or products,
processing history or movement of the cocoa beans or cocoa products in the cocoa supply chain, and
shall address at least one-step forward and one-step back for each organization in the cocoa supply
chain. On agreement amongst the organizations concerned, it may apply to more than one part of the
cocoa supply chain. The organization shall identify the relevant cocoa beans and cocoa products for
which the objectives of its traceability system for sustainably produced cocoa beans apply.
Each element of a traceability system for sustainably produced cocoa beans shall be considered and
justified on a case-by-case basis, taking into account the objectives to be achieved.
In the design of a traceability system for sustainably produced cocoa beans, the following shall be
included:
a) objectives;
b) applicable statutory and regulatory requirements;
c) cocoa beans and cocoa products;
d) position in the cocoa supply chain;
e) flow of sustainably produced cocoa beans and/or products;
f) procedures;
g) documentation.
In developing a traceability system for sustainably produced cocoa beans, specific objectives shall be
achieved. These objectives shall take into consideration the following principles.
The traceability systems for sustainably produced cocoa beans:
— shall be verifiable;
— shall be applied consistently and equitably;
— shall be results oriented;
— shall be credibly implemented;
— shall be compliant with applicable statutory and regulatory requirements;
— should be cost effective;
— should be practical to apply;
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— should be compliant with defined accuracy requirements for the measurement of cocoa beans and
cocoa products.
The choice of a traceability system for sustainably produced cocoa beans should result from balancing
the different requirements, the technical feasibility and the economic acceptability. The organization
shall only use the same traceability system as its supplier or go to a less strict system. Downgrading
shall only be done in the following order:
— Identity Preserved → Segregated → Mass Balance → Nonconforming cocoa products
4.2 Documentation requirements
The organization shall determine which documents are required to achieve the objectives of its
traceability system.
Documentation shall include, as a minimum:
— a description of the relevant steps in the chain,
— a description of the responsibilities for the management of traceability data,
— written or recorded information documenting the traceability activities and manufacturing process,
flows and results of traceability verification and audits,
— documentation addressing action taken to manage nonconformity related to the established
traceability system, and
— document retention times.
5 Record keeping
The organization shall maintain accurate, complete, up-to-date and accessible records and reports
covering all aspects of these requirements. All records and reports shall be kept for a period of at
least five (5) years. The traceability system for sustainably produced cocoa beans used shall be clearly
defined at all times. The organization shall provide documented proof that conforming cocoa products
can be traced one step forward and one step back.
The organization shall determine its position in the cocoa supply chain by at least identifying its
...

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