EN ISO 34101-1:2020

SLOVENSKI STANDARD
01-oktober-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: EN ISO 34101-1:2020
ICS:
67.140.30 Kakav Cocoa
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

EN ISO 34101-1
EUROPEAN STANDARD
NORME EUROPÉENNE
June 2020
EUROPÄISCHE NORM
ICS 67.140.30
English Version
Sustainable and traceable cocoa - Part 1: Requirements for
cocoa sustainability management systems (ISO 34101-
1:2019)
Cacao durable et traçable - Partie 1: Exigences relatives Nachhaltiger und rückverfolgbarer Kakao - Teil 1:
aux systèmes de management de la durabilité du cacao Anforderungen an Managementsysteme für die
(ISO 34101-1:2019) Nachhaltigkeit (ISO 34101-1:2019)
This European Standard was approved by CEN on 15 June 2020.

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, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway,
Poland, Portugal, Republic of North Macedonia, 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
© 2020 CEN All rights of exploitation in any form and by any means reserved Ref. No. EN ISO 34101-1:2020 E
worldwide for CEN national Members.

Contents Page
European foreword . 3

European foreword
The text of ISO 34101-1:2019 has been prepared by Technical Committee ISO/TC 34 "Food products” of
the International Organization for Standardization (ISO) and has been taken over as EN ISO 34101-
1:2020 by 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 2020, and conflicting national standards
shall be withdrawn at the latest by December 2020.
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, France, Germany, Greece, Hungary, Iceland,
Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Republic of
North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the
United Kingdom.
Endorsement notice
The text of ISO 34101-1:2019 has been approved by CEN as EN ISO 34101-1:2020 without any
modification.
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
ISO 34101-1:2019(E)
© 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
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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

ISO 34101-1:2019(E)
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
ISO 34101-1:2019(E)
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
iv © ISO 2019 – All rights reserved

ISO 34101-1:2019(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.
ISO 34101-1:2019(E)
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.

vi © ISO 2019 – All rights reserved

ISO 34101-1:2019(E)
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;
ISO 34101-1:2019(E)
— 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;
viii © ISO 2019 – All rights reserved

ISO 34101-1:2019(E)
— “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;
ISO 34101-1:2019(E)
— 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 intended result, for
example, an option to attract customers, develop new products and services, reduce waste or improve
productivity. Risk is the effect of uncertainty in achieving objectives and any such uncertainty can have
positive or negative effects. Actions to address opportunities will lead to associated risks.
x © ISO 2019 – All rights reserved

INTERNATIONAL STANDARD ISO 34101-1:2019(E)
Sustainable and traceable cocoa —
Part 1:
Requirements for cocoa sustainability management systems
1 Scope
This document specifies high-level requirements for management systems for sustainable cocoa bean
production, including post-harvest processes, if applicable, and traceability of the sustainably produced
cocoa beans within the organization producing the cocoa beans.
NOTE 1 Post-harvest processes include pod-breaking, fermentation, drying, sorting, packing, transport and
storage of cocoa beans.
Only organizations that fulfil both the cocoa sustainability management system requirements of either
this document or ISO 34101-4:2019, Annex A or B, and the performance requirements of ISO 34101-2
can claim their cocoa beans have been sustainably produced.
NOTE 2 ISO 34101-4 specifies the requirements for cocoa sustainability management systems at entry and
medium levels.
2 Normative references
There are no normative references in this document.
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:
— ISO Online browsing platform: available at https: //www .iso .org/obp
— IEC Electropedia: available at http: //www .electropedia .org/
3.1
annual work plan
information maintained by the organization (3.38) explaining how processes (3.43) are established and
maintained
3.2
audit
systematic, independent and documented process (3.43) for obtaining objective evidence (3.37) and
evaluating it objectively to determine the extent to which the audit criteria (3.3) 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 (3.2) is conducted by the organization (3.38) itself, or by an external party on
its behalf.
Note 3 to entry: “Audit evidence” and “audit criteria” (3.3) are defined in ISO 19011.
ISO 34101-1:2019(E)
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 (3.22), or by other persons on
their behalf. Third party audits are conducted by external, independent auditing organizations.
Note 5 to entry: This constitutes one of the common terms and core definitions of the high level structure for
ISO management system standards. The original definition has been modified to remove effect of circularity
between audit criteria and audit evidence term entries, and Note 4 to entry has been added.
3.3
audit criteria
set of requirements (3.46) used as a reference against which objective evidence (3.37) is compared
[SOURCE: ISO 19011:2018, 3.7, modified — Notes 1 and 2 to entry have been deleted.]
3.4
child
human being below the age of 18 years
Note 1 to entry: As defined in the United Nations Convention on the Rights of the Child and referred to in ILO
[9]
Convention 182 .
Note 2 to entry: National applicable statutory or regulatory requirements may define a different age limit for a child.
3.5
child labour
work that deprives children (3.4) of their childhood, their potential and their dignity, and that is harmful
to their physical and mental development
Note 1 to entry: Child labour specifically refers to work, hazardous or not, that is mentally, physically, socially
or morally dangerous and harmful to children, and interferes with their schooling by depriving them of the
opportunity to attend school, or obliging them to leave school prematurely, or requiring them to attempt to
combine school attendance with excessively long and heavy work.
Note 2 to entry: Child labour is differentiated from child/light work.
[8]
Note 3 to entry: Child labour is described in ILO Convention 138 .
[10]
[SOURCE: ILO, What is child labour ]
3.6
coaching
further specialist training or support to an individual farmer (3.25) or group of farmers as appropriate
3.7
cocoa
cocoa beans (3.8) or derived products
3.8
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]
3.9
cocoa farm
one or several cocoa fields (3.11)
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ISO 34101-1:2019(E)
3.10
cocoa farm development plan
CFDP
documented information (3.23) to guide individual registered farmers (3.45), using a stepwise approach,
towards sustainable cocoa farm (3.9) management
3.11
cocoa field
plot of land on which cocoa trees are planted in clearly definable and homogeneous areas intended for
cocoa bean production
Note 1 to entry: Parameters for homogeneous areas can be planting materials, good agricultural practices, soil
fertility and farm conditions such as age and density of the trees.
Note 2 to entry: A cocoa field can include other crops additional to cocoa trees.
3.12
cocoa sustainability management system
management system (3.32) to direct and control an organization (3.38) with regard to sustainable cocoa
production
3.13
cocoa sustainability objective
objective related to sustainability of cocoa production (3.52)
Note 1 to entry: Cocoa sustainability objectives are generally based on the organization’s (3.38) cocoa
sustainability policy (3.14).
Note 2 to entry: Cocoa sustainability objectives are generally specified for relevant functions, levels and processes
(3.43) in the organization.
3.14
cocoa sustainability policy
policy related to sustainability of cocoa production (3.52)
Note 1 to entry: Generally, the cocoa sustainability policy is consistent with the overall policy of the organization
(3.38), can be aligned with the organization’s vision and mission, and provides a framework for the setting of
cocoa sustainability objectives (3.13).
3.15
competence
ability to apply knowledge and skills to achieve intended results
Note 1 to entry: Demonstrated competence is sometimes referred to as qualification.
Note 2 to entry: This constitutes one of the common terms and core definitions of the high level structure for ISO
management system standards. The original definition has been modified by adding Note 1 to entry.
3.16
conformity
fulfilment of a requirement (3.46)
Note 1 to entry: This constitutes one of the common terms and core definitions of the high level structure for ISO
management system standards.
3.17
context of the organization
combination of internal and external issues that can have an effect on an organization’s (3.38) approach
to developing and achieving its objectives (3.36)
Note 1 to entry: The concept of context of the organization is equally applicable to not-for-profit or public service
organizations as it is to those seeking profits.
ISO 34101-1:2019(E)
Note 2 to entry: In English, this concept is often referred to by other phrases such as business environment,
organizational environment or “ecosystem of an organization”.
[SOURCE: ISO 9000:2015, 3.2.2, modified — Note 1 to entry has been deleted and Notes 2 and 3 to entry
have been renumbered.]
3.18
continual improvement
recurring activity to enhance performance (3.40)
Note 1 to entry: The process (3.43) of establishing objectives (3.36) and finding opportunities for improvement
is a continual process through the use of assessment and audit (3.2), analysis of data, management reviews or
other means.
Note 2 to entry: This constitutes one of the common terms and core definitions of the high level structure for ISO
management system standards. The original definition has been modified by adding Note 1 to entry.
3.19
correction
action to eliminate a detected nonconformity (3.35)
Note 1 to entry: A correction can be made in advance of, in conjunction with or after a corrective action (3.20).
[SOURCE: ISO 9000:2015, 3.12.3, modified — Note 2 to entry has been deleted.]
3.20
corrective action
action to eliminate the cause of a nonconformity (3.35) 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.
Note 3 to entry: This constitutes one of the common terms and core definitions of the high level structure for ISO
management system standards. The original definition has been modified by adding Notes 1 and 2 to entry.
3.21
cost recovery mechanisms
contractual agreements allowing first buyers or external interested parties (3.30) to recoup all or part
of their investment in the start-up costs of implementation (3.49)
EXAMPLE Cost recovery mechanisms may include long-term relationships or agreements for right of first
refusal.
3.22
customer
person or organization (3.38) that could or does receive a product or a service that is intended for or
required by this person or organization
EXAMPLE Consumer, client, end-user, retailer or receiver of product or service from an internal process,
beneficiary or purchaser.
Note 1 to entry: A customer can be internal or external to the organization.
[SOURCE: ISO 9000:2015, 3.2.4]
3.23
documented information
information required to be controlled and maintained by an organization (3.38) and the medium on
which it is contained
Note 1 to entry: Documented information can be in any format and media and from any source.
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ISO 34101-1:2019(E)
Note 2 to entry: Documented information can refer to:
— the management system (3.32), including related processes (3.43);
— information created in order for the organization to operate (documentation);
— evidence of results achieved (records).
Note 3 to entry: This constitutes one of the common terms and core definitions of the high level structure for ISO
management system standards.
3.24
effectiveness
extent to which planned activities are realized and planned results are achieved
Note 1 to entry: This constitutes one of the common terms and core definitions of the high level structure
...