FprEN ISO 34101-1

SLOVENSKI STANDARD
oSIST prEN ISO 34101-1:2016
01-november-2016
Trajnost in sledljivost kakavovih zrn - 1. del: Zahteve za sisteme upravljanja
trajnosti (ISO/DIS 34101-1:2016)
Sustainable and traceable cocoa beans - Part 1: Requirements for sustainability
management systems (ISO/DIS 34101-1:2016)
Nachhaltige und rückverfolgbare Kakaobohnen - Teil 1: Anforderungen für
Managementsysteme für die Nachhaltigkeit (ISO/DIS 34101-1:2016)
Fèves de cacao durable et traçable - Partie 1: Exigences relatives aux systèmes de
management de la durabilité (ISO/DIS 34101-1:2016)
Ta slovenski standard je istoveten z: prEN ISO 34101-1
ICS:
67.140.30 Kakav Cocoa
oSIST prEN ISO 34101-1:2016 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

oSIST prEN ISO 34101-1:2016
oSIST prEN ISO 34101-1:2016
DRAFT INTERNATIONAL STANDARD
ISO/DIS 34101-1
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 1:
Requirements for sustainability management systems
Fèves de cacao durable et traçable —
Partie 1: Exigences pour des systèmes de management de la durabilité
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.
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WHICH REFERENCE MAY BE MADE IN
Reference number
NATIONAL REGULATIONS.
ISO/DIS 34101-1:2016(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

oSIST prEN ISO 34101-1:2016
ISO/DIS 34101-1:2016(E)
© 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
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ii © ISO 2016 – All rights reserved

oSIST prEN ISO 34101-1:2016
ISO/DIS 34101-1:2016
Contents
Foreword . 5
Introduction. 6
1 Scope . 11
2 Normative references . 11
3 Terms and definitions . 11
4 Context of the organization . 25
5 Leadership . 29
6 Planning . 32
7 Support . 33
7.1 Resources . 33
7.2 Competence . 34
7.3 Awareness . 34
7.4 Communication . 35
7.5 Documented information . 35
8 Operation . 36
9 Performance evaluation . 40
10 Improvement . 42
10.1 General . 42
10.12 Nonconformity and corrective action . 43
10.3 Continual improvement . 43
Annex A (informative) Overview on the process towards establishment of the cocoa farm
development plan (CFDP) . 44
Annex B (informative) Cost expenditure documentation scheme . 46
Annex C (normative) Information on individual farms for cocoa farm diagnostic . 47
Annex D (normative) Cocoa farm development plan (CFDP) . 48
Annex E (informative) Cocoa farm development plan (CFDP) – Advice to registered farmers . 50
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oSIST prEN ISO 34101-1:2016
ISO/DIS 34101-1:2016
Bibliography . 51
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oSIST prEN ISO 34101-1:2016
ISO/DIS 34101-1:2016
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 34/SC 18.
A list of all parts in the ISO 34101 series can be found on the ISO website.
ISO requires that management system standards include a High Level Structure and certain text. This
text required by ISO in management system standards are given in blue, and deleted ISO required text is
given as follows: deleted HLS text. Deleted HSL text shall be permitted by ISO Technical Management
Board.
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oSIST prEN ISO 34101-1:2016
ISO/DIS 34101-1:2016
Introduction
0.1 Introduction to the ISO 34101-series
The ISO 34101 series consists of International Standards and Technical Specifications with the intended
purpose as given in the table below.
ISO Publication Subject Intended to be applied by Requirements
/Guidance
ISO 34101-1 Management of cocoa Registered cocoa farmers and Requirements
bean production organizations producing sustainable
cocoa beans
ISO 34101-2 Performance of cocoa
bean production
ISO 34101-3 Traceability of The cocoa supply chain actors Requirements
sustainably produced
cocoa beans and derived
products
ISO 34101-4 Sustainable and traceable Certification scheme owners and Requirements
cocoa certification conformity assessment bodies
scheme certifying conformity to the ISO
34101-series and organizations
wishing to make claims of
conformity
ISO/TS 34101-5 Guidance on application Organizations wishing to implement Guidance
of 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.
The overriding objective of this document is to develop, promote and maintain a framework for the
production of sustainable cocoa beans based on the principle of continuous improvement.
In order to achieve this objective, this document has been elaborated to be relevant to stakeholders
within the cocoa sector, in particular with a view to:
a) support and encourage smallholder cocoa farmers;
b) improve income and resilience of their livelihoods; and
c) promote farmer organizations where 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 recognised 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 stakeholders work together to help them achieve this.
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oSIST prEN ISO 34101-1:2016
ISO/DIS 34101-1:2016
0.2 General
The adoption of a sustainability management system is often a strategic decision for an organization.
The potential benefits to an organization of implementing a cocoa sustainability management system
are:
 establishment and implementation of management practices which allow the cost effectiveness of
the business to be assessed through operational performance indicators;
 ability to consistently provide sustainably produced cocoa beans that meet specified requirements
and applicable statutory and regulatory requirements;
 addressing risks and opportunities associated with its context and objectives;
 ability to demonstrate conformity to specified cocoa sustainability management system
requirements;
 organizational learning, adjustment of the organizations strategy and improvement of its
performance.
In the event that the registered farmers wish to take over management of the cocoa sustainability
management system from the organization (one or more registered farmers to become their own
organization in the context of this document), it is important that registered farmers are encouraged to
do so, with the support of the organization.
In addition to this document elements that are integral to sustainability can be considered through
other activities or programs including:
a) encouraging stakeholders to take responsibility for supporting sustainability objectives for cocoa
farming;
b) households issues;
c) development of a physical and social infrastructure.
It is not the intent of this document to impose:
 uniformity in the structure of different sustainability management systems;
 alignment of documentation to the clause structure of any part of ISO 34101;
 the use of the specific terminology of the ISO 34101 series within the organization.
The performance requirements specified ISO 34101-2 are complementary to the cocoa sustainability
management system developed and implemented according to this document.
This document employs the process approach, which incorporates 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 Plan-Do-Check-Act (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.
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oSIST prEN ISO 34101-1:2016
ISO/DIS 34101-1:2016
Risk-based thinking enables an organization to determine the factors that could cause its proce
...