kSIST FprEN ISO 34101-1:2018

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.

---------------------- Page: 1 ----------------------
oSIST prEN ISO 34101-1:2016

---------------------- Page: 2 ----------------------
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.
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 34101-1:2016(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

---------------------- Page: 3 ----------------------
oSIST prEN ISO 34101-1:2016
ISO/DIS 34101-1:2016(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

---------------------- Page: 4 ----------------------
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
© ISO #### – All rights reserved 3

---------------------- Page: 5 ----------------------
oSIST prEN ISO 34101-1:2016
ISO/DIS 34101-1:2016
Bibliography . 51
4 © ISO #### – All rights reserved

---------------------- Page: 6 ----------------------
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.
© ISO #### – All rights reserved 5

---------------------- Page: 7 ----------------------
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.
6 © ISO #### – All rights reserved

---------------------- Page: 8 ----------------------
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.
© ISO #### – All rights reserved 7

---------------------- Page: 9 ----------------------
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 processes and
its sustainability management system to deviate from the planned results, to put in place
preventive controls to minimise negative effects and 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 adopt various forms of improvement in addition to
correction, corrective action and continual improvement, innovation and re-organization.
In this document:
 “shall” indicates a requirement;
 “should” indicates a recommendation;
 “may” indicates a permission;
 “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
This document is based on sustainability management principles, which are:
 sustainability focus;
 leadership;
 engagement of people;
 process approach;
 improvement;
 knowledge-based decision making;
 relationship management.
Applying the principles is expected to enhance the objectives of obtaining a resilient livelihood for
people producing sustainable cocoa beans.
This document establishes a framework, which meets the needs of producers and requirements of
consumers/other stakeholders for sustainability of cocoa bean production and traceability of the cocoa
supply chain.
0.4 Process approach
0.4.1 General
This document promotes the adoption of a process approach when developing, implementing and
improving the effectiveness of a cocoa sustainability management system, to enhance interested parties
satisfaction by meeting cocoa sustainability requirements.
8 © ISO #### – All rights reserved

---------------------- Page: 10 ----------------------
oSIST prEN ISO 34101-1:2016
ISO/DIS 34101-1:2016
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 0.4.2) with an overall focus on risk-based thinking (see 0.4.3) aimed
at taking advantage of opportunities and preventing undesirable results.
The application of the process approach in a cocoa sustainability management system enables:
1) understanding and consistency in meeting requirements;
2) the consideration of processes in terms of added value;
3) the achievement of effective process performance;
4) improvement of processes based on evaluation of data and information.
0.4.2 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 of this document 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;
 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.
© ISO #### – All rights reserved 9

---------------------- Page: 11 ----------------------
oSIST prEN ISO 34101-1:2016
ISO/DIS 34101-1:2016
Figure 1 – A representation of the structure of this document in the PDCA cycle
0.4.3 Risk-based thinking
Risk-based thinking is essential for achieving an effective cocoa sustainability management system.
To conform to the requirements of this document, an organization needs to plan and implement 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 on obtaining objectives and any such uncertainty can have
positive or negative effects. Actions to address opportunities will lead to associated risks.
10 © ISO #### – All rights reserved

---------------------- Page: 12 ----------------------
oSIST prEN ISO 34101-1:2016
ISO/DIS 34101-1:2016
Sustainable and traceable cocoa beans — Part 1: Requirements for
sustainability management systems
1 Scope
This document specifies requirements for a management system for sustainably production of cocoa
beans - including post-harvest processes, if applicable – and traceability of cocoa beans within the
organization.
NOTE Post-harvest includes fermentation and drying of cocoa beans, as well as sorting, packaging and storage.
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 2451, Cocoa beans -- Specifications
ISO 34101-2:20##, Sustainable and traceable cocoa beans — Part 2: Requirements for performance
(economic, environmental and social requirements)
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
agricultural worker
person engaged in agriculture, whether as a wage earner or a self-employed person such as a tenant,
sharecropper or small owner-occupier
3.2
annual work plan
information maintained by the organization (3.50) explaining how processes (3.56) are established and
maintained
3.3
audit
systematic and independent and documented process (3.56) for obtaining objective evidence (3.49) and
evaluating it objectively to determine the extent to which the audit criteria (3.4) 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).
© ISO #### – All rights reserved 11

---------------------- Page: 13 ----------------------
oSIST prEN ISO 34101-1:2016
ISO/DIS 34101-1:2016
Note 2 to entry: An internal audit is conducted by the organization (3.50) itself, or by an external party on its
behalf.
Note 3 to entry: “Audit evidence” (3.5) and “audit criteria” (3.4) 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 (3.50), such as customers, or by other persons on
their behalf. Third-party audits are conducted by external, independent auditing organizations (3.50).
3.4
audit criteria
set of policies (3.55), procedures or requirements (3.60) used as a reference against which objective
evidence (3.49) is compared
[SOURCE: ISO 19011:2011, 3.2, modified – The term “audit evidence” (3.5) has been replaced by
“objective evidence” (3.49]
3.5
audit evidence
records, statements of fact or other information, which are relevant to the audit criteria (3.4) and
verifiable
[SOURCE: ISO 19011:2011, 3.3, modified – Note to entry has been deleted]
3.6
audit findings
results of the evaluation of the collected audit evidence (3.05) against audit criteria (3.4)
Note 1 to entry: Audit findings indicate conformity (3.20) or nonconformity (3.47).
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 (3.4) is selected from statutory requirements or regulatory
requirements (3.58), the audit finding can be called compliance or non-compliance.
3.7
audit programme
set of one or more audits (3.3) planned for a specific time frame and directed towards a specific purpose
3.8
basic needs
fundamental requirements that serve as the foundation for survival
Note 1 to entry: Access to means required to meet the basic needs such as shelter, food, and clothing, is necessary
to the development of a strong community and to individual self-sufficiency.
Note 2 to entry: The concept of basic needs includes two elements:
a) certain minimum requirements for private consumption, such as adequate food, shelter and clothing as
well as certain household equipment and furniture;
12 © ISO #### – All rights reserved

---------------------- Page: 14 ----------------------
oSIST prEN ISO 34101-1:2016
ISO/DIS 34101-1:2016
b) essential services provided by and for the community at large, such as safe drinking water and sanitation,
as well as and health and educational facilities.
Note 3 to entry: Basic needs are specified using concepts agreed upon during the ILO World Employment
Conference 1976.
3.9
child
person under the age of 18 years
Note 1 to entry: National applicable statutory or regulatory requirements may define a child to be under this age.
3.10
child labour
work that deprives children of their childhood, their potential and their dignity, and that is harmful to
physical and mental development and interferes with their schooling
Note 1 to entry: Interferences with the schooling include:
a) depriving them of the opportunity to attend school;
b) obliging them to leave school prematurely; or
c) requiring them to attempt to combine school attendance with excessively long and heavy work
[SOURCE: Employment, growth and basic needs: A one-world problem (1976). Report of Director-
General ILO]
3.11
child work
work performed by children that is appropriate for their age and level of maturity and which does not
affect their health and personal development or interfere with their schooling.
Note 1 to entry: This includes activities such as helping their parents around the home, assisting in a family
business or earning pocket money outside school hours and during school holidays. Child work encompasses the
kind of activities that contribute to children’s development and to the welfare of their families; they provide them
with skills and experience, and help to prepare them to be productive members of society during their adult life.
[SOURCE: http://www.ilo.org/ipec/facts/lang--en/index.htm]
3.12
cocoa bean
seed of the cocoa tree (Theobroma cacao Linnaeus)
[SOURCE: ISO 2451:2014, 3.5]
3.13
cocoa farm
defined aggregation of cocoa fields (3.15)
© ISO #### – All rights reserved 13

---------------------- Page: 15 ----------------------
oSIST prEN ISO 34101-1:2016
ISO/DIS 34101-1:2016
3.14
cocoa farm development plan
(CFDP)
documented information to guide individual registered farmers (3.57), using a stepwise approach,
towards sustainable cocoa farm (3.13) management (3.42)
3.15
cocoa field
single plot of land intended for cocoa production
3.16
cocoa sustainability objective
objective related to sustainability of cocoa bean production (3.71)
Note 1 to entry: Cocoa sustainability objectives (3.16) are generally based on the organization's cocoa sustainability
policy (3.17).
Note 2 to entry: Cocoa sustainability objectives (3.16) are generally specified for relevant functions and levels in
the organization (3.50).
3.17
cocoa sustainability policy
policy related to sustainability of cocoa bean production (3.71)
Note 1 to entry: Generally, the cocoa sustainability policy (3.17) is consistent with the overall policy of the
organization, and it can be aligned with the organization’s vision and mission and provides a framework for the
setting of cocoa sustainability objectives (3.16).
Note 2 to entry: Cocoa sustainability management principles presented in this document can form a basis for the
establishment of a cocoa sustainability policy (3.17).
3.18
competence
ability to apply knowledge and skills to achieve intended results
Note 1 to entry: Demonstrated competence is sometimes referred to as qualification.
3.19
complaint
expression of dissatisfaction made to an organization (3.50), related to its product or service, or the
complaints-handling process itself, where a response or resolution is explicitly or implicitly expected
3.20
conformity
fulfilment of a requirement (3.60)
3.21
context of the organization
combination of internal and external issues that can have an effect on an organization's (3.50) approach
to developing and achieving its objectives (3.48)
14 © ISO #### – All rights reserved

---------------------- Page: 16 ----------------------
oSIST prEN ISO 34101-1:2016
ISO/DIS 34101-1:2016
Note 1 to entry: The concept of context of the organization (3.50 is equally applicable to not-for-profit or public
service organizations (3.50) as it is to those seeking profits.
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 (3.50)
3.22
continual improvement
recurring activity to enhance performance
Note 1 to entry: The process (3.56) of establishing objectives (3.48) and finding opportunities for improvement is a
continual process (3.56) through the use of assessment and audit findings (3.6) and assessment and audit (3.3)
conclusions, analysis of data, management reviews or other means and generally leads to corrective action (3.25)
or preventive action.
3.23
contract
binding agreement
3.24
correction
action to eliminate a detected nonconformity (3.47)
Note 1 to entry: A correction can be made in conjunction with a corrective action (3.25).
3.25
corrective action
action to eliminate the cause of a nonconformity (3.47) and to prevent recurrence
Note 1 to entry: There can be more than one cause for a nonconformity (3.47).
Note 2 to entry: Corrective action is taken to prevent recurrence whereas preventive action is
...