SIST EN ISO 34101-4:2019

SLOVENSKI STANDARD
SIST EN ISO 34101-4:2019
01-september-2019
Trajnost in sledljivost kakava - 4. del: Zahteve za sheme certificiranja (ISO 34101-
4:2019)
Sustainable and traceable cocoa - Part 4: Requirements for certification schemes (ISO
34101-4:2019)
Nachhaltige und rückverfolgbare Kakaobohnen - Teil 4: Anforderungen für
Zertifizierungsprogramme (ISO 34101-4:2019)
Fèves de cacao durable et traçable - Partie 4: Exigences pour les systèmes de
certification (ISO 34101-4:2019)
Ta slovenski standard je istoveten z: EN ISO 34101-4:2019
ICS:
03.120.20 Certificiranje proizvodov in Product and company
podjetij. Ugotavljanje certification. Conformity
skladnosti assessment
67.140.30 Kakav Cocoa
SIST EN ISO 34101-4:2019 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST EN ISO 34101-4:2019

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SIST EN ISO 34101-4:2019


EN ISO 34101-4
EUROPEAN STANDARD

NORME EUROPÉENNE

June 2019
EUROPÄISCHE NORM
ICS 67.140.30; 03.120.20
English Version

Sustainable and traceable cocoa - Part 4: Requirements for
certification schemes (ISO 34101-4:2019)
Cacao durable et traçable - Partie 4: Exigences pour les Nachhaltiger und rückverfolgbarer Kakao - Teil 4:
systèmes de certification (ISO 34101-4:2019) Anforderungen für Zertifizierungsprogramme (ISO
34101-4:2019)
This European Standard was approved by CEN on 15 April 2019.

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 34101-4:2019 E
worldwide for CEN national Members.

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SIST EN ISO 34101-4:2019
EN ISO 34101-4:2019 (E)
Contents Page
European foreword . 3

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SIST EN ISO 34101-4:2019
EN ISO 34101-4:2019 (E)
European foreword
This document (EN ISO 34101-4:2019) 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 34101-4:2019 has been approved by CEN as EN ISO 34101-4:2019 without any
modification.


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SIST EN ISO 34101-4:2019

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SIST EN ISO 34101-4:2019
INTERNATIONAL ISO
STANDARD 34101-4
First edition
2019-05
Sustainable and traceable cocoa —
Part 4:
Requirements for certification schemes
Cacao durable et traçable —
Partie 4: Exigences pour les systèmes de certification
Reference number
ISO 34101-4:2019(E)
©
ISO 2019

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SIST EN ISO 34101-4:2019
ISO 34101-4:2019(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 34101-4:2019
ISO 34101-4:2019(E)

Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Scheme owner requirements . 4
5 Scheme development and management . 6
6 Publicly available information . 8
7 Complaints and appeals to the scheme owner . 8
8 Requirements for certification bodies. 9
8.1 General . 9
8.2 Requirements for processes additional to those specified in ISO/IEC 17021-1 . 9
8.3 Audit cycle for the cocoa bean producing organization .11
8.4 Audit cycle for cocoa supply chain actors .11
8.4.1 General.11
8.4.2 Certification or recertification audit .12
8.4.3 Surveillance audits .12
8.5 Sampling .12
8.6 Methods to obtain information during audit .13
8.7 Time needed for an audit .13
8.8 Timeframe for resolving nonconformities .13
8.9 Expiration of a certificate .13
8.10 Re-obtaining a certificate .14
8.11 Requirements for competence of auditors additional to those specified in
ISO/IEC 17021-1 .14
9 Claims .14
9.1 General requirements .14
9.2 Conditions under which the client can use a claim .14
9.3 Business-to-business (B2B) claims .15
9.4 Business-to-consumer (B2C) claims .16
10 Third-party mark of conformity .16
11 Licensing and control .16
Annex A (normative) Requirements for cocoa sustainability management systems at entry
level .17
Annex B (normative) Requirements for cocoa sustainability management systems at
medium level .25
Annex C (informative) Examples of risks to be assessed .27
Annex D (informative) Risk-based control and review of certification bodies .28
Bibliography .29
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SIST EN ISO 34101-4:2019
ISO 34101-4:2019(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.
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SIST EN ISO 34101-4:2019
ISO 34101-4:2019(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 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 this document as follows:
— entry: Annex A;
— medium: 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 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.
This document specifies the requirements for the scheme for certifying traceable, sustainably produced
cocoa conforming to the requirements of the ISO 34101 series and includes the requirements for the
entry and medium level for the cocoa sustainability management system.

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SIST EN ISO 34101-4:2019
ISO 34101-4:2019(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 this document.)
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.
This Requirements for certification Certification scheme owners and certification bodies
document 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 entry and medium levels of the cocoa sustainability
management system. ISO 34101-1 specifies the requirements for the high level.
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.
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SIST EN ISO 34101-4:2019
INTERNATIONAL STANDARD ISO 34101-4:2019(E)
Sustainable and traceable cocoa —
Part 4:
Requirements for certification schemes
1 Scope
This document specifies requirements for certification schemes for sustainable and traceable cocoa,
including the certification of cocoa bean producing organizations and cocoa supply chain actors. It is to
be used jointly with ISO 34101-1, ISO 34101-2 and/or ISO 34101-3.
This document also specifies the requirements for cocoa sustainability management systems:
— at entry level, see Annex A;
— at medium level, see Annex B.
NOTE ISO 34101-1 specifies the requirements for cocoa sustainability management systems at high level.
Only organizations that fulfil both the cocoa sustainability management system requirements of either
ISO 34101-1 or Annex A or B, and the performance requirements of ISO 34101-2 can claim their cocoa
beans have been sustainably produced.
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 34101-1:2019, Sustainable and traceable cocoa — Part 1: Requirements for cocoa sustainability
management systems
ISO 34101-2:2019, Sustainable and traceable cocoa — Part 2: Requirements for performance (related to
economic, social, and environmental aspects)
ISO 34101-3:2019, Sustainable and traceable cocoa — Part 3: Requirements for traceability
ISO/IEC 17000:2004, Conformity assessment — Vocabulary and general principles
ISO/IEC 17011, Conformity assessment — Requirements for accreditation bodies accrediting conformity
assessment bodies
ISO/IEC 17021-1:2015, Conformity assessment — Requirements for bodies providing audit and certification
of management systems — Part 1: Requirements
ISO/IEC 17030:2003, Conformity assessment — General requirements for third-party marks of conformity
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 34101-1, ISO/IEC 17000 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
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SIST EN ISO 34101-4:2019
ISO 34101-4:2019(E)

— IEC Electropedia: available at http: //www .electropedia .org/
3.1
accreditation
third-party attestation related to a conformity assessment body conveying formal demonstration of its
competence to carry out specific conformity assessment tasks
[SOURCE: ISO/IEC 17000:2004, 5.6]
3.2
accreditation body
authoritative body that performs accreditation (3.1)
Note 1 to entry: The authority of an accreditation body is generally derived from government.
[SOURCE: ISO/IEC 17000:2004, 2.6]
3.3
certification
third-party attestation related to products, processes, systems or persons
Note 1 to entry: Certification of a management system is sometimes also called registration.
Note 2 to entry: Certification is applicable to all objects of conformity assessment except for conformity
assessment bodies themselves, to which accreditation (3.1) is applicable.
[SOURCE: ISO/IEC 17000:2004, 5.5]
3.4
certification body
third party that performs conformity assessment in accordance with a certification scheme (3.6)
3.5
certification requirement
specified requirement that is fulfilled by the client (3.9) as a condition of establishing or maintaining
certification (3.3)
Note 1 to entry: Certification requirements include requirements imposed on the client by the certification body
(3.4), usually via the certification agreement to meet the requirements of this document, and can also include
requirements imposed on the client by the certification scheme (3.6).
3.6
certification scheme
conformity assessment system related to specified products, processes, services and management
systems, to which the same specified requirements, specific rules and procedures apply
Note 1 to entry: The term “conformity assessment system” is defined in ISO/IEC 17000:2004, 2.7.
Note 2 to entry: The rules, procedures and management for implementing product, process, service and
management system certification (3.3) are stipulated by the certification scheme.
Note 3 to entry: General guidance for the development of schemes is given in ISO/IEC 17067, in combination with
ISO/IEC TR 17026.
3.7
cocoa supply chain
sequence of the stages and operations involved in the movement and processing of cocoa, from farm to
the point of exit from the factory door of the manufacturer of the final retail product
[SOURCE: ISO 34101-3:2019, 3.5]
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SIST EN ISO 34101-4:2019
ISO 34101-4:2019(E)

3.8
cocoa supply chain actor
organization that physically handles, takes legal ownership or makes claims of sustainably
produced cocoa
[SOURCE: ISO 34101-3:2019, 3.6, modified — Note 1 to entry has been deleted.]
3.9
client
organization or person responsible to a certification body (3.4) for ensuring that certification
requirements (3.5) are fulfilled
Note 1 to entry: Whenever the term “client” is used in this document, it applies to both the “applicant” and the
“client”, unless otherwise specified.
3.10
farmer premium
cash transfer of funds from the organization to a registered farmer for sustainably produced cocoa in
addition to the price for equivalent conventional cocoa
Note 1 to entry: Premiums are provided to a registered farmer to reward his/her efforts and/or incentivize
registered farmers to meet all the requirements of either ISO 34101-1 or Annex A or B and ISO 34101-2.
Note 2 to entry: If a premium is paid in kind per documented negotiations (see 5.11), the party paying the
premium shall demonstrate the cash equivalent.
[SOURCE: ISO 34101-1:2019, 3.26]
3.11
impartiality
presence of objectivity
Note 1 to entry: Objectivity means that conflicts of interest do not exist, or are resolved so as not to adversely
influence subsequent activities.
Note 2 to entry: Other terms that are useful in conveying the element of impartiality include “independence”,
“freedom from conflict of interests”, “freedom from bias”, “lack of prejudice”, “neutrality”, “fairness”, “open
mindedness”, “even-handedness”, “detachment”, “balance”.
[SOURCE: ISO/IEC 17021-1:2015, 3.2, modified — "of the certification body" has been deleted from the
end of Note 1 to entry.]
3.12
major nonconformity
nonconformity that affects the capability of the management system to achieve the intended results
Note 1 to entry: Nonconformities could be classified as major in the following circumstances:
— if there is a significant doubt that effective process control is in place, or that products or services will meet
specified requirements;
— a number of minor nonconformities associated with the same requirement or issue could demonstrate a
systemic failure and thus constitute a major nonconformity.
[SOURCE: ISO/IEC 17021-1:2015, 3.12]
3.13
scheme owner
organization responsible for developing and maintaining a specific certification scheme (3.6)
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SIST EN ISO 34101-4:2019
ISO 34101-4:2019(E)

3.14
scope of certification
identification of:
— the product(s), process(es), service(s), cocoa field(s) or farm(s), or management systems for which
the certification (3.3) is granted;
— the applicable certification scheme (3.6);
— the standard(s) and other normative document(s), including their date of publication, to which it is
judged that the product(s), process(es), service(s) or management systems comply
3.15
supervisory council
body established by the scheme owner (3.13) consisting of independent members who represent
interested parties
3.16
surveillance
systematic iteration of conformity assessment activities as a basis for maintaining the validity of the
statement of conformity
[SOURCE: ISO/IEC 17000:2004, 6.1]
3.17
third-party mark of conformity
protected mark issued by a body performing third-party conformity assessment, indicating that an
object of conformity assessment (product, process, person, system or body) is in conformity with
specified requirements
Note 1 to entry: A protected mark is a mark legally protected against unauthorized use.
Note 2 to entry: The specified requirements are generally stated in “normative” documents such as International
Standards, regional or national standards, regulations and specifications.
[SOURCE: ISO/IEC 17030:2003, 3.1, modified — The example has been deleted.]
3.18
verification
confirmation, through the provision of objective evidence, that specified requirements have been
fulfilled
[SOURCE: ISO 9000:2015, 3.8.12, modified — The notes to entry have been deleted.]
4 Scheme owner requirements
4.1 A scheme owner shall be one of the following legal entities:
a) a group of certification bodies; or
b) an organization, such as a government body, regulator, non-governmental organization or a trade
association (not being a certification body), that develops a certification scheme in which one or
more certification bodies participate.
NOTE In cases where a governmental entity is the scheme owner, it is deemed to be a legal entity on the
basis of its governmental status.
4.2 The scheme owner shall be independent of certified clients and shall not be able to influence the
certification decision.
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SIST EN ISO 34101-4:2019
ISO 34101-4:2019(E)

4.3 The scheme owner shall identify any risks to its impartiality on an ongoing basis. If a risk to
impartiality is identified, the scheme owner shall be able to demonstrate how it eliminates or minimizes
such risk. This shall include those risks that arise from its activities, or fro
...