Sustainable and traceable cocoa - Part 1: Requirements for cocoa sustainability management systems (ISO 34101-1:2019)

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.

Nachhaltiger und rückverfolgbarer Kakao - Teil 1: Anforderungen an Managementsysteme für die Nachhaltigkeit (ISO 34101-1:2019)

Dieses Dokument legt Anforderungen der Stufe „hohes Niveau“ an Managementsysteme für die nachhaltige Kakaobohnenproduktion fest, einschließlich der Aufbereitung nach der Ernte, sofern zutreffend, und der Rückverfolgbarkeit von nachhaltig produzierten Kakaobohnen innerhalb einer Kakaobohnen produzierenden Organisation.
ANMERKUNG 1 Aufbereitungsverfahren umfassen das Aufbrechen der Früchte, die Fermentierung, die Trocknung, das Sortieren, das Verpacken und das Lagern der Kakaobohnen.
Nur Organisationen, die sowohl die Anforderungen an das Managementsystem für die Nachhaltigkeit von Kakao entweder dieses Dokuments oder von ISO 34101 4:2019, Anhang A oder Anhang B, als auch die Leistungsanforderungen von ISO 34101 2 erfüllen, können ihre Kakaobohnen als nachhaltig produziert bezeichnen.
ANMERKUNG 2 ISO 34101 4 legt die Anforderungen der Stufen „Einstiegsniveau“ und „mittleres Niveau“ an Managementsysteme für die Nachhaltigkeit von Kakao fest.

Cacao durable et traçable - Partie 1: Exigences relatives aux systèmes de management de la durabilité du cacao (ISO 34101-1:2019)

Le présent document spécifie les exigences de niveau élevé relatives aux systèmes de management pour la production durable de fèves de cacao, y compris les processus post-récolte, le cas échéant, et la traçabilité de fèves de cacao produites de manière durable au sein de l'organisme produisant des fèves de cacao.
NOTE 1 Les processus post-récolte comprennent l'ouverture des cabosses, la fermentation, le séchage, le tri, le conditionnement, le transport et le stockage des fèves de cacao.
Seuls les organismes satisfaisant à la fois aux exigences relatives aux systèmes de management de la durabilité du cacao du présent document ou de l'ISO 34101‑4:2019, Annexe A ou B, et aux exigences de performance de l'ISO 34101‑2 peuvent déclarer que les fèves de cacao sont produites de manière durable.
NOTE 2 L'ISO 34101‑4 spécifie les exigences pour les systèmes de management de la durabilité du cacao aux niveaux seuil et moyen.

Trajnost in sledljivost kakava - 1. del: Zahteve za sisteme upravljanja trajnosti kakava (ISO 34101-1:2019)

General Information

Status
Published
Public Enquiry End Date
30-Apr-2020
Publication Date
20-Jul-2020
Technical Committee
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
06-Jul-2020
Due Date
10-Sep-2020
Completion Date
21-Jul-2020

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SLOVENSKI STANDARD
SIST EN ISO 34101-1:2020
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
SIST EN ISO 34101-1:2020 en,fr,de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST EN ISO 34101-1:2020
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SIST EN ISO 34101-1:2020
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.
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SIST EN ISO 34101-1:2020
EN ISO 34101-1:2020 (E)
Contents Page

European foreword ....................................................................................................................................................... 3

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SIST EN ISO 34101-1:2020
EN ISO 34101-1:2020 (E)
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.
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SIST EN ISO 34101-1:2020
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SIST EN ISO 34101-1:2020
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
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SIST EN ISO 34101-1:2020
ISO 34101-1:2019(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 34101-1:2020
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 2019 – All rights reserved iii
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SIST EN ISO 34101-1:2020
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
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SIST EN ISO 34101-1:2020
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 2019 – All rights reserved v
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SIST EN ISO 34101-1:2020
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
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SIST EN ISO 34101-1:2020
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 2019 – All rights reserved vii
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SIST EN ISO 34101-1:2020
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,
...

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