ISO 34101-1:2019 Cocoa Sustainability Management Systems Lead Auditor Training and Certification Program

Programme Summary

Develop the planning, evidence evaluation and team leadership skills needed for cocoa sustainability management audits against ISO 34101-1:2019. A cocoa producer cooperative case connects producer governance, cocoa traceability and sustainability improvement planning with realistic audit trails. Participants lead simulated meetings, evaluate conflicting evidence and defend findings, producing a clear audit conclusion while respecting impartiality, confidentiality and the limits of sampled evidence.

Training Objectives

1 Strengthen cocoa sustainability management audit leadership; 2 Plan defensible assignments and team responsibilities; 3 Evaluate conformity and system effectiveness; 4 Manage findings communication and audit conclusions; 5 Maintain ethical conduct and audit independence.

Learning Outcomes

1 Lead a simulated cocoa sustainability management audit; 2 Evaluate cocoa movement and traceability records; 3 Direct risk based sampling and interviews; 4 Defend findings and evidence limitations; 5 Recommend proportionate corrective action follow up.

Target Audience

Audit Team Leaders; Management System Auditors; Cocoa Cooperative Managers; Cocoa Sustainability Managers; Assurance Managers.

Target Industries

Cocoa Farming; Cocoa Producer Cooperatives; Cocoa Post Harvest Processing; Cocoa Collection Operations; Cocoa Sustainability Programmes.

Course Contents

• Module 1 Audit Leadership and Professional Boundaries: Audit principles impartiality and confidential information; First second and third party distinctions; Auditor competence and certification decision boundaries.
• Module 2 Audit Programme and Assignment Risk: Programme objectives and changing operational risks; Scope criteria resources and team competence; Remote methods feasibility and evidence security.
• Module 3 Auditing Cocoa Production Scope and Standard Interfaces: Producer organisation and post harvest boundaries; Management performance and traceability standard interfaces; Sustainability claims and supporting requirement sets.
• Module 4 Auditing Producer Context and Sustainability Priorities: Producer needs and relevant interested parties; Economic social and environmental challenges; Risks obligations and climate relevance.
• Module 5 Auditing Producer Governance and Accountable Leadership: Sustainability policy and organisational responsibilities; Producer participation and communication arrangements; Resources competence and documented information.
• Module 6 Auditing Producer Registration and Farm Information: Producer identification and reliable farm records; Baseline information and data quality checks; Confidentiality access and controlled record updates.
• Module 7 Auditing Cocoa Sustainability Planning: Producer development priorities and realistic objectives; Action plans resources and measurable progress; Interfaces with applicable performance requirements.
• Module 8 Auditing Production and Post Harvest Controls: Field activity and operational control planning; Fermentation drying storage and transport interfaces; Supplier service and process change coordination.
• Module 9 Auditing Cocoa Traceability and Claim Controls: Bean identification and movement records; Internal traceability and reconciliation checks; Claim limitations and downstream traceability interfaces.
• Module 10 Auditing Monitoring Producer Progress and Improvement: Performance monitoring and producer feedback; Internal audit and management review; Corrective action and sustainability improvement records.
• Module 11 Document Review and Readiness Evaluation: Scope documents and process evidence review; Readiness concerns and additional information requests; Audit plan adjustments and communication.
• Module 12 Planning Activities and Directing the Team: Responsibilities schedules and audit trail allocation; Sampling strategy and technical expert interfaces; Team briefings progress checks and coordination.
• Module 13 Opening Meetings and Audit Communication: Confirming scope criteria and practical arrangements; Managing professional disagreement and access issues; Communicating emerging risks and material concerns.
• Module 14 Gathering and Corroborating Audit Evidence: Producer and farm records; Cocoa movement and traceability records; Producer development and monitoring records.
• Module 15 Evidence Judgement and Escalation: Evidence of untraceable cocoa movements; Evidence of unsupported sustainability claims; Sampling limitations and additional evidence decisions.
• Module 16 Developing Findings and Audit Conclusions: Linking criteria evidence and supported findings; Evaluating systemic patterns and management effectiveness; Conclusions within scope and evidence limitations.
• Module 17 Reporting and Closing the Audit: Balanced report structure and clear findings; Closing meeting leadership and disagreement records; Confidential distribution and controlled audit records.
• Module 18 Corrective Action Review and Follow Up: Assessing cause analysis and proposed action; Verifying implementation and effectiveness evidence; Follow up escalation and unresolved findings.
• Module 19 Audit Quality and Professional Development: Reviewing audit performance and consistency; Technical competence and experience development; Learning feedback and ongoing ethical conduct.
• Module 20 Lead Audit Team Simulation: Lead assigned meetings and team briefings; Evaluate conflicting evidence and defend findings; Present conclusions and follow up recommendations.

Assessment

• 100 single best answer questions, including applied scenarios; one mark per question.
• 150 minute invigilated digital examination with identity verification. Approved accessibility adjustments preserve the assessed competence.
• Clean standard text and supplied case documents permitted; internet, messaging and external AI tools prohibited.
• Individual applied assessment (150 minutes): Lead a simulated cocoa sustainability management audit, assign team activities, conduct an assessed interview, evaluate conflicting records, present supported findings and defend the audit conclusion and follow up decisions.
• Assessment criteria: Defensible audit scope and sampling of cocoa movement and traceability records; Effective team direction interviewing and closing meeting leadership; Evidence linked findings conclusions and justified follow up decisions.
• Pass each component separately: 75/100 written marks (75%) and at least 70% on the applied task.
• All mandatory criteria must pass: Do not fabricate evidence or knowingly present unsupported conformity conclusions.
• Individual results and feedback are provided. One reassessment may follow coaching under the published enrolment terms.

Certification

• Successful learners receive a TQCSI Arabia digital Certificate of Successful Completion.
• The certificate records the learner name, exact programme title, teaching hours, completion date and unique verification reference.
• Verified identity, full attendance and separate written and applied passes are required; all mandatory critical criteria must be met.
• Proposed issue target: within 30 calendar days of approved results and settlement of applicable fees.
• Records successful lead auditor training in cocoa sustainability management; auditor registration, certification body appointment and independent personnel certification require separate evaluation.
• Attendance confirmation may record completed hours for unsuccessful learners; it does not certify successful completion.

Programme Profile

Number of daysNumber of daysNumber of days

555

Total teaching hoursTotal teaching hoursTotal teaching hours

35 hours; breaks, pre course work and formal final assessments excluded.35 hours; breaks, pre course work and formal final assessments excluded.35 hours; breaks, pre course work and formal final assessments excluded.

Delegates allowedDelegates allowedDelegates allowed

Maximum 16 delegates.Maximum 16 delegates.Maximum 16 delegates.

Training prerequisitesTraining prerequisitesTraining prerequisites

Working knowledge of ISO 34101-1:2019, audit fundamentals and relevant cocoa sustainability management experience is required. Prior internal audit practice is strongly recommended.Working knowledge of ISO 34101-1:2019, audit fundamentals and relevant cocoa sustainability management experience is required. Prior internal audit practice is strongly recommended.Working knowledge of ISO 34101-1:2019, audit fundamentals and relevant cocoa sustainability management experience is required. Prior internal audit practice is strongly recommended.

Pre course assignment and assessmentPre course assignment and assessmentPre course assignment and assessment

Complete a 45-minute requirements and audit diagnostic; review cocoa movement and traceability records and identify high risk audit trails.Complete a 45-minute requirements and audit diagnostic; review cocoa movement and traceability records and identify high risk audit trails.Complete a 45-minute requirements and audit diagnostic; review cocoa movement and traceability records and identify high risk audit trails.

End of course assessmentEnd of course assessmentEnd of course assessment

100 question written exam (150 minutes) and individual applied task (150 minutes).100 question written exam (150 minutes) and individual applied task (150 minutes).100 question written exam (150 minutes) and individual applied task (150 minutes).

Passing criteriaPassing criteriaPassing criteria

75% written and 70% applied, passed separately; full attendance. All mandatory criteria must pass.75% written and 70% applied, passed separately; full attendance. All mandatory criteria must pass.75% written and 70% applied, passed separately; full attendance. All mandatory criteria must pass.