www.isealalliance.org
Defining the Scope of an
ISEAL Assurance Code
Patrick Mallet
Credibility Director
Scaling up the impacts of social and environmental standards systems
www.isealalliance.org
Principles of Effective Assurance
> Assurance that contributes to achievement of social and
environmental impacts
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Impartiality and independence
Consistency and competence
Transparency
Accessibility
Accountability – multi-stakeholder, complaints and appeals
Inter-operability
Efficiency
Scaling up the impacts of social and environmental standards systems
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External Context - Referencing ISO
> Revision of ISO 17065 and ISO 17067
> Impartiality, consistency and competence
> Scope of requirements
– Legal responsibilities
– Management of impartiality
– Resourcing
– Information requirements
– Steps in the certification process
– CB Management system
> Scheme-specific requirements – building on 17067
Scaling up the impacts of social and environmental standards systems
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Challenges to Effective Assurance
1. Scheme Structure
/ Management
2. Standards
Framework
5. Certification
Body Management
4. Audit Performance
/ Implementation
Scaling up the impacts of social and environmental standards systems
3. Auditor
Competence
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1. Scheme Structure
> Credibility assurance
> Fitness for purpose – what works where?
– Self-declaration, supply chain or association, independent
– Risk-based approaches – group certification, participatory
guarantee, peer review
– Complementarities and combinations
> Accreditation – new models for CB oversight
> Chain of custody – new models for efficiency
Scaling up the impacts of social and environmental standards systems
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2. Standards Framework
> Consistent interpretation – what can you realistically assure?
– Guidance on local applicability
– Improve auditability of standard
– Calibration
– Prescriptiveness
Scaling up the impacts of social and environmental standards systems
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3. Auditor Competence
> Competencies
– ISO, GSCP, Verite
> Training
– Minimum requirements
– Calibration
– Who’s responsible?
> Evaluation
– Accrediting auditors
– Online training and evaluation
Scaling up the impacts of social and environmental standards systems
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4. Audit Performance
> Audit reports
– Consistency of information required
– Consistency of how reported
> Decision-making
– Audit process – interviews, expertise
– Models – major, minor; traffic lights; scoring
– Classifying non-compliances
> Transparency – information availability – public summaries
> Complaints system
Scaling up the impacts of social and environmental standards systems
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5. Certification Body Effectiveness
> Structural and governance issues
> Financial models – conflict of interest
> Monitoring and evaluation
6. Special Considerations
> Capacity building in the audit
> Auditing in conflict zones and disaster areas
> Supply chain auditing
Scaling up the impacts of social and environmental standards systems
www.isealalliance.org
Challenges to Effective Assurance
1. Scheme Structure
/ Management
2. Standards
Framework
5. Certification
Body Management
3. Auditor
Competence
4. Audit Performance
/ Implementation
6. Special
Considerations
Scaling up the impacts of social and environmental standards systems
www.isealalliance.org
Assurance Code Development
> 18 month development process
> Opportunities for participation
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Consultation on scope
Resources for background research
Steering and Technical Committees
International consultation
Field tests
Scaling up the impacts of social and environmental standards systems
www.isealalliance.org
Thank-you
Patrick Mallet
patrick@isealalliance.org
www.isealalliance.org
Scaling up the impacts of social and environmental standards systems