Defining the Scope of an ISEAL Assurance Code

Defining the Scope of an ISEAL Assurance Code Patrick Mallet Credibility Director

Principles of Effective Assurance • Assurance that contributes to achievement of social and environmental impacts • Impartiality and independence • Consistency and competence • Transparency • Accessibility • Accountability – multi-stakeholder, complaints and appeals • Inter-operability • Efficiency

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

Challenges to Effective Assurance 1. Scheme Structure / Management 2. Standards Framework 5. Certification Body Management 3. Auditor Competence 4. Audit Performance / Implementation

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

2. Standards Framework • Consistent interpretation – what can you realistically assure? • Guidance on local applicability • Improve auditability of standard • Calibration • Prescriptiveness

3. Auditor Competence • Competencies • ISO, GSCP, Verite • Training • Minimum requirements • Calibration • Who’s responsible? • Evaluation • Accrediting auditors • Online training and evaluation

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

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

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

Assurance Code Development • 18 month development process • Opportunities for participation • Consultation on scope • Resources for background research • Steering and Technical Committees • International consultation • Field tests

Thank-you Patrick Mallet patrick@isealalliance.org www.isealalliance.org

Defining the Scope of an ISEAL Assurance Code