1. Scaling up the impacts of social and environmental standards systems www.isealalliance.org Defining the Scope of an ISEAL Assurance Code Patrick Mallet Credibility Director

2. www.isealalliance.org Scaling up the impacts of social and environmental standards systems 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

3. www.isealalliance.org Scaling up the impacts of social and environmental standards systems 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

4. www.isealalliance.org Scaling up the impacts of social and environmental standards systems Challenges to Effective Assurance 1. Scheme Structure / Management 5. Certification Body Management 4. Audit Performance / Implementation 3. Auditor Competence 2. Standards Framework

5. www.isealalliance.org Scaling up the impacts of social and environmental standards systems 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

6. www.isealalliance.org Scaling up the impacts of social and environmental standards systems 2. Standards Framework >Consistent interpretation – what can you realistically assure? –Guidance on local applicability –Improve auditability of standard –Calibration –Prescriptiveness

7. www.isealalliance.org Scaling up the impacts of social and environmental standards systems 3. Auditor Competence >Competencies –ISO, GSCP, Verite >Training –Minimum requirements –Calibration –Who’s responsible? >Evaluation –Accrediting auditors –Online training and evaluation

8. www.isealalliance.org Scaling up the impacts of social and environmental standards systems 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

9. www.isealalliance.org Scaling up the impacts of social and environmental standards systems 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

10. www.isealalliance.org Scaling up the impacts of social and environmental standards systems Challenges to Effective Assurance 1. Scheme Structure / Management 5. Certification Body Management 4. Audit Performance / Implementation 3. Auditor Competence 2. Standards Framework 6. Special Considerations

11. www.isealalliance.org Scaling up the impacts of social and environmental standards systems 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

12. Scaling up the impacts of social and environmental standards systems www.isealalliance.org Thank-you Patrick Mallet patrick@isealalliance.org www.isealalliance.org