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Creating a world where environmental sustainability and social justice are the normal conditions of businessCreating a world where environmental sustainability and social justice are the normal conditions of business
www.isealalliance.org
Assurance as a Tool for Scaling Up Social and Environmental Impact
ISEAL Webinar Series
29 April, 2009
www.isealalliance.org
Creating a world where environmental sustainability and social justice are the normal conditions of business
Role of Assurance in a Standards System
> Three core functions
– Setting the standard
– Assessing compliance with the standard
– Measuring the impacts of compliance
> Proxy for direct relationship between producer and consumer
> What does effective assurance look like?
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Creating a world where environmental sustainability and social justice are the normal conditions of business
Components of Assurance
> Auditing
– Competencies, training, evaluation
> Certification
– 1st party
– 2nd party
– 3rd party
> Accreditation
All-encompassing term, as defined by ISEAL to include:
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Creating a world where environmental sustainability and social justice are the normal conditions of business
What is the Aim of Assurance?
> Provide a Credible Guarantee – in the absence of direct evidence of production, what is needed to assure customers that a product or service meets a standard’s requirements?
> Response has been to focus on replicable (systems-based), impartial assessment
> ISO standards built around a management system approach
> Strengths:
– Consistent results
– Impartial
– Documented
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Creating a world where environmental sustainability and social justice are the normal conditions of business
Challenges with the ISO Approach
> Application to social and environmental standards
– Doesn’t address sector-based auditor skills (e.g. interviewing techniques) or unique practices (e.g. group certification)
• So sector-based supplements are required
– Defines effectiveness in terms of impartiality and replicability
• Necessary but not sufficient?
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Creating a world where environmental sustainability and social justice are the normal conditions of business
Redefining Effective Assurance
> What if effectiveness is defined as contribution to impact?
> What is the value-added that assurance can bring?
> Define effective more broadly, as assurance that is:
– Replicable
– Impartial
– Accessible / Affordable
– Transparent
– Locally accountable
– Scalable
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Creating a world where environmental sustainability and social justice are the normal conditions of business
Redefining a Credible Guarantee
> Look at different assurance models for different end uses
– Self-assessment
– Peer evaluation – participatory guarantee systems
– Supply chain audits
– NGO / Trade Union audits
– Certification
– Accreditation
> Fitness for Purpose: what level of guarantee is required to be credible for each audience?
> What assurance models or combinations achieve that guarantee?
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Creating a world where environmental sustainability and social justice are the normal conditions of business
Assurance Code of Good Practice
> What would each part of the assurance process look like to best meet a broader definition of effective?
> Possible matrix of functions and characteristics:
Impartiality Accessibility Accountability Scalability
Auditor competence
Standards framework
Operational management
Audit implementation
Benchmarking
Accreditation
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Creating a world where environmental sustainability and social justice are the normal conditions of business
Content of an Assurance Code
> Scope of the Code – what needs to be in place to support the delivery of effective verification?
> Balance between comprehensive and realistic
> Focused only on aspects unique to social and environmental standards systems?
> Look to requirements at each stage in the audit process:
– Start with standards guidance to the auditor and CB
– Certification body management
– Auditor training, evaluation and calibration
– Audit process
www.isealalliance.org
Creating a world where environmental sustainability and social justice are the normal conditions of business
Typology of Assurance Models
> Description of different models and context in which they are appropriately applied
> Assessment of strengths and weaknesses of each model in contributing to social and environmental impacts
> Mix of audit tools – complementary relationships
> Is this feasible?
> Is it desirable?
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Creating a world where environmental sustainability and social justice are the normal conditions of business
Specific Recommendations
> Current challenges that would benefit from guidance:
– Standards interpretation
– Scoring / evaluation systems
– Complaints procedure
– Calibration / consistent assessment
– Access for small and medium enterprises
– Transparency and accountability
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Creating a world where environmental sustainability and social justice are the normal conditions of business
Code Development Process
> Fundraising
> Technical team drafting
> Broad-based collaborative development over 2 years
> Start with background research to inform key questions
> Parallel dialogues on key content and political issues to build support and understanding
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Creating a world where environmental sustainability and social justice are the normal conditions of business
Questions to Frame the Code Development
> To what extent does this build on existing ISO standards?
> Is a sector-based supplement for social and environmental standards enough?
> What is the balance between being perfect and being accessible?
> To what extent does this include accreditation?
> What are the political implications and what should be our strategy to address these?
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Creating a world where environmental sustainability and social justice are the normal conditions of businessCreating a world where environmental sustainability and social justice are the normal conditions of business
www.isealalliance.org
Questions?Patrick Mallet
www.isealalliance.org
