ISCC Integrity Program

Transcription

1 ISCC PLUS 254 Integrity Program ISCC Integrity Program ISCC PLUS 254 V 1.0

2 Copyright notice ISCC 2012 This ISCC document is protected by copyright. It is freely available from the ISCC website or upon request. No part of this copyrighted document might be changed or amended. The document might not be duplicated or copied in any form or by any means for commercial purpose without permission of ISCC. Document title: ISCC PLUS Integrity Program Approval date: 30/06/2012 Issue date: 30/06/2012 ISCC PLUS 254 Integrity Program 2 of 8

3 Content Content Introduction Integrity audit at ISCC customer Integrity audit at ISCC Certification Body (CB) office Evaluation and Classification of Assessment Results Sanctions... 6 ISCC PLUS 254 Integrity Program 3 of 8

4 1 Introduction The ISCC Integrity Program aims to ensure a consistent and objective audit and certification process by all Certification Bodies (CBs) cooperating with ISCC worldwide. It was launched as a means to enable closer monitoring of the CBs verification activities and is based on an ongoing assessment process that is part of the continuous improvement of the ISCC system. It consists of multiple CB office and ISCC participant assessments planned randomly or on a targeted basis after risk evaluations or complaints. The assessments are conducted by ISCC experts (integrity assessors) and can cover all the countries where the CB carries out ISCC activities. 2 Integrity audit at ISCC customer The objective of the Customer Integrity Assessment is to assess the audit and certification process of the CB by auditing a sample of its certified clients. During this assessment (reaudit), the ISCC integrity assessor carries out an assessment at the certified client. The results of this assessment are then compared with the CB s audit report. The Customer Integrity Assessment is a full audit of the facilities and procedures and will cover compliance to all applicable ISCC certification requirements. This assessment has no cost for the customer. It is strongly recommended that the respective CB is also present during this integrity assessment. However, the CB representative only attends as an observer and must not influence the assessment in any way. The assessment is normally structured in the following way: Opening Meeting (presentation of ISCC integrity assessor and ISCC Integrity Program, definition of scope of assessment, description of main activities of participant that are related to ISCC certification). Inspection of facilities (on site inspection of production unit, warehouses, buildings, machinery etc. This may include interviews of staff on site). Review of procedures and records (check of applicable procedures, records and documentation). Preparation of integrity report by assessor (the ISCC assessor will require some time to prepare the integrity report on site). Closing meeting (integrity report will be presented and explained to ISCC customer and CB representative by the ISCC integrity assessor. ISCC Customer and CB representative will be asked to sign the assessment report). 3 Integrity audit at ISCC Certification Body (CB) office The ISCC Integrity audit at the office of a cooperating CB only takes place when the CBs are not already controlled by the national authority. The objective of the ISCC Integrity audit at the office of a cooperating CB is to assess the performance of the internal ISCC related processes of that CB. This includes: ISCC PLUS 254 Integrity Program 4 of 8

5 The accreditation of the CB, respectively the recognition by a national authority. Verification of the training and qualification of auditors (CVs, training record of all ISCC auditors, number of auditors employed, number of subcontracted auditors). Registration procedures for customers and register of audits carried out and scheduled. Documentation of audit reports, review process of audit reports and monitoring of timely implementation of corrective actions. Decision process for issuing of certificate, registry of certificate holders. The assessment is normally structured in the following way: Opening Meeting (presentation of ISCC integrity assessor and ISCC Integrity Program, definition of scope of assessment, description of activities of CB related to ISCC certification). General data collection (Definition of company s structure, activities and personnel related to ISCC. Statistics like the number of certified clients/ certificates. Other required general information). Description of the certification process (client registration, audit planning and preparation, pre-audit assessments, reporting, monitoring of corrective actions, issue of certificate, information transfer to ISCC, internal database and documentation). Review of certification files (certain files, processes and clients will be selected and reviewed). Review of auditor qualification files (some qualification files will be reviewed to check compliance with ISCC requirements for auditors (if applicable) and internal qualification processes). Preparation of integrity report by assessor (Assessor will require some time to prepare the integrity report on site). Closing meeting (Integrity report will be presented by the ISCC integrity assessor and findings explained to CB. CB representative will be asked to sign the assessment report). 4 Evaluation and Classification of Assessment Results Each assessment is documented in an assessment report. A representative of each assessed entity (producer, CB) shall sign the assessment report. Each assessment report is also send to the CB s accreditation body, if this is applicable. The accreditation body is encouraged to use it as an input for their next assessment. Based on one or more assessment reports and, if applicable, the failure of the CB to demonstrate improvement from previous assessments, ISCC will classify the performance of the CB. In the case of an unacceptable or inadequate performance of the CB, the CB will be in- ISCC PLUS 254 Integrity Program 5 of 8

6 formed about this classification and shall have the opportunity to respond in a written statement within fourteen days after notification. The ISCC performance classification for the CB will be based on the following: - The individual assessment report(s) - The CB s written statement to the assessment report(s) Three classifications are possible: 1) Unacceptable performance: Puts the overall competency of the CB in question. In such a case serious infringements of the ISCC standard s rules and procedures are observed. These include but are not limited to: Deliberate and/or repeated ignorance or negligence of the ISCC standard s regulations One or more serious technical failures in the audit process Large number of minor technical failures in the audit process Verified fraud Procedure in the case of unacceptable performance a) Further assessment(s) can be planned immediately to investigate whether it was an isolated incident or a general way of working, but one single assessment can also result in this classification. b) The CB must implement corrections/corrective actions immediately. c) The CB reports on its immediate action to ISCC. ISCC can further assess improvement measures. 2) Inadequate performance: Requires the CB to improve performance and implement improvement measures. Inadequate performance includes but is not limited to: Negligence of the ISCC standard s regulations One or more technical failures in the audit process Procedure in the case of inadequate performance a) The CB must implement corrections/corrective actions b) New assessments (re-assessments) can be scheduled to verify the effectiveness of the corrective measures. 3) The CB s performance is good. No systematic and serious deviations have been found. The CB has good performance. No specific reassessments are scheduled. 5 Sanctions There are four steps to sanction a CB that can be applied. The ISCC management will take sanctioning decisions. When necessary an arbitration board can be implemented according to the procedures described in ISCC Document 253, Complaints, Appeals and Arbitration to ISCC PLUS 254 Integrity Program 6 of 8

7 decide on the sanctions. Yellow Card and Red Card can be lifted again after a defined time period. Step 1: Warning A Warning can be issued where minor non-compliances with the ISCC requirements are detected. Only the CB will be informed about the Warning. Step 2: Yellow Card A Yellow Card can be issued where non-compliances with the ISCC requirements are detected or where the CB does not react or does not report on written requests by ISCC. Sanction: Information to accreditation body or respective national authority that has issued the recognition for the CB. Step 3: Red Card A Red Card can be issued where major deviations from the ISCC requirements are detected, where required improvement measures due to the Yellow Card are found to be not sufficient, where the CB does not react or report on repeated written requests by ISCC, or where the accreditation body has suspended the accreditation. Sanction: Information to accreditation body or respective national authority that has issued the recognition for the CB Publication on the ISCC Website CB is not allowed to issue or reissue new certificates CB must inform all clients that it is no longer allowed to issue or reissue ISCC certificates. Step 4: Contract Cancellation Contract cancellation can take place in particular in cases of verified fraud, when a Red Card could not be lifted again after the agreed time period, bankruptcy, loss of recognition of the CB by national authority or accreditation body. Sanction: Information to accreditation body or respective national authority that has issued the recognition for the CB Contract Cancellation is published on the ISCC Website and all ISCC Members and clients are informed CB is not allowed to issue or reissue new certificates ISCC PLUS 254 Integrity Program 7 of 8

8 Cancellation of the Cooperation agreement by ISCC. ISCC PLUS 254 Integrity Program 8 of 8