Peer Reviewer (Same as team members - see section 2.1)

Transcription

1 MSC - Marine Stewardship Council Consultation Document: Audit Personnel Competencies Consultation Dates: 1 st April-3 rd May, 2011 MSC Contact: Graham Bruford FOR CONSULTATION Introduction Competency is demonstrated personal attributes and demonstrated ability to apply knowledge and skills. This is distinct from a qualification which can be defined as an attribute that must be met or complied with, that fits a person for a particular job such as a degree in a relevant subject and relevant work experience. As part of the Certification Body (CAB) Learning & Development Strategy, a competency framework for different groups of CAB audit personnel is being developed. The different groups together with the relevant section of this paper where their competencies can be found are listed below: Fishery Assessments Team Leader (Sections 1.1, 2.1, 2.2, and 2.4) Team Member (Sections 2.1 and 2.3) Peer Reviewer (Same as team members - see section 2.1) Chain of Custody Audit Lead Auditor (Sections 1.1, 3.1, 3.2, 3.3 and 3.4) Auditor (Section 1.1, 3.1 and 3.2 ) In order to inform the competency framework development, the following activities have been undertaken: A CAB Training Needs Survey has been conducted and the responses analysed Consultations with Accreditation Services International (ASI - the body that accredits CABs to undertake MSC assessments) Analysis of the fisheries technical oversight procedures Forest Stewardship Council (FSC) auditor requirements have been referenced Feedback has been sought from CABs at the October 2010 training event and on visits to individual CABs. Purpose The objectives of formulating CAB audit personnel competencies and training requirements are to: Build on the existing requirements for CAB audit personnel which currently exist within the MSC scheme documents Set minimum competencies which all MSC fishery assessment team leaders, assessment team members, chain of custody lead auditors and auditors should obtain before they can undertake MSC fishery assessments and chain of custody audits Ensure all CAB audit personnel meet these competencies Reduce variability in the competency of CAB audit personnel between CABs which will help to achieve the target of more consistent and robust certification outcomes Consultation Document: Audit Personnel Competencies

2 Existing Requirements The MSC Certification System Requirements already state that CAB audit personnel for both fishery assessments and chain of custody audits: should follow guidance on auditing provided in ISO (4.4.1 Part A). The Requirements also state that all CAB audit personnel involved in assessments or audits: shall be knowledgeable about the aims and objectives of MSC certification (6.1.1 Part A) In addition, there are a number of competency and training requirements listed in ISO Guide 65 (clauses i) and j), 5.1.1, 5.2.1, 5.2.3, 9.3), which CABs have to comply with and their compliance is verified through ASI accreditation audits. For ease of reference, the relevant Guide 65 clauses are included in section 5 of this paper. Finally, there are other existing requirements for fishery assessment teams and chain of custody auditors which are detailed in the relevant sections below. Proposed Changes A summary of the proposed changes is given below, followed by a more detailed explanation for each group of CAB audit personnel referred to. Summary Table Competency Area Generic Competencies Fishery Assessment Team Leader Fishery Assessment Team Peer Reviewer CoC lead auditor CoC auditor Proposed Changes Specific requirements added for team leaders, lead auditors and auditors to keep up to date with changes to the scheme documents and receive annual training on the changes Requirements amended to make it clear the team leader should have a thorough understanding of the MSC Certification System Requirements Requirement to attend formal training to ensure this Requirement to be trained in the use of the RBF Requirements amended for the Team s understanding of the MSC Certification System Requirements to focus on key parts of the fishery assessment process Requirement for RBF training moved to Team Leader competencies Additional requirement for one team member to be trained in facilitation techniques and lead stakeholder consultation Suggested these competencies be focused on key parts of the fishery assessment process, the same as for the Fishery Assessment Team Requirement to be knowledgeable and demonstrate competency in the implementation of the relevant sections of the MSC Certification System Requirements Part A. Requirement to attend formal training to ensure this Requirement to be knowledgeable and demonstrate competence in the procedures for auditing applicants and certificate holders against Part B Chain of Custody Certification of the MSC Certification System Requirement to attend formal training to ensure this Consultation Document: Audit Personnel Competencies 2

3 1. Generic Competencies for Fishery Assessment Team Leaders, Chain of Custody Lead Auditors and Auditors Proposed Additions 1.1 CAB fishery assessment team leaders, chain of custody lead auditors and auditors involved in assessments or audits: Shall be knowledgeable about the changes made to the MSC scheme documents each year and demonstrate competency in applying these changes in fishery assessments and/or chain of custody audits Shall successfully complete a training program at least annually that covers these changes. The training can be carried out by or on behalf of the certification body. 2. Fishery Assessment Team Leaders Part C Fishery Certification of the MSC Certification System Requirements details the required expertise that a fishery assessment team has to have (sections ). Section also lists a requirement for all assessment team members which team leaders should already be compliant with: All team members shall have a thorough understanding of the MSC Principles and Criteria and the MSC Certification System Requirements, and at least one team member shall have understanding of the Chain of Custody Standard and Chain of Custody Certification System Requirements. Given that the expertise required listed in has to be met collectively by the fishery assessment team, it is proposed to amend as it does not seem necessary for all team members to have a thorough understanding of all MSC requirements. However, it is important that the team leader has this thorough understanding to be able to effectively carry out the duties detailed in Part A (Nominate a team leader responsible for carrying out the assessments or audit in conformity to MSC requirements and good audit practice.) Proposed Changes The following changes to the requirements are therefore proposed: 2.1 All team members should have a thorough understanding of: o the fisheries assessment process o scoring the assessment tree o setting conditions o client review o peer review as described in the MSC Certification System Requirements Part C Fishery Certification Requirements CABs may wish to refer assessment team members to MSC s on-line guidance and training modules on these subjects to help their understanding of MSC processes and fulfil their obligations under ISO Guide In addition, all fishery assessment team leaders shall be knowledgeable and demonstrate competency in: the implementation of the assessment requirements detailed in the MSC Certification System Requirements Part C Fishery Certification Requirements focusing on: confirmation of scope team selection 1 For existing MSC assessment team leaders who have conducted at least one fishery assessment satisfactorily by 30 th June 2012 these requirements will be assumed to have been met. (This is to allow sufficient time for the necessary training modules to be developed.) Consultation Document: Audit Personnel Competencies 3

4 announcement regarding certification and public involvement confirming the assessment tree to be used scoring the assessment tree setting conditions client review peer review public comment draft report determination final report the use of the RBF with particular attention focused on: Using RBF in Principle 1 RBF consultation processes and requirements Using the RBF on habitats and ecosystems PIs SICA (Scale Intensity Consequence Analysis) PSA (Productivity Susceptibility Analysis) Note: At present training in the use of the RBF is only required for one member of the assessment team (as detailed in section of Part C of the MSC Certification System Requirements) who is not necessarily the team leader. However, given the possibility of RBF use being triggered during an assessment for which there may previously have been no plan to use the RBF, this should avoid the need to recruit an additional assessment team member with RBF training part way through an assessment. Stakeholder Consultation & Training Effective stakeholder consultation is critical to the correct implementation of the Fishery Certification Requirements for all fisheries and requires a greater degree of skill when assessing a fishery using the RBF. The following additional requirements for assessment teams are therefore proposed to reflect this: 2.3 At least one member of the team shall have received formal training in facilitation techniques and shall lead stakeholder consultations on behalf of the team The training shall make reference to: the MSC s Guide to Stakeholder Consultation and guidance on participatory techniques for the Risk-Based Framework (RBF) 2.4 Prospective fishery assessment team leaders shall successfully complete a formal training program carried out by or on behalf of the certification body, which covers the subjects listed in sections 2.1 and Chain of Custody Lead Auditors & Auditors The MSC Certification System Requirements Part B Chain of Custody Certification already requires that: At minimum one member of each team shall have a general understanding of: Fish and fish products and their supply chains The type of supply chain operation to be audited The fisheries assessment process The point at which fish or fish products first enter the certified chain of custody 2 For existing MSC assessment team leaders who have conducted at least one fishery assessment satisfactorily by 30 th June 2012 these requirements will be assumed to have been met. (This is to allow sufficient time for the necessary training modules to be developed.) Consultation Document: Audit Personnel Competencies 4

5 Proposed Additions 3.1 It is proposed that in addition, all chain of custody auditors shall be knowledgeable and demonstrate competency in: the procedures for auditing applicants and certificate holders against Part B Chain of Custody Certification of the MSC Certification System Requirements use of the MSC ecolabels in conformity with ecolabel licence agreements (to be able to fulfil Part A 4.9.4) 3.2 Prospective chain of custody auditors shall successfully complete a formal training program carried out by or on behalf of the certification body, which covers the subjects listed above In addition, all chain of custody lead auditors shall be knowledgeable and demonstrate competency in 4 : the implementation of the relevant sections of the MSC Certification System Requirements Part A. Note: Requirements for lead auditors undertaking group audits are already listed in BB Prospective chain of custody lead auditors shall successfully complete a formal training program carried out by or on behalf of the certification body, which covers the subjects listed in 3.1 and Evidence of Conformity Evidence of conformity for fishery assessment team leaders, assessment team members, chain of custody lead auditors and auditors could include but is not limited to: Records of CAB and ASI witness audits Reviews of certification and audit reports undertaken by the team leader, lead auditor or auditor Auditor CVs CAB training records verifying training satisfactorily completed Certificate of attendance at MSC Training Workshop The development of an ASI Auditor Register which is currently under discussion could be used as an information store of all the evidence listed the above. The evidence proposed to demonstrate competency for team leaders and lead auditors and auditors does not currently involve a formal assessment e.g. through some kind of test/exam. Additional options for assessing competencies, including exams are due to be considered in the next phase of the CAB Learning & Development Strategy once the generic competencies detailed in this consultation have been agreed on and appropriate training modules established. The development of assessment options would necessitate the drafting of more detailed verifiable competencies in certain core areas such as technical knowledge, leadership and professionalism amongst others, as suggested in a recent consultancy report prepared for ASI. This paper also outlines how each of these core areas could be further broken down into a number of subcategories that could be used as the basis for evaluating the competency of the team leader, auditor or lead auditor. 3 For existing MSC chain of custody lead auditors who have conducted at least one chain of custody audit satisfactorily by 30 th June 2012, these requirements will be assumed to have been met. (This is to allow sufficient time for the necessary training modules to be developed.) 4 For existing MSC chain of custody auditors and lead auditors who have conducted at least one chain of custody audit satisfactorily by 30 th June 2012, these requirements will be assumed to have been met. (This is to allow sufficient time for the necessary training modules to be developed.) Consultation Document: Audit Personnel Competencies 5

6 5. Background ISO Lead Auditor Qualification At this point in time, the proposed competencies and training requirements do not require fishery assessment team leaders or CoC lead auditors to possess an ISO lead auditor qualification. The latest draft of the MSC Certification System Requirements Part A section states that both fishery assessments and CoC audits should follow ISO 19011, i.e. ISO has to be followed unless there are good reasons not to. If there are good reasons not to follow ISO 19011, then these have to be recorded by the CAB. In addition, section in the Fisheries Certification Requirements specifically details the requirement for a fisheries assessment team to have expertise in: Third-party product and management system conformity assessment auditing techniques experience and qualifications as lead auditor There are therefore already requirements to follow ISO procedures and auditing techniques without making any further changes. Consequently, it is proposed that the focus should shift towards more stringently enforcement through ASI accreditation audits. ISO Guide 65 Training & Competency Requirements 4.5.3i) the procedure for the recruitment, selection and training of certification body personnel and monitoring of their performance; j) a list of its approved subcontractors and the procedures for assessing, recording and monitoring their competence The personnel of the certification body shall be competent for the functions they perform, including making required technical judgements, framing policies and implementing them In order to ensure that evaluation and certification are carried out effectively and uniformly, the minimum relevant criteria for the competence of personnel shall be defined by the certification body Information on the relevant qualifications, training and experience of each member of the personnel involved in the certification process shall be maintained by the certification body. Records of training and experience shall be kept up to date, in particular the following: a) name and address; b) organization affiliation and position held; d educational qualification and professional status; d) experience and training in each field of the certification body s competence; e) date of most recent updating of records; f) performance appraisal. 9.3 The certification body shall assign personnel appropriately qualified to perform the tasks for the specific evaluation. Personnel shall not be assigned if they have been involved in, or been employed by a body involved in, the design, supply, installation or maintenance of such products in a manner and within a time period which could conflict with impartiality. FOR CONSULTATION Consultation Document: Audit Personnel Competencies 6