Kapitel 2: Mindestkriterien

Topic: Assurance System

C.1.01 - Assessment methodology




Is there a documented assessment methodology for assurance providers to assess conformity with the standard and made publicly available?



Accepted: yes 

Not accepted: no 



A documented methodology describing requirements for assurance providers and the assessment procedures (e.g., audit procedures or testing and verification methods) taking into account the complexity and risk of a client, defines an assessment and sampling protocol, and which is commensurate with the claims being made by the scheme and by clients.

The assessment methodology shall include procedures for at least the following activities:

  • Assessment of conformance with the standard;
  • Review and decision;
  • Issuance of a certificate, where this is part of the scheme;
  • Periodic re-assessment.

For each type of assessment used, the scheme owner shall specify requirements for conducting the assessment that includes at least the following:

  • frequency and intensity of assessment;
  • sampling protocol for assessment;
  • knowledge and skills required in an auditor or assessment team (if assessment team is used);
  • minimum set of issues that need to be checked in every assessment;
  • a means of calculating the time needed for an assessment;
  • sources of evidence to be assessed;
  • minimum content of assessment reports; and
  • timelines for submission of completed reports, following assessments.


The assessment can include sources of evidence to be assessed and their corresponding admissible timeframes. Admissible timeframes can apply to all evidence, for example evidence within the past 12-months of the assessment will only be considered. Or timeframes can be specified by evidence type.

Kommentare (2)

Christina Endemann, FSC

ID: 434 25.04.2021 22:36

There should be some flexibility when it comes to determining audit time, e.g. to allow schemes to use risk-based approaches.


ID: 404 23.04.2021 14:10

A suggestion to add for conducting assessment: How does the scheme assessor evaluate evidence during on-site assessment? Does the scheme have a procedure of collection of objective evidence?