Kapitel 2: Mindestkriterien

MiK

CRITERIA QUESTION

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

RESPONSE OPTIONS

Accepted: yes 

Not accepted: no 

REQUIREMENTS

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.

GUIDANCE 

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.