Leveraging audit data to demonstrate outcomes and improve audit integrity

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The need for evidence
Collecting robust evidence
Linking compliance and M&E

Introduction

Project details

Project title: A ‘supporting evidence’ approach to revolutionise data-driven assurance and M&E

Lead organisation: Rainforest Alliance

Partners: UTZ

Duration: June 2017 to November 2018

Drying cocoa beans in Ghana © UTZ Certified

The need for evidence

As the uptake of voluntary sustainability standards has expanded, stakeholders are increasingly demanding evidence on the performance of certified operations and the outcomes of certification. At the same time, there's growing emphasis on the quality of assurance systems and the need for more robust data to show that standards are effectively addressing high-risk issues such as deforestation, child labour and exploitation. As well as meeting the needs of companies, governments, researchers and the public in general, better monitoring and evaluation (M&E) helps standards themselves to strengthen their systems and add value to their offer.

Felix Aquino-Bosque 2 © Gerardo Medina for Rainforest Alliance

Collecting robust evidence

Rainforest Alliance applied for an Innovations Fund grant to develop a framework that would enable routine audit processes to collect robust evidence on outcomes, without significantly increasing costs or administration for farmers, producer groups or companies. The project developed a set of indicators and a standard format for auditors to record data, refined through mock audits in Kenya and Côte d’Ivoire. The evidence includes both quantitative and qualitative outcomes, and is based on information that should already be available to auditors, such as field observations, maps, farm or group records, and interviews.

Pariamanu Native Community measuring logs, Peru © David Dudenhoefer, 2011, Rainforest Alliance

Linking compliance and M&E

The supporting evidence framework has been integrated into the new Rainforest Alliance/UTZ joint standard. It enables auditors to make better-informed decisions on compliance, based on actual outcomes rather than processes. At the same time, it can provide a cost-effective means of routinely collecting data to support M&E. The methodology and tools developed in the project can be replicated by other standards in other sectors that want to develop a similar framework or collect evidence to inform standard-setting.