11. Monitoring and verification

Monitoring follows credible and consistent methods for assessing social, environmental, and land-use actions and outcomes. Compliance and progress are validated through verification processes that are credible, rigorous, and independent. This Principle applies to all companies, with roles and approaches differing based on position in the supply chain.

11.1   Monitoring assesses compliance of production units and primary processing sites in the company’s operations and supply chains relative to the goals, commitments, and obligations of the company and its buyers. If full compliance has not yet been reached, it also assesses progress towards compliance, for instance as measured by quantitative performance levels and/or implementation of improvement plans.

• The producer or primary processor monitors its operations and furnishes information on compliance and progress to its buyers.
• The buyer monitors production units and primary processing sites either directly or via credible monitoring mechanisms of its suppliers, service providers, or third parties.
• When a company is not able to trace its supplies back to production units of origin, the company conducts monitoring at the sourcing area level while working to progressively improve supply chain mapping or traceability in accordance with Core Principle 5.1.

11.2   Monitoring by a buyer also assesses the policies, systems, processes, and capabilities of its suppliers to achieve compliance, conduct monitoring across the supplier’s entire supply base, and furnish adequate information on compliance and performance to the buyer.

11.3   Monitoring is based on clearly-defined metrics against which compliance or performance may be assessed. These metrics are based on common definitions (Core Principle 3.3) where appropriate.

11.4   Monitoring methodologies use recognised and technically-sound approaches (eg, land cover change analysis based on satellite imagery, field observations, document review, stakeholder and rightsholder engagement, interviews with affected people or groups, community-based monitoring, and other effective techniques) to ensure the credibility and comparability of observations and findings across different contexts.

11.5   Monitoring processes incorporate relevant information and perspectives from local stakeholders and rightsholders to assess risks and performance levels. Effective mechanisms are established to facilitate the sharing of such information in a manner that protects the confidentiality and safety of persons providing information.

11.6   Verification follows good practices for sampling and audit intensity; methods for detecting risks, harms, and non-compliance with commitments; competence and independence of the assessment team; stakeholder and rightsholder participation; and transparency regarding the verification scope, metrics, process, and results.

11.7  Independent, third-party verification is conducted to the extent necessary to validate compliance and performance levels and provide the requisite level of independent assurance to substantiate communications and claims.

11.8   Verification reports (or summaries thereof) are made publicly available.

11.9   The company utilises the results of monitoring and verification processes to help inform learning, decision-making, and continuous improvement.