ISO 53001 certification: what it proves and how it is issued (ISO/UNDP 53001)

ISO 53001 certification: the exact scope of a certificate

ISO 53001 certification is a third-party attestation. A certification body, independent of the organisation and of anyone advising it, examines the management system and decides whether it conforms to the requirements of the standard, for a defined scope and a limited period. The process is voluntary: no legislation currently requires it.

What a certificate proves comes down to three points. A system exists that organises the contribution to the Sustainable Development Goals (SDGs), with choices, objectives and indicators. That system genuinely works, on the evidence, and not only on paper. It is maintained and improved, which later audits verify. What the certificate does not prove is just as clear: it does not rank organisations, does not vouch for any level of performance and is not a product label.

The guide to the ISO/UNDP 53001 standard sets out the requirements this examination covers.

The certification cycle under ISO/IEC 17021-1

1. Stage 1 of the initial audit

   A review of the system's design and of the organisation's readiness, partly based on documents. The auditor checks that the scope is defined, that the selected SDGs and the common base appear in the system, and that stage 2 can go ahead.

2. Stage 2 of the initial audit

   An evaluation of whether the system is effectively implemented and effective in practice: interviews, observation and sampling of evidence.

3. Certification decision

   Taken by people who did not carry out the audit, on the basis of the report and the handling of nonconformities. A major nonconformity must be corrected, and the correction verified, before any positive decision.

4. Surveillance audits

   At least once per calendar year, the first within twelve months of the decision. They cover part of the requirements and the follow-up of earlier findings.

5. Recertification audit

   Held before the certificate expires at the end of its three-year cycle. It re-examines the whole system and its ability to improve over time.

Audit findings and what tips the decision

Findings are graded under the rules of ISO/IEC 17021-1. A major nonconformity undermines the system's ability to achieve its intended results: a requirement that has not been addressed, or serious doubt about whether a process is under control. A minor nonconformity has no such effect; the certification body then accepts the corrective action plan put forward by the organisation. Observations and opportunities for improvement are not nonconformities and do not block the decision.

For ISO 53001, the line between minor and major often depends on how far the gap reaches. An indicator left blank for one quarter is more likely to be minor. A selected SDG with no objective and no monitoring, or a management review that has never discussed the SDGs, goes to the heart of the system and may justify a major finding. How the organisation itself handles nonconformities falls under clause 10 of the standard.

The certification body and its impartiality

ISO/IEC 17021-1 sets competence, consistency and impartiality requirements for certification bodies. Impartiality has practical consequences: the certification body does not advise the organisation it certifies, does not design its system, and entrusts the decision to people other than the auditors. A committee oversees impartiality; at Gardiant, it will have 3 to 5 members and will meet at least once a year. Our impartiality statement sets out the commitments involved.

Accreditation is the step that verifies whether a certification body follows these rules. In France, it is the responsibility of COFRAC and relies on ISO/IEC 17021-1. Gardiant Certification is not yet accredited: it is preparing its application for COFRAC accreditation, and the accreditation page explains where things stand. Gardiant Certification will issue ISO/UNDP 53001 certification once its accreditation is granted. Its planned timescales will then be an audit report within 10 working days and a decision no later than 3 weeks after the audit.

Further reading

• ISO 53001, ISO 26000, ISO 14001: where the standard sits among the frameworks (ISO/UNDP 53001)ISO 53001 differs from ISO 26000, which gives social responsibility guidance and cannot be certified.
• Who is ISO 53001 for: the organisations the standard concerns (ISO/UNDP 53001)ISO 53001 is for any organisation that wants to manage its contribution to the SDGs and have it verified by a third party: companies of every size, local authorities and public bodies, associations, charities and foundations.
• ISO 53001 harmonized structure: ten clauses applied to the SDGs (ISO/UNDP 53001)ISO 53001 follows ISO's harmonized structure, formerly known as Annex SL: ten clauses in the same order as ISO 9001, ISO 14001 and ISO 45001.
• ISO 53001 mandatory SDGs: the common base of SDGs 5, 8 and 13 (ISO/UNDP 53001)According to information available to Gardiant, ISO 53001 requires every organisation to address three mandatory SDGs: SDG 5 (gender equality), SDG 8 (decent work and economic growth) and SDG 13 (climate action).