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SAAS Procedure 201A

Accreditation Requirements

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9 For Use By Certification Bodies Performing
10 SAAS Accredited SA8000:2014 Certification Audits
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14 October 2015
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 Authors: L. Bernstein & P. Scott Social Accountability Accreditation Services Issue: 1
Approval: Rochelle Zaid SAAS Procedure 201A:2015 Effective: October 6, 2015

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23 Contents
24
25 0. Introduction................................................................................................................................................. 4
26 0.1. DEFINITIONS...................................................................................................................................... 5
27 1. ACCREDITATION CRITERIA AND PROCESS ........................................................................................ 10
28 1.1. SAAS ACCREDITATION................................................................................................................... 10
29 1.2. ROUTES TO SAAS ACCREDITATION ............................................................................................. 11
30 1.3. APPLICATION FOR ACCREDITATION ............................................................................................ 13
31 1.4. GENERAL PROCESS REQUIREMENTS FOR SAAS ACCREDITATION ......................................... 14
32 1.5. INITIAL ASSESSMENT OF CB ......................................................................................................... 15
33 1.6. INITIAL ACCREDITATION DECISION PROCESS ............................................................................ 20
34 1.7. INITIAL ACCREDITATION ................................................................................................................ 21
35 1.8. CERTIFICATES ISSUED PRIOR TO ACCREDITATION .................................................................. 22
36 1.9. CONTINUANCE OF ACCREDITATION ............................................................................................ 23
37 1.10. INCREASED MONITORING OF CB ACTIVITY ............................................................................. 25
38 1.11. REACCREDITATION..................................................................................................................... 26
39 1.12. EXPANSION OR REDUCTION OF GEOGRAPHICAL AREAS...................................................... 28
40 1.13. COMPLAINTS ............................................................................................................................... 29
41 1.14. NONCONFORMITIES RAISED ON CBs ....................................................................................... 31
42 1.15. PREVENTIVE & CORRECTIVE ACTION ...................................................................................... 33
43 1.16. PUBLIC NOTICE AND INFORMATION ......................................................................................... 35
44 1.17. FEES ............................................................................................................................................. 36
45 1.18. SUSPENSION OR WITHDRAWAL OF ACCREDITATION ............................................................ 37
46 1.19. APPEAL PROCESS ...................................................................................................................... 39
47 1.20. CONFIDENTIALITY AND DISCLOSURE OF INFORMATION ....................................................... 40
48 1.21. APPROVAL AND REVISION OF ACCREDITATION REQUIREMENTS ........................................ 41
49 1.23 INTERNAL AUDITS, ON-SITE SAMPLING & WITNESSED AUDITS ................................................ 42
50 ANNEX A - ISO17021-1:2015 - SAAS ACCREDITATION ADDITIONAL REQUIREMENTS ............................ 43
51 ANNEX B - SAAS Documents ......................................................................................................................... 49
52 ANNEX C – USE OF SAAS ACCREDITATION LOGO .................................................................................... 50
53 ANNEX D – SA8000 CB Regular Data Submission ......................................................................................... 52
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 Authors: L. Bernstein & P. Scott Social Accountability Accreditation Services Issue: 1
Approval: Rochelle Zaid SAAS Procedure 201A:2015 Effective: October 6, 2015

57
58
59 List of Figures
60 Figure 1 - The SAAS Procedure 201 Series ...................................................................................................... 4
61 Figure 2 SAAS Accreditation Interactions ........................................................................................................ 10
62 Figure 3 - CB Accreditation Process ................................................................................................................ 12
63 Figure 4 – Estimate of Initial Accreditation Audit Days ..................................................................................... 12
64 Figure 5 - Surveillance Methodology................................................................................................................ 24
65 Figure 6 - SAAS Reporting Process................................................................................................................. 32
66 Figure 7 - CB NC Response Times……………………………………………………………………………………..33
67 Figure 8 - CB CAP Elements…………………………………………………………………………………………….33
68 Figure 9 - Invoice Late Payments.……………………………………………………………………………………….36
69 Figure 10 - SAAS SA8000 Mark ...................................................................................................................... 51
70 Figure 11 - Data Submission Requirements....………………………………………………………………………..52
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 Authors: L. Bernstein & P. Scott Social Accountability Accreditation Services Issue: 1
Approval: Rochelle Zaid SAAS Procedure 201A:2015 Effective: October 6, 2015

75
76 0. Introduction
77
78 The SAAS accreditation requirements for the accreditation programs that SAAS operates are described in the “201”
79 procedure series. These procedures are detailed in Figure 1 below.
80

Procedure 201 Series

201A 201B
Additional 201 Series, may be
For Use by CBs Performing Competence Requirements for developed
SA8000:2014 Audits Auditors and Other Personnel

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83 Figure 1 - The SAAS Procedure 201 Series

84
85 This document is SAAS Procedure 201A, which describes the process for granting, maintaining, extending, reducing,
86 suspending and withdrawing SAAS accreditation for Certification Bodies (CBs) that deliver SA8000 certification. This
87 procedure is supported by other procedures as outlined in ANNEX B - SAAS Documents.
88
89 SAAS Procedure 201A is based upon the requirements of the following:
90
91 1. For the general administration and delivery of accreditation for SA8000 certification: ISO/IEC 17011:2004
92 “General requirements for accreditation bodies accrediting conformity assessment bodies”
93
94 2. For the general administration and delivery of SA8000 certification services: ISO/IEC 17021-1:2015 “Conformity
95 assessment –Requirements for bodies providing audit and certification of management systems - Part 1:
96 Requirements”
97
98 This document supersedes all previous versions of Procedure 201 and related Advisories. Procedure 201A is intended for
99 use by SAAS and for use by applicant and accredited CBs for their informational purposes. It defines the rights and
100 responsibilities of SAAS and accredited CBs, as well as the SAAS activities required for assessing and accrediting CBs. It
101 provides transparency that is required of an international accreditation body and has been established to assure
102 consistent and reliable assessments throughout the accreditation process. This document is supported by a set of
103 internal SAAS work instructions and other documents defining the conduct of accreditation audits.
104
105 SAAS has updated Procedure 200 and Procedure 201 in conjunction with the revision of SA8000:2014. In order to retain
106 clarity, Procedure 201 has now been split into two separate documents 201A and 201B (see above).
107
108 The accreditation requirements detailed in this document are designed to supplement or amend the requirements of
109 ISO17021-1:2015 as needed. Thus, the requirements of ISO17021-1:2015 SHALL apply as written. This procedure
110 SHALL specify additional or amended requirements as needed. See Annex A - ISO17021-1:2015 - SAAS
111 ACCREDITATION ADDITIONAL REQUIREMENTS in this document for additional requirements for applicant and
112 accredited CBs supplemental to those found in ISO 17021-1:2015.
113

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 Authors: L. Bernstein & P. Scott Social Accountability Accreditation Services Issue: 1
Approval: Rochelle Zaid SAAS Procedure 201A:2015 Effective: October 6, 2015

114 0.1. DEFINITIONS

115
116 0.1.1 Accreditation Review Panel (ARP) - SAAS convenes an Accreditation Review Panel (ARP), a
117 committee of SAAS whose members review applications for initial accreditation and reaccreditation from
118 auditing firms seeking to become Certification Bodies (CBs) accredited by SAAS. The ARP is given the
119 authority by the SAAS Board of Directors to make accreditation recommendations to the SAAS Executive
120 Director who shall be responsible for the final accreditation decision.
121
122 0.1.2 Accreditation Requirements – Includes SAAS Procedure 201A and Procedure 201B, ISO/IEC 17021-
123 1:2015, and any supplemental SAAS Accreditation Rules that may be issued periodically in the form of
124 Notifications, Advisories or other documents.
125
126 0.1.3 Accreditation Rules – Positions taken or policies established for operational issues related to SAAS
127 accreditation of SA8000 certification programs (may also be known as Advisories). By reference,
128 Accreditation Rules SHALL be seen as requirements and incorporated in SAAS documents for the
129 SA8000 accredited certification program.
130
131 0.1.4 Closure (of a non-conformity) –Non-conformities shall not be closed by SAAS during the audit in which
132 they were issued. SAAS shall require the CB to submit root cause analysis and evidence of containment
133 and systemic corrective action, along with evidence of effective implementation for each non-conformity
134 issued.
135
136 0.1.5 Correction/containment – Action to eliminate a detected non-conformity.
137
138 0.1.6 Corrective action – Action taken to eliminate the cause of a non-conformity upon undertaking a root
139 cause analysis. It is the action taken to prevent recurrence of a non-conformity whereas preventive action
140 is taken to prevent initial occurrence of the non-conformity. In the SAAS-accredited system, corrective
141 action is undertaken to impact the entirety of the accredited management system. There is a distinction
142 between correction and corrective action. Correction is action undertaken immediately to eliminate the
143 detected non-conformity but not necessarily the cause. A corrective action request (CAR) may be issued
144 by SAAS as a means to initiate a required corrective action by the CB. A CAR is the initial stage in the
145 corrective action process and requires containment, root cause analysis, corrective action and a review
146 for effectiveness with supporting evidence.
147
148 0.1.7 Critical non-conformity (CNC) – A grievous breach of the certification or accreditation requirements that
149 results in severe impact to SA8000, SAAS or SAI’s reputation. Accreditation certificates may be denied,
150 cancelled or suspended when CNCs are confirmed. A CNC may consist of the following situations:
151
152 a. The CB lacks any reliable internal control (management) system, so its conformity with SAAS
153 requirements cannot reasonably be ensured;
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155 b. There is a complete breakdown of the CB’s internal control (management) system, so its conformity
156 with SAAS requirements cannot reasonably be ensured;
157
158 c. There is a complete breakdown or absence of the CB’s verification activities (internal audit and
159 management review), so its conformity with SAAS requirements cannot reasonably be ensured.
160
161 0.1.8 Duplicate Audit – An audit performed by SAAS Accreditation Auditors at an SA8000-Certified
162 Organisation to verify the organisation’s compliance with the SA8000 Standard. A duplicate audit may
163 replace the SAAS routinely scheduled accreditation surveillance audit of the CB.
164
165 0.1.9 Foreign Critical Location - Refers to a CB’s physical location outside of the Head Office, whatever the
166 composition (office, person etc.) or legal relationship (contractor, franchisee etc.) of such location with the
167 CB, where activities are conducted or controlled that determine or demonstrate the effectiveness of the
168 CB’s performance of the accredited certification, in particular:
169
170 a. the process for initial qualification, training and ongoing monitoring of auditors and audit personnel
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 Authors: L. Bernstein & P. Scott Social Accountability Accreditation Services Issue: 1
Approval: Rochelle Zaid SAAS Procedure 201A:2015 Effective: October 6, 2015

171 records; or
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173 b. the application review, the assignment of audit personnel, and/or review of the final report; or
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175 c. the certification decision based on the final review of the audit report.
176
177 0.1.10 Foreign Premises – Refers to the CB’s premises at a physical location separate from the Head Office
178 location, from which one or more key activities are performed. These premises are covered by the scope
179 of SAAS accreditation. Key activities include:
180 a. policy formulation
181 b. process and/or procedure development
182 c. contract review (as appropriate)
183 d. audit planning and conduct of audits, as well as review, approval and decision-making regarding the
184 results of audits
185
186 0.1.11 Head Office – The CB’s main operational office, which shall be responsible for managing the
187 accredited certification-related activities. CBs SHALL have designated 1 staff person, an SA8000
188 Program Manager, to interface with SAAS. That person SHALL coordinate any questions and
189 answers, scheduling, invoicing and other communication needed in order to correspond directly with
190 SAAS and, if applicable, the SAAS-designated Client Manager. See Procedure 201B for Program
191 Manager qualifications.
192
193 NOTE: CBs SHALL have designated 1 contact person or department at the Head Office to which
194 SAAS invoices shall be sent. SAAS shall not send invoices to any other contact person or
195 department. It is the responsibility of the nominated contact person or department to ensure that all
196 invoices are paid in a timely manner. Failure to do so shall result in non-conformities being raised
197 against the CB and possible suspension and withdrawal of SAAS Accreditation.
198
199 0.1.12 Head Office Assessment – A systematic and independent evaluation performed by SAAS at the CB’s
200 main operational office. The audit determines whether the CB’s management system for operating a
201 certification system is effectively implemented.
202
203 0.1.13 Highest Risk, High Risk Countries – SAAS developed a certification country risk audit process to
204 categorize the oversight and assurance process activities according to risk level. Activities taking place
205 in higher risk locations shall receive more oversight than those in countries determined to be lower
206 risk. These countries have specific requirements for accredited SA8000 certification program, as
207 determined by this risk audit. These countries can be found at
208 [Link]
209
210 0.1.14 Initial audit – Prior to granting accreditation, the process of evaluating an applicant CB’s suitability
211 and readiness for accreditation SHALL be conducted through review of documentation, office audits
212 and witnessed CB audits.
213
214 0.1.15 Major non-conformity – One of the following situations:
215
216 a. The absence or total breakdown of a system to meet an accreditation requirement. A number of
217 minor non-conformities against one requirement can represent a total breakdown of the system
218 and thus be considered a major non-conformity.
219
220 b. A non-conformity that the judgment and experience of the SAAS Lead Auditor indicates is likely
221 either to result in the failure of the CB’s certification system or management system. Based on
222 available objective evidence, this failure raises significant doubt as to the credibility of the
223 certificates issued by the CB.
224
225 c. A minor non-conformity that has not been addressed or for which no significant improvement has
226 been made by the time of a follow-up audit, in spite the organisation’s commitment to resolve the
227 issue.

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228
229 d. A major non-conformity may be raised after the audit ONLY in the case where a SAAS auditor
230 requires consultation with the SAAS head office.
231
232 e. A major non-conformity that has not been addressed or for which no significant improvement has
233 been made by the time of a follow-up audit, in spite of the CB’s commitment to resolve the issue,
234 SHALL lead to the CB being issued a warning and moved toward suspension.
235
236 0.1.16 Market Surveillance Visit (MSV) – A short (typically one-day) visit by SAAS to an SA8000-certified
237 organisation to determine the strength and demonstration of implementation of the CB’s SA8000 audit
238 management system at client sites and the effectiveness of the accredited certification process.
239
240 a. The objective of the MSV is to establish confidence in the CB’s certification process by direct
241 observations carried out during visits to a sample of its certified organisations, to use the results to
242 define appropriate levels of surveillance of the CB’s activities, and to improve the overall credibility
243 of the accredited SA8000 certification system. It is designed to show how well the system works
244 and provide assurance of the quality of the SA8000 system.
245
246 b. This visit consists of a high level look at the certified organisation and is typically a short, one-day
247 visit to a certified client to determine the level of confidence in the conformity of the management
248 system to SA8000 requirements and the effectiveness of the accredited certification process by
249 the CB.
250
251 NOTE: A market surveillance visit is not a "duplicate audit." The visit is intended only to strengthen
252 SAAS’s confidence in the activities of the CB.
253
254 0.1.17 Minor non-conformity –
255 a. A failure or oversight in some part of the CB’s management system relative to the requirements for
256 accreditation which is not systemic in nature;
257
258 b. A single observed lapse in following one item of the CB’s management system; such lapses do not
259 represent a breakdown of the CB’s systems or raise significant doubt about the credibility of
260 certificates issued by the CB.
261
262 0.1.18 Non-conformity (NC) – If fulfilment of specified requirements have not been demonstrated, a finding
263 of non-conformity SHALL be reported. Also referred to as a non-conformance. In the SAAS-
264 accredited system, identification of NCs initiate a corrective action request (CAR). A CAR is the initial
265 stage in the corrective action process. A corrective action SHALL be initiated as a result of a non-
266 conformity. The process required by SAAS of the CBs SHALL include containment/correction, root
267 cause analysis, corrective action and follow-up. NCs SHALL be logged using a nonconformance
268 report (NCR) to log and track occurrence of NCs.
269
270 0.1.19 Opportunity for Improvement (OFI) – These are intended to indicate where practice is a little slack
271 or inconsistent or systems may be improved. OFIs SHALL not be used where Minor NCs should have
272 been raised and SHALL not constitute telling the CB what to do (i.e. consultancy). Any negative
273 finding of a potential non-conformity shall be classified as an OFI (see definition of preventive action).
274 OFIs are documented within the body of the SAAS accreditation report. Additionally, SAAS may
275 include Observations– this is where SAAS can comment on best practice and ensure a value added
276 component to each audit.
277
278 0.1.20 Outsourcing/Subcontracting – As defined in ISO 17021-1:2015 - 7.5.1 to 7.5.4, outsourcing is
279 subcontracting work to another organisation to conduct certification activities on behalf of the
280 accredited Certification Body. For SAAS purposes, the terms “outsourcing” and “subcontracting” are
281 synonyms. “Partners,” as defined by some CBs to deliver certification activities, including marketing,
282 SHALL be recognized as subcontracting. This definition does not include contracted services by
283 individual auditors and/or technical experts. See also Annex A - ISO17021-1:2015 - SAAS
284 ACCREDITATION ADDITIONAL REQUIREMENTS, element 7.5 in this document.
285
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286
287 0.1.21 Pre-Assessment Audit - A pre-assessment audit is an audit with a specific objective related to the
288 verification of an implemented system.
289
290 0.1.22 Preventive action – Action taken to eliminate the cause of a potential non-conformity or other adverse
291 situation.
292
293 0.1.23 Remote Audit – A limited-scope document review of policies, documents and records that is not
294 conducted on the premises of the CB. Remote audits may be used at the discretion of SAAS in
295 situations such as expansion of scope; CB’s with very few SA8000-certified clients; transition to new
296 SA8000 standard version; review of evidence for closure of NCs and other situations as may arise.
297
298 0.1.24 Review of Documentation – Process of comparing the requirements in the applicant’s certification
299 and management systems documentation to the accreditation criteria. Also known as a document
300 review or desk review. This is conducted remotely, during an off-site audit. The purpose of the
301 document review is to review all relevant documents and records supplied by the CB to evaluate its
302 system for conformity with the requirements of ISO/IEC 17021, SAAS Procedure 200 and other
303 applicable procedures and guidance.
304
305 0.1.25 Root Cause Analysis – A method of problem solving used for identifying the root causes of faults or
306 problems. CBs are expected to use Root Cause Analysis to address NCs to look deeper into problems
307 and find out why they're happening. The process of Root Cause Analysis helps guide people to
308 discover and understand the initiating causes of a problem, with the goal of determining missing or
309 inadequately applied controls that will prevent recurrence. [See also ISO/IEC 17021-1:2015 Clause
310 9.4.9 Cause analysis of nonconformities].
311
312 0.1.26 SAAS Client Manager (SAAS-CM) – In most cases SAAS assigns CBs a SAAS-CM for the
313 accreditation period, who manages communication and workflow. In the case of some smaller CBs, or
314 at the discretion of SAAS, the role of CM may be taken by any SAAS LA or the SAAS-PC. The SAAS-
315 CM conducts office audits, manages the witnessed audit process, investigates complaints, and works
316 directly with the CB to address technical questions about its systems. The SAAS-CM conducts many
317 of the CB’s audits, but other auditors may also participate during the accreditation cycle. In most
318 cases, the CB shall be transferred to a new SAAS-CM during the reaccreditation office audit. The
319 original SAAS-CM shall then be re-assigned to a new CB.
320
321 0.1.27 SAAS Social Certification Program Coordinator (SAAS-PC) –The SAAS-PC is responsible for
322 managing the coordination, scheduling, and reporting related to oversight of SAAS-accredited
323 Certification Bodies.
324
325 0.1.28 SA8000 Certification Program –SAAS oversees and grants accreditation for this certification
326 program. The program encompasses all the requirements and processes for assessing conformance
327 to the Standard and providing SA8000 certification, including the SA8000 Standard, SAAS Procedure
328 200, other documents that specify the requirements for conformity audits, and other requirements
329 applicable to SAAS and the CB.
330
331 0.1.29 Suspension of Accreditation – Temporary restriction on the accredited services that a CB may
332 provide. While accreditation for SA8000 is suspended, a CB may not issue any initial SAAS-accredited
333 certificates nor accept new SA8000 clients. However, the CB shall be required to continue providing
334 services to existing SA8000 clients.
335
336 0.1.30 Withdrawal (Cancellation) of Accreditation – Termination of a CB’s accreditation. The CB SHALL
337 be required to return the certificate of accreditation to SAAS, terminate any use of the SAAS logo,
338 remove any reference to accredited status, and withdraw accredited certificates. A notification of
339 withdrawal shall be published at [Link]
340
341 0.1.31 Witnessed CB Audit – A SAAS audit team SHALL witness an SA8000 audit to determine the CB
342 audit team’s competence to conduct the audit. Under most circumstances, this will be announced.
343 There may be limited circumstances when an unannounced witness audit may be required. An
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 Authors: L. Bernstein & P. Scott Social Accountability Accreditation Services Issue: 1
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344 unannounced witness is a witnessed audit that SAAS conducts without previously notifying the CB of
345 the date. SAAS will arrive at an audit site without giving the CB prior notice and proceed with a
346 witnessed audit. If SAAS chooses to use this type of audit, it SHALL collect the audit schedule from
347 the CB and provide a proposed SAAS audit team to the CB.
348
349 Note: For additional terms and definitions, please refer to SA8000:2014, Procedure 200:2015, ISO/IEC
350 17021-1:2015 and ISO/IEC 17000:2004. For terms and definitions specific to the Social Fingerprint
351 process, please refer to the SA8000:2014 Social Fingerprint Glossary.
352

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353

354 1. ACCREDITATION CRITERIA AND PROCESS

355

356 1.1. SAAS ACCREDITATION

357 In order to ensure the integrity of the SA8000 social accountability certification system, it is essential for
358 stakeholders to have assurance of the competence of SAAS-accredited CBs to certify organisations to SA8000.
359 Thus, SAAS participates in an impartial verification process of accredited CBs’ competence (Figure 2). When
360 granted, SAAS accreditation for the SA8000 program is generally valid for a period of four years.
361
362 SAAS conducts internal audits and management reviews of its internal accreditation process and participates in
363 an external evaluation system in compliance with recommendations by the ISEAL Alliance. This process ensures
364 that SAAS operates in accordance with ISO/IEC 17011:2004.
365

External
Review

• ISO 17011
• SAAS Series of
Procedures SAAS

• ISO 17021
• SAAS
Procedures
CBs
200 and 201

• SA8000 SA8000
Certified
Organisations
366
367
368 Figure 2 SAAS Accreditation Interactions
369

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 Authors: L. Bernstein & P. Scott Social Accountability Accreditation Services Issue: 1
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370

371 1.2. ROUTES TO SAAS ACCREDITATION

372
373 CB’s have the option of requesting two different routes to gain SAAS SA8000 Accreditation.
374
375 1.2.1 Route 1: A CB may request that SAAS consider a reduced audit effort due to the fact that the CB is
376 already accredited to ISO/IEC 17021-1:2015 by an IAF-member National Accreditation Body. This
377 approach is intended to reduce the amount of time that CBs spend satisfying multiple accreditation body
378 audits.
379
380 For SAAS to consider this request, the CB shall comply with the requirements below.
381
382 a) The CB’s certifying office’s accreditation shall encompass a common management system among all
383 the offices of the CB that will deliver/delivers SA8000 and other management systems certifications,
384 such as ISO 9001.
385
386 b) For SAAS to consider a CB’s request for a Route 1 approach, they SHALL provide copies of all of the
387 following documents. Failure to do so, or if SAAS judges that the information provided is inadequate,
388 this SHALL result in the Applicant Organisation proceeding via Route 2. Copies of the documents
389 described below SHALL be submitted with the completed SAAS Application for Accreditation.
390 1. A valid Accreditation Certificate
391 2. Copies of the accreditation reports from the other accreditation body, in English, for their current
392 accreditation cycle.
393 3. A written declaration that since the last accreditation agency audit, the CB has no open major
394 non-conformities, is not suspended by the accreditation agency, nor subject to a major complaint
395 against it. The CB shall also be responsible for reporting to SAAS any major non-conformities,
396 suspensions or complaints related to its IAF member accreditation.
397
398 c) Additionally, the CB SHALL share all accreditation reports in English with SAAS during all
399 Head/Regional office audits and upon request by SAAS.
400
401
402 1.2.2 Route 2: The conventional method of accreditation that reviews all aspects of the CB’s organisation to
403 ISO/IEC 17021-1:2015. Route 2 shall be used for all applicant CBs that do not have an accreditation
404 from an IAF-member National Accreditation Body and/or are unable to satisfy the criteria above.
405
406 1.2.3 The general process for the SAAS initial accreditation process for all CBs is illustrated below in Figure 3.
407 This process applies for Route 1 and 2; however, Route 1 can lead to reduced SAAS audit time, as
408 generally described in Figure 4 below. Figure 3 shall also apply to the ongoing surveillance and
409 reaccreditation of CBs, though exceptions and variables shall apply at different points in the process.
410 Upon the decision to grant accreditation, the accreditation cycle shall generally be for a period of four
411 years, with required ongoing oversight and surveillance audits throughout the cycle to ensure compliance
412 with accreditation criteria.
413
414 Note: SAAS performs an ongoing risk audit of all applicant and accredited CBs. Higher-risk CBs [e.g. CBs with a
415 high number of non-conformities, complaints, or other concerns each year] shall require more
416 monitoring/surveillance audits.
417
418
419
420
421
422
423
424

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425
426

427
428
429 Figure 3 - CB Accreditation Process
430
431
432
SAAS Estimated Initial Accreditation Audit Effort
in Audit Days
Route Route
Activity 1 2
Application Review 1 1
Pre-Assessment N/A 2
Document Review 1 2
Head Office Audit 4 4
Witness Audit 2 2
Accreditation Package Review 1 2
Annual Surveillance Head Office 1 2
Total Days 10 15
433
434 Figure 4 – Estimate of Initial Accreditation Audit Days

435
436

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437

438 1.3. APPLICATION FOR ACCREDITATION

439
440 1.3.1. Information about the application process is available on the SAAS website:
441 [Link]
442
443 1.3.2. Formal applications for accreditation shall be sent electronically via email to:
444 saas@[Link].
445
446 1.3.3. New CBs applying for accreditation SHALL provide evidence of conformance to the SAAS
447 accreditation requirements.
448
449 a) When the accreditation application is deemed complete, with all required supporting
450 documentation and completed application form (including information to support a CBs request
451 to follow Route 1, as applicable), SAAS staff shall review the application to confirm that the CB
452 has the appropriate policies, scope and competencies.
453
454 b) SAAS shall also confirm that it has the capacity to provide the necessary services to the CB
455 with available competent auditors and experts. SAAS shall then accept the application and
456 notify the CB of the acceptance in writing.
457
458 1.3.4. At any point in the application process, SAAS may determine that the CB does not have the
459 potential to meet the accreditation requirements. Criteria for this negative SAAS determination may
460 include:
461 • Non-fulfillment of requirements
462 • Inability to achieve accreditation
463 • Ethical/Transparency/Impartiality issues.
464
465 a) SAAS SHALL inform the CB in writing that the application process has been terminated and
466 cannot be considered further and provide an explanation of the reason(s). Application fees
467 shall not be refunded.
468
469 b) If a CB wishes to reapply for accreditation, it shall be required to submit a new application with
470 supporting documentation and pay the application fee again. SAAS may impose a 2-year
471 timeframe at the end of which the applicant CB may be invited to then reapply.
472
473 1.3.5. The CB shall actively support the initial audit process by participating in all required accreditation
474 activities. For example, the CB SHALL provide additional information when requested, respond to
475 requests for corrective action, arrange for office audits, and arrange for suitable audits for SAAS to
476 witness.
477
478 1.3.6. If a CB is unable to achieve accreditation within one year of SAAS acceptance of the application,
479 SAAS may change the applicant CB’s status to “inactive.”
480 a) In such cases, SAAS shall notify the CB of the impending change of status approximately 30
481 days in advance.
482
483 b) An inactive status indicates that the application process is no longer moving forward and the
484 CB is no longer being considered for accreditation by SAAS.
485
486 c) To return to active status, the CB shall reapply for accreditation and provide any additional
487 documentation that SAAS deems necessary. The re-application may include additional fees.
488
489

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490

491 1.4. GENERAL PROCESS REQUIREMENTS FOR SAAS ACCREDITATION

492
493 1.4.1. Upon acceptance of the application for accreditation, SAAS SHALL conduct an audit of the
494 applicant CB in 3 parts, at minimum, as part of the initial accreditation process:
495 a) a document review,
496 b) an office audit and
497 c) a witnessed audit at an SA8000 client.
498 d) an on-site pre-assessment may be required for those CBs following Route 2.
499
500 1.4.2. SAAS audits are administered through the SAAS Program Coordinator (SAAS-PC).
501
502 1.4.3. SAAS staff, accreditation auditors, and the CB SHALL communicate via the SAAS-PC and send
503 copies of the audit information and related documentation to the SAAS-PC.
504
505 1.4.4. The SAAS-PC generates email confirmation, preparatory materials and other supporting
506 documentation to the CB and SAAS audit team to confirm the audit and outline the necessary
507 logistical details.
508
509 1.4.5. The CB SHALL send required pre-audit documentation to the SAAS-PC via email by the date
510 indicated in the e-mail confirmation.
511
512 1.4.6. The SAAS audit teams SHALL prepare reports on the result of each part of the audit process
513 (document review, office audit, and witness audit). The SAAS-PC SHALL communicate such
514 information to the CB.
515
516 1.4.7. All identified non-conformities and their responses SHALL be documented and sent to the SAAS-
517 PC who SHALL document and retain evidence of all CB responses to identified non-conformities.
518 The CB SHALL submit evidence of effective implementation of acceptable containment, correction
519 and corrective actions to the SAAS-PC.
520
521 1.4.8. CBs are generally assigned to a SAAS Client Manager (SAAS-CM) during the application process.
522 The SAAS-CM rotates after every four-year accreditation cycle. The SAAS Head Office SHALL
523 also rotate other SAAS Accreditation Auditors that are part of the audit team to maintain the
524 objectivity of SAAS Accreditation Audits.
525
526 1.4.9. If the CB submits a written objection concerning any audit team member, the SAAS Executive
527 Director SHALL assess validity of the objection using the following criteria: conflict of interest or
528 other perceived conflict.
529 a) Objections shall not be considered in relation to location of the SAAS auditor or other such
530 related travel issues.
531 b) If SAAS deems the objection to be valid, it SHALL not assign the individual to the team.
532
533 1.4.10. The CB SHALL have enforceable arrangements with the organisations that it audits for accredited
534 certification that allow SAAS to witness the CB’s audit team, whether announced or unannounced,
535 performing audits on-site, as needed. SAAS shall notify the CB when it wishes to perform a
536 witness audit and the CB may then inform their client of SAAS’s intention to witness that audit.
537 Note: Under exceptional circumstances, at initial accreditation and/or throughout the accreditation
538 cycle, a witness audit by SAAS may be unannounced from the CB Client’s perspective.
539
540 1.4.11. During the application process, the CB SHALL have a client willing to undergo the SA8000
541 certification process. See the section on Witness Audits (1.5.10) for further details.
542
543
544
545
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546 1.5. INITIAL ASSESSMENT OF CB

547
548 1.5.1. Upon acceptance of a CB’s application, SAAS SHALL assign the application to a SAAS-CM who
549 shall be the lead auditor throughout the initial application audit process. Under some
550 circumstances the SAAS-PC shall appoint the lead auditor, rather than the SAAS-CM, for the initial
551 accreditation process.
552
553 1.5.2. SAAS SHALL assign at least one other audit team member to the CB to participate in the initial
554 accreditation process with the SAAS-CM. When selecting the audit team for each audit, SAAS
555 SHALL ensure that the skills brought to the audit are appropriate as per SAAS procedures. As well
556 as technical expertise, auditors are selected based on the following criteria:
557 a) Lack of conflict of interest
558 b) Availability
559 c) Expertise in issues of concern
560 d) Expertise in local industry
561 e) Location
562 f) Knowledge of local language
563
564 1.5.3. SAAS SHALL conduct the initial accreditation audits of CBs; however, under limited circumstances
565 and as part of a pilot program, SAAS may consider joint audit teams with other accreditation
566 bodies.
567
568 1.5.4. SAAS audit team members SHALL not have relationships with the applicant that could influence
569 their audits and SHALL be required to proactively declare to SAAS that there is no conflict of
570 interest prior to accepting the assignment. Team members SHALL keep all knowledge and
571 information obtained about the applicant and its operations confidential.
572
573 1.5.5. SAAS SHALL evaluate the CB's management processes to ensure its competence in relation to
574 accreditation requirements for the SA8000 certification system. Throughout this process,
575 accreditation auditors shall ascertain whether the CB has effective processes in place to ensure
576 the competence of its personnel (including competence related to the SA8000 Performance
577 Indicators Annex). If evidence of their competence cannot be provided, the accreditation auditor
578 SHALL raise a non-conformity citing the CB’s failure to demonstrate competence with respect to
579 the Standard and associated documentation.
580
581 1.5.6 The evaluation by the SAAS audit team SHALL consist of: a document review, [pre-assessment if
582 applicable], office audit and witnessed CB audit as part of the audit for initial accreditation.
583
584 a) The SAAS Lead Auditor (LA) SHALL conduct the accreditation process per SAAS Work
585 Instructions.
586
587 b) In the case that the SAAS audit team does not speak the local language, an independent
588 interpreter shall be present. Interpreters and translators shall be provided by SAAS whenever
589 possible and charged out to the CB. If this is not possible, the CB, in conjunction and upon
590 approval by SAAS, shall arrange for the hiring of an independent and professional interpreter
591 free from any conflict of interest.
592
593 c) With the applicant CB, the SAAS LA, in consultation with SAAS-Program Coordinator (PC),
594 SHALL establish the audit date and locations for the on-site (pre-assessment, office and
595 witnessed) audits.
596
597 d) For each part of the process, after the conclusion of each audit activity, the SAAS LA shall
598 prepare an audit report, including the audit details, non-conformities issued and concerns
599 identified, and conclusions reached by the audit team.
600
601 e) Non-conformities (which SHALL require correction and corrective action by the applicant)
602 SHALL be documented and included as part of the report. The audit report shall also include
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603 the team’s concerns and opportunities for improvement; however, they do not necessarily
604 require a formal response.
605
606 1.5.7 Document Review: The document review SHALL consist of a review of the application materials,
607 documented procedures and other evidence of compliance to requirements submitted by the
608 applicant. The SAAS LA SHALL conduct the document review to evaluate the applicant’s
609 submitted documentation and determine if the applicant has satisfactorily integrated the
610 requirements for accreditation into its management system and operating procedures.
611
612 a) The CB SHALL be informed of the identity of the proposed members of the SAAS audit team,
613 including any technical experts. The CB has the opportunity to raise objections to any team
614 member at this point.
615
616 b) The SAAS LA SHALL review the submitted policies, procedures and other supporting
617 documents and assess completeness and compliance with ISO 17021-1 and SAAS Procedure
618 200. As a result, the SAAS LA SHALL issue a report with the outcome of the document
619 review. The applicant may be required to provide clarifications and corrections before the
620 accreditation process proceeds.
621
622 c) As a result of the document review, the SAAS Head Office SHALL confirm whether the
623 applicant CB can progress via Route 1 if they have requested to do so.
624
625 d) If the decision from the document review is that further action is required for the documentation
626 before on-site accreditation audits may proceed, the CB shall be contacted and appropriate
627 arrangements made to resubmit documentation. This process shall continue until the
628 documentation is acceptable, the CB decides to withdraw its application or SAAS suspends
629 the application process.
630
631 e) SAAS may decide not to proceed with an on-site office and witness audit based on
632 deficiencies found during the document review. The applicant shall be notified of this decision
633 and shall have the opportunity to appeal.
634
635 1.5.8. Pre-Assessment: For those applicant CBs following Route 2, SAAS shall require an on-site pre-
636 assessment audit. The pre-assessment audit is a trial run in order to see if the applicant CB is
637 “ready” for their accreditation office and witness audits and seeks to determine the degree to which
638 the CB’s documented management system conforms to ISO 17021-1:2015, Procedure 200 and
639 SAAS Procedure 201A.
640
641 a) The pre-assessment is unique in that there are no formal corrective actions as an outcome but
642 a better understanding of what the SAAS auditors are looking for.
643
644 b) The SAAS Pre-Assessment Audit shall consist of:
645 i. A formal opening meeting
646 ii. A full evaluation of the organisation management system to ISO 17021-1:2015,
647 Procedure 200 and SAAS Procedure 201A.
648 iii. Identification of the working and non-working systems
649 iv. A formal closing meeting
650 v. A comprehensive report
651
652 c) The SAAS pre-assessment audit report identifies potential non-conformities, which the CB shall
653 have the opportunity to address prior to the initial accreditation office audit. However, the pre-
654 assessment audit report shall not include suggestions of how to do so. The pre-assessment
655 audit is mandatory for all CBs following Route 2 for accreditation.
656
657 1.5.9. Office audit: SAAS accreditation auditors SHALL conduct an on-site audit at the applicant CB’s
658 designated head office to review the organisation's documented management system policies,
659 procedures, documents and files, and conduct interviews with staff and auditors.
660
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661 a) Office audits provide assurance that a SAAS applicant or accredited CB manages their
662 certification activities in compliance with SAAS requirements. SAAS office audits also confirm
663 that the CB’s nominated Head Office is communicating effectively with its local offices and that
664 there is a system for the global management of SAAS accredited certification programs.
665
666 b) SAAS auditors SHALL review that any non-conformities raised by SAAS have been analyzed
667 for root causes and the appropriate corrective and preventive action undertaken. SAAS
668 auditors SHALL verify that all associated personnel and auditors, including those in remote
669 locations, are given the necessary support by their accredited CB to perform effective and
670 consistent certification audits in line with SAAS requirements. SAAS auditors SHALL
671 understand and confirm the lines of authority and responsibility from the Head Office to remote
672 locations.
673
674 c) During an office audit, SAAS accreditation auditors review the CB’s procedures, documents,
675 work instructions and files as well as conduct interviews with appropriate staff and auditors.
676 When undertaken, the main objective of a SAAS Regional/Local Office Assessment audit is to
677 provide assurance that the CB Head Office is communicating effectively with their local office
678 and that the systems in place for the global management of SAAS accredited certification
679 program is effective, robust and consistent.
680
681 d) On-Site Office Audit Process:
682
683 i. For CBs utilizing Route 2, the SAAS-PC, with the SAAS-CM, SHALL arrange a pre-
684 assessment audit at the CB’s Head Office. SAAS SHALL confirm the date of the audit in
685 writing to the applicant, including a request for details on logistical arrangements. After the
686 on-site pre-assessment audit, the SAAS LA SHALL prepare a pre-assessment report,
687 which includes the details of the audit, a discussion of potential non-conformities and
688 concerns identified, and conclusions reached by the audit team. Potential non-conformities
689 SHALL be addressed by the applicant prior to the office audit.
690
691 ii. For CBs utilizing Route 1, a pre-assessment may not be necessary as long as the IAF-
692 member accreditation report has been submitted to SAAS for review as part of the
693 application materials and document review.
694
695 iii. Upon completion of the pre-assessment process, as necessary, the SAAS LA, with the
696 SAAS-CM, shall arrange a mutually acceptable schedule for the office audit(s). SAAS
697 SHALL confirm this schedule in writing with the applicant CB, including a request for
698 details on logistical arrangements and any other information required to carry out the audit
699 process. In addition, the applicant shall be informed of the SAAS plan for the office audit
700 and the SAAS audit protocol.
701
702 iv. In addition to the CB’s head office, other office locations are also subject to audit if they are
703 considered “critical,” as defined in the IAF GD 3:2003 documents on cross-frontier
704 accreditation.
705
706 v. Prior to conducting the office audit for initial accreditation, the applicant SHALL have
707 conducted a complete internal audit (all elements of the management system) and at least
708 one complete management review.
709
710 1.5.10. Witness Audit: During a witnessed audit, SAAS auditors observe the CB’s SA8000 auditors
711 performing an SA8000 audit to confirm that the CB’s procedures are effective in delivering credible,
712 consistent and robust SA8000 audits.
713
714 a) Upon completion of the office audit process, the SAAS LA, with the SAAS-CM, shall arrange a
715 mutually acceptable schedule for the SA8000 witness audit. SAAS SHALL confirm this schedule in
716 writing with the applicant CB, including a request for details on logistical arrangements, the
717 applicant CB’s audit team qualifications, details of the applicant CB’s audit plan, and any other
718 information required to carry out the audit process.
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719
720 b) SAAS SHALL witness the CB’s audit team conducting a complete Stage 2 SA8000 audit for the
721 initial witnessed CB audit. Note: Under some circumstances throughout the accreditation cycle,
722 SAAS may request a CB witness audit to take place during a Stage 1 SA8000 audit.
723 i. At initial accreditation, and throughout the accreditation cycle, the CB shall notify SAAS if the
724 client organisation refuses a witnessed audit.
725 ii. If the client organisation chooses to transfer to another CB to avoid the witnessed audit, it cannot
726 receive a SAAS-accredited SA8000 certificate.
727
728 c) For witnessed audits, the number of members of the SAAS audit team should equal the number of
729 members of the CB’s audit team. In most circumstances, a one-person CB audit team is not
730 acceptable for an initial accreditation witnessed audit.
731
732 d) Prior to the witnessed Stage 2 SA8000 audit, the CB applicant SHALL provide the SAAS audit
733 team with evidence of the completed document review and conclusions from the Stage 1 SA8000
734 audit, including the CB auditors’ path notes. The procedure for conducting the Stage 1 SA8000
735 audit by the CB SHALL have addressed the outcome of the SAAS document review so as to take
736 into account comments and findings and required revisions to comply with Procedure 200.
737
738 e) As with all SA8000 audits, during the SAAS witnessed audit, the witnessed client organisation
739 SHALL remain responsible for the safety of the audit teams.
740 i. The SA8000 LA and/or SAAS Accreditation Auditor SHALL be expected to take immediate
741 action as needed at any point during the audit to avoid injury; this may necessitate the
742 team’s departure from the area or the organisation’s site if necessary.
743 ii. The SA8000 LA and/or SAAS Accreditation Auditor shall abide by the organisation’s safety
744 rules as he or she becomes aware of them.
745 iii. If the SAAS LA observes a hazard that he or she considers to be an imminent risk of high
746 severity to health and safety during the witnessed audit, the SAAS LA SHALL request an
747 immediate meeting with the CB’s audit team leader to inform him or her of the hazard.
748 iv. The CB’s audit team leader is expected to address the hazard with the organisation in
749 accordance with the CB’s processes.
750
751 f) When evaluating an individual or audit team's awareness and competence with respect to SA8000
752 technical issues (including the SA8000 Performance Indicator Annex), accreditation auditors
753 SHALL:
754 i. Raise an awareness/competence-related non-conformance against ISO 17021 paragraph
755 7.1 or 7.2 only if the CB team/individual shows a failure to consider, or consistent or
756 blatant disregard for audit evidence which has a potential negative consequence for
757 workers, in the reasonable judgment of the accreditation auditor (e.g. an issue that
758 jeopardizes the integrity of the certification audit).
759
760 ii. Avoid raising an awareness/competence-related non-conformance due to the absence of
761 evidence that a particular performance indicator was evaluated during the audit. (i.e. It
762 would be inappropriate for accreditation auditors to use the annex as a 'completeness'
763 checklist.)
764
765 g) SAAS auditors do not normally interfere with the CB’s SA8000 audit and do not intervene in the
766 audit process until after the closing meeting with the client. However, if during the SA8000 audit a
767 situation arises wherein the non-identification of certain critical deviations by the CB is likely to
768 compromise the results of the audit, the SAAS auditor may intervene and seek a course correction.
769 Such an action shall be recorded and issued as a CAR by the SAAS auditor even after the
770 correction is made by the CB.
771
772 h) Under all circumstances, the SAAS audit report and non-conformities (NCs) of a CB’s witnessed
773 audit SHALL be written in terms of the management systems requirements, certification
774 requirements, and accreditation requirements.
775
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776 i) The SAAS witnessed audit SHALL not be complete until the SAAS LA receives and evaluates the
777 CB’s SA8000 audit report. As part of the SAAS accreditation audit, following a SAAS witness
778 audit, the CB SHALL provide a copy of their audit report to SAAS [identical to that as provided to
779 their client] within 10 working days after the last day of the on-site audit
780
781 1.5.11. The SAAS LA SHALL submit a copy of each accreditation audit report to the SAAS-PC, who is
782 then responsible for distributing it to the CB after technical and content review by SAAS personnel.
783
784 1.5.12. Evidence of the CB’s implementation of acceptable correction and corrective action for all non-
785 conformities SHALL be required before SAAS can initiate the initial accreditation decision process.
786 SAAS acceptance of the CB’s responses shall be based on a review by the SAAS audit team and
787 appropriate SAAS personnel. Follow-up audits and/or additional audits may be required. SAAS
788 SHALL communicate the results of all reviews to the applicant in writing.
789
790 1.5.13. Initial audits SHALL occur within the 12-month period preceding the accreditation decision. If any
791 audit occurred more than 12 months prior to the accreditation decision, SAAS may require a follow-
792 up audit.
793
794 1.5.14. In most circumstances, the applicant CB shall complete the initial accreditation process within one
795 year of the date of SAAS’s acceptance of the application. If the applicant does not successfully
796 complete the process within one year, SAAS may place the CB on “inactive” status.
797
798

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799

800 1.6. INITIAL ACCREDITATION DECISION PROCESS

801
802 1.6.1. If the accreditation audit team’s conclusions regarding the effectiveness of the CB’s SA8000
803 certification system are satisfactory and SAAS staff conclude that all other requirements have been
804 met (including the management of all non-conformities and payment of invoices), SAAS staff SHALL
805 prepare an accreditation package for consideration by the SAAS ARP. The package SHALL include a
806 summary of the CB’s application information; copies of audit reports; all non-conformities issued,
807 including the CB’s responses and SAAS review of the responses; and a SAAS executive summary of
808 the accreditation activity, along with the SAAS LA’s recommendation.
809
810 1.6.2. SAAS ARP voting SHALL be governed by the SAAS Operating Procedure 303 and ARP Terms of
811 Reference, which can be found at [Link]
812
813 1.6.3. If the SAAS ARP vote is in favor of initial accreditation, the recommendation SHALL be
814 communicated to SAAS staff. The SAAS ARP may recommend imposing certain conditions to
815 accredit the applicant CB. The newly accredited CB SHALL have the duty to ensure that those
816 conditions are met.
817
818 1.6.4. If the SAAS ARP votes against initial accreditation, the SAAS Executive Director SHALL be notified
819 and informed of the reason(s) for the recommendation.
820
821 1.6.5. In all circumstances, the SAAS Executive Director SHALL render a final decision based on the
822 recommendation by the Lead Auditor and the ARP, as well as the results of the audit.
823
824 1.6.6. SAAS staff SHALL notify the CB applicant of this decision and any next steps, in writing. The
825 applicant may appeal the decision should initial accreditation not be granted.
826
827 1.6.7. Under all circumstances applicants shall pay SAAS fees and any audit expenses associated with the
828 accreditation activity, even those CBs where accreditation is not granted.
829

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830

831 1.7. INITIAL ACCREDITATION

832
833 1.7.1. Upon receipt of a positive decision by the SAAS Executive Director, SAAS staff SHALL prepare a
834 certificate of accreditation for the CB upon receipt of one duly executed copy of the Accreditation
835 Agreement, signed by a company officer on behalf of the CB, and payment of any overdue unpaid
836 invoices.
837
838 1.7.2. SAAS SHALL update the published list of accredited CBs on the SAAS website when a new CB is
839 accredited: [Link]
840
841 1.7.3. SAAS SHALL send the certificate of accreditation and SAAS accreditation mark to the CB.
842
843 1.7.4. The certificate of accreditation SHALL include: the scope of accreditation, issue date, initial
844 accreditation date, expiration date, and an annex with CB locations (with critical locations and
845 subcontracted locations identified) and countries in which the CB has demonstrated that it is competent
846 to deliver SAAS-Accredited SA8000 certification. The accreditation certificate information and annex
847 SHALL be made publicly available on the SAAS website. See Annex A - ISO17021-1:2015 - SAAS
848 ACCREDITATION ADDITIONAL REQUIREMENTS for additional information on scope of accreditation.
849
850

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851

852 1.8. CERTIFICATES ISSUED PRIOR TO ACCREDITATION

853
854 1.8.1. A newly-accredited CB may issue SAAS-accredited SA8000 certificates only after it has received formal
855 recognition of accreditation from SAAS, including a signed agreement and accreditation certificate.
856
857 1.8.2. After the CB receives formal recognition of accreditation from SAAS, the CB SHALL then issue SAAS-
858 accredited SA8000 certificates to clients that participated in the initial CB witnessed audit, as well as any
859 clients that are subsequently audited and certified by the CB within the scope of its SAAS accreditation.
860
861 1.8.3. Upon request and explicit approval by SAAS, and only after the successful completion of the document
862 review, a CB may issue unaccredited SA8000 certificates to a maximum of 2 clients prior to the witnessed
863 audit(s) for initial accreditation in order to refine its SA8000 certification audit methodology. The audit
864 process SHALL adhere to the requirements found in Procedure 200.
865
866 a) The CB SHALL re-issue these clients’ SA8000 certificates with the SAAS mark following the
867 completion of a satisfactory surveillance or recertification audit after the date that SAAS granted the
868 CB accreditation. Should the applicant CB not become accredited, the clients SHALL be immediately
869 referred to accredited CBs to undertake a new SA8000 audit. Under these circumstances, the
870 accredited CB accepting the client shall contact SAAS to further review how to manage this
871 unaccredited SA8000 client.
872
873 b) Unaccredited SA8000 certificates SHALL NOT contain the SAAS accreditation mark and SHALL only
874 be valid for a maximum of 6 months from the date of issue. They SHALL also contain the following
875 paragraph prominently displayed:
876
877 “This Certificate has been issued by a Certification Body currently undergoing SAAS
878 Accreditation and is valid for six months from issue, after which time it is considered
879 EXPIRED. Social Accountability International and other stakeholders in the SA8000
880 process only recognize SA8000 certificates issued by qualified CBs granted
881 accreditation by SAAS and do not recognize the validity of SA8000 certificates issued
882 by unaccredited organisations or organisations accredited by any entity other than
883 SAAS.”
884
885 c) No currently accredited CB, subcontracted auditing company working with an
886 accredited CB or applicant CB SHALL have active unaccredited SA8000 certificates
887 outside of the parameters above.
888
889 1.8.4. A CB SHALL not issue or re-issue an accredited certificate with a date that is prior to the date that the CB
890 attained SAAS accreditation.
891
892 1.8.5. SAAS shall inform the newly-accredited CB of the date after which it may issue or re-issue certificates
893 with the SAAS mark.
894
895

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896

897 1.9. CONTINUANCE OF ACCREDITATION

898
899 1.9.1. SAAS SHALL continuously monitor and evaluate the accredited CB’s conformity to the accreditation
900 criteria, reference documents, and other requirements throughout the four-year term of accreditation.
901 This includes periodic office audits and witnessed audits to monitor select requirements. The audit
902 processes identified in the Initial Assessment of a CB process above SHALL be followed.
903
904 1.9.2. SAAS SHALL conduct a minimum of 1 head office audit annually.
905
906 a) SAAS SHALL conduct the first head office audit approximately six months after initial accreditation
907 has been granted, or 12 months after the initial accreditation head office audit, whichever occurs
908 first.
909
910 b) After the first one, head office audits shall be conducted approximately every 12 months.
911
912 c) Head office audits are targeted to be scheduled six months prior to the expiration of accreditation.
913
914 d) SAAS reserves the right to conduct unscheduled office audits at times other than those stated.
915
916 e) CBs SHALL make available to the SAAS LA a copy of all SA8000-related policies and procedures
917 in advance of the head office audit.
918
919 1.9.3 SAAS SHALL audit additional CB office locations on a sampling basis throughout the CB’s
920 accreditation cycle. Offices within the scope of the CB’s SA8000 activity SHALL be audited based on
921 data provided by CBs to specify and identify their locations of critical activity.
922
923 a) In addition to the head office, SAAS SHALL select a sampling of local and regional offices to visit
924 throughout the four-year term of accreditation. CB offices SHALL typically be subject to sampling
925 within the 4-year cycle at a minimum of one time per accreditation cycle at those locations for
926 which the answer is YES to any one or more of the questions below:
927 1. Office has staff with the authority to make SA8000 certification decisions.
928 2. Office has staff with the authority to manage the investigation of and report on SA8000
929 complaints.
930 3. Office has staff with the authority to qualify SA8000 auditors.
931 4. Office is located in a country that appears on the high and highest risk country list.
932
933 b) CB offices SHALL also be subject to audits based on risk and sampling so as to provide assurance
934 that the CB is communicating effectively with its local offices and maintain an effective global
935 management system.
936
937 c) The criteria above SHALL be used to identify office audits regardless of the ownership structure
938 within the CB – specifically, this criteria SHALL also be used for those organisations/offices that
939 have a subcontract agreement with the SAAS accredited CB.
940
941 1.9.4. SAAS SHALL conduct 2 SA8000 witnessed audits, at minimum, annually, but reserves the right to
942 witness additional CB audits as deemed necessary.
943
944 a) The frequency of witnessed audits SHALL be based on a number of factors including: CB
945 organizational and management structure, level of audit activity, location of audit activity, non-
946 conformities issued, complaints received, and other relevant factors.
947
948 b) Witnessed audits may be of routine surveillance audits of clients; however, during the 4-year
949 accreditation cycle, one witnessed audit SHALL evaluate the CB’s SA8000 recertification process,
950 and one witnessed audit SHALL evaluate the CB’s initial audit process during a Stage 2 SA8000
951 audit, provided the CB has a new client within the 4-year cycle.
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952
953 c) SAAS guidelines for selecting the witnessed audits may include but are not limited to: diversity of
954 technical area, audit type, office audit results, and existence of complaints.
955
956 d) Individual witnessed audit sites SHALL be selected by SAAS in order to witness a wide spectrum of
957 organisations and auditors in witness audits for a CB over an accreditation cycle.
958
959 e) CBs SHALL make available to the SAAS LA a master list showing the current revision level of all
960 SA8000-related policies and procedures to assure effective document control.
961
962 1.9.5. A SAAS audit team consisting of two accreditation auditors SHALL witness a CB team of two or more
963 auditors at least once during the accreditation period.
964
965 1.9.6. The SAAS ARP provides a recommendation to SAAS staff to make final decisions about continuation
966 of a CB’s accreditation within the four-year accreditation period based on the satisfactory results of the
967 SAAS CB surveillance audits, or the satisfactory correction and corrective actions for any non-
968 conformities. Unsatisfactory results during the accreditation period may necessitate increased
969 surveillance of the CB, or suspension or withdrawal of accreditation.
970
971 1.9.7. SAAS CB surveillance audits SHALL utilize a combination of the methodologies in Figure 5:
972
SA8000 Witness Audits Head Office Audits

SA8000 Duplicate Audits Regional Office Audits

Market Surveillance Visits CB Partner/Subcontractor Office Audits

Document Reviews Remote Office Audits

973
974 Figure 5 - Surveillance Methodology

975
976 1.9.8. On an annual basis, the SAAS Head Office SHALL send its proposed surveillance audit plans for the
977 following year to SAAS Accredited CBs. The plan is based on the CB’s performance from the previous
978 12 months, as well as its route for accreditation (Route 1 or Route 2).
979
980 1.9.9. Obligations of the Certification Bodies: Each accredited CB SHALL promptly notify SAAS of any
981 intended or actual changes to its management system or any other changes that may materially affect
982 its conformity to the accreditation criteria. This requirement encompasses, as an example, any such
983 changes in a country within the scope of accreditation, plans to begin activity in new countries, an
984 increase of 5-10 or more SA8000 audits in an existing country, or other such expansions that have
985 taken place, as well as at its headquarters. Additional examples include changes to:
986 a) Legal, commercial or organisational status;
987 b) Organisation and management, for example key managerial staff and changes to the accreditation
988 decision process;
989 c) Policies and procedures related to SA8000;
990 d) Personnel, equipment, facilities, location, working environment or other resources;
991 e) The intended use of subcontractors;
992 f) Acquisitions of or mergers with other CBs.
993
994
995
996

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997

998 1.10. INCREASED MONITORING OF CB ACTIVITY

999
000 1.10.1. The SAAS ARP, SAAS LA, or other SAAS personnel may recommend an increase in monitoring a
001 CB’s activity if there is reasonable concern about the CB’s operations, under circumstances where
002 suspension or withdrawal of accreditation may not be appropriate. However, increased monitoring does
003 not have to precede suspension or withdrawal.
004
005 1.10.2. Increased monitoring may be considered for any of the following reasons:
006 a) Significant organisational changes within the CB, including a change in the designated head
007 office and/or management staff, addition of a new critical location, or expansion into a new
008 country.
009
010 b) Increased certification activity.
011
012 c) Multiple non-conformities and/or complaints in a specific area (for example, but not limited to:
013 audit day calculations or an industry-specific program requirement or in a specific
014 country/region).
015
016 d) Relationships that cause a real or perceived conflict of interest.
017
018 e) CB SA8000 certification activities in highest and high-risk countries.
019
020 f) Other conditions deemed appropriate.
021
022 1.10.3. Increased monitoring may include increased office audits and/or witnessed audit activity, depending on
023 the reasons for increased frequency.
024
025 Note: As well as routine surveillance activities, SAAS may use additional methodologies for increased
026 monitoring, such as: remote audits, market surveillance visits, and duplicate and unannounced audits.
027 [See also ISO/IEC 17011:2004 Clause 7.11.2]
028

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029

030 1.11. REACCREDITATION

031
032 1.11.1. All CBs SHALL have at least a total of three active [i.e. clients somewhere within a valid three-year
033 certification cycle and subject to routine surveillance audits] SA8000-Certified Clients at the time of
034 application for reaccreditation.
035
036 a) If a CB fails to have a total of three active SA8000-certified clients at the time of application for
037 reaccreditation, the CB may submit a request to SAAS for a 6-month extension in which to
038 demonstrate its ability to achieve this minimum. This extension request shall be submitted prior to
039 the application for reaccreditation.
040
041 b) The reaccreditation process shall move forward, if the CB wishes to be reaccredited, with all steps
042 as outlined below.
043
044 c) Failure to achieve three active clients within the extended time period shall result in the CB
045 reaccreditation not being granted and a withdrawal of the CB’s accreditation. The CB may apply
046 again for reaccreditation after a period of 12 months has lapsed. The degree of review necessary
047 to reaccredit the CB is left to the discretion of SAAS and the SAAS ARP and will be based upon a
048 risk assessment.
049
050 1.11.2. As part of the reaccreditation process, SAAS SHALL require the applicant CB to complete and submit
051 an application for reaccreditation with supporting documentation, policies and procedures, which
052 SHALL be reviewed as part of a reaccreditation document review conducted by SAAS. This
053 documentation shall be submitted approximately six months prior to the expiration of accreditation.
054
055 1.11.3. SAAS SHALL conduct an office audit of the CB’s complete SA8000 certification system at its head
056 office approximately three to six months prior to the expiration of accreditation. All application material
057 shall have been submitted prior to the office audit. Other office locations of the CB, in addition to the
058 head office, may be subject to reaccreditation audits as part of the reaccreditation audit process, as
059 determined by SAAS.
060
061 1.11.4. A number of witness audits prior to the expiration shall also be designated as part of the reaccreditation
062 process.
063
064 a) The number of witness audits required SHALL be based upon the number of CB clients in Highest
065 and High Risk countries and other factors identified within this document for selecting witness audit
066 locations and frequency.
067
068 b) The required witness audit by SAAS observing the CB conduct a Stage 2 SA8000 audit may be
069 conducted any time during the accreditation cycle; however, it shall be completed prior to
070 reaccreditation.
071
072 c) In all cases, SAAS SHALL conduct a witness audit within the six months prior to the expiration of
073 accreditation. The reaccreditation witness audit SHALL:
074 i. Be of a certified organisation that has been certified for some time (a mature certified
075 organisation);
076 ii. Consist of an audit of more than 1 day with more than 1 SA8000 auditor.
077
078 1.11.5. The SAAS reaccreditation audit team SHALL usually consist of the outgoing and incoming SAAS Client
079 Managers.
080
081 1.11.6. Upon completion of the on-site audits and acceptance of corrective action plans to address NCs (as
082 applicable), SAAS staff SHALL prepare the CB’s reaccreditation package and submit it to the SAAS
083 ARP for the reaccreditation recommendation. The package includes an Executive Summary, including
084 summary of all audits from the current accreditation period; reaccreditation audit reports; a copy of the
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085 reaccreditation application form; a summary of the non-conformities identified in the audits, the CB’s
086 corrective action responses (including correction, root cause analysis, and corrective action), and the
087 status of the non-conformities (for example: open, closed, or verified); as well as a summary of
088 complaints and appeals. Reaccreditation shall not be considered if the CB has open major non-
089 conformities.
090
091 1.11.7. If the SAAS ARP recommends in favor of reaccreditation, upon a final decision by the SAAS Executive
092 Director, SAAS SHALL issue the CB a new accreditation agreement and certificate of accreditation.
093 SAAS may impose certain conditions in its reaccreditation decision for the CB. The re-accredited CB
094 SHALL have the duty to ensure that those conditions are met.
095
096 1.11.8. If SAAS decides against reaccreditation, SAAS SHALL notify the CB in writing of the decision, the
097 reasons for it, and any next steps for the CB and SAAS to initiate suspension or withdrawal of
098 accreditation. The CB may appeal the decision.
099
100

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101

102 1.12. EXPANSION OR REDUCTION OF GEOGRAPHICAL AREAS

103
104 1.12.1. SAAS accreditation of CBs for the delivery of SA8000 certification is NOT given on a global basis, but
105 rather on a regional and country-by-country basis. See Annex A - ISO17021-1:2015 - SAAS
106 ACCREDITATION ADDITIONAL REQUIREMENTS for additional information on the scope of
107 accreditation.
108
109 1.12.2. If a SAAS-accredited CB wishes to extend or reduce its accredited geographical scope of operation, it
110 SHALL apply via email to saas@[Link], and copy the designated SAAS-CM. All CBs,
111 including those that already have global accreditation from SAAS, as well as those with limited country
112 by country or regional accreditation shall comply with the following process requirements:
113
114 a) Should the CB wish to add additional offices to the scope identified in the accreditation certificate
115 annex or change the location of, or activities performed by existing offices identified in the annex, it
116 SHALL notify SAAS in writing using only the SAAS-approved reporting form. The CB shall be sent
117 the appropriate forms to complete and return to SAAS.
118
119 b) Should the CB wish to undertake SA8000 audit activity in a country it has not previously done
120 audits and add a new country to the scope identified in the accreditation certificate annex, it SHALL
121 notify SAAS in writing using only the SAAS-approved reporting form. The CB shall be sent the
122 appropriate forms to complete and return to SAAS.
123
124 c) Supporting documentation shall be submitted to accompany the request for expansion. CBs shall
125 undertake a risk assessment to review the expansion of activity. This assessment, as well as
126 evidence of research, stakeholder engagement, resource allocation and auditor and personnel
127 competencies shall be reviewed by SAAS prior to undertaking a decision for expansion.
128
129 1.12.3. SAAS staff are authorized to make decisions on a geographical extension of scope based on the
130 recommendation of the CB’s SAAS-CM. SAAS staff shall inform the CB when its review is complete
131 and a decision on the Scope Extension is reached.
132
133 1.12.4. SAAS staff are authorized to make decisions, based on the recommendation of the SAAS-CM, or as a
134 result of accreditation audit activity by SAAS, regarding a reduction of geographical scope if there is
135 evidence that the CB no longer possesses the necessary competence or resources to audit and issue
136 certifications in that region/country. Such changes may also be based on request of the CB. These
137 changes shall be reflected in the issuance of an updated accreditation certificate annex.
138

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139

140 1.13. COMPLAINTS

141
142 1.13.1 Complaints Sent Directly to CB:
143
144 [Link] Upon receipt of a complaint within the scope of SAAS accreditation, the CB SHALL, at minimum:
145
146 a) Initiate its complaints procedure.
147
148 b) Acknowledge receipt of the complaint to the complainant within 5 working days.
149
150 c) Determine the acceptability of the complaint based on evidence received.
151
152 [Link] If the complaint is accepted by the CB, the CB SHALL conduct an investigation as detailed below.
153
154 [Link] If the complaint is not accepted, the CB SHALL notify the complainant of why it was not accepted, and
155 provide instructions on the CBs appeals process. The complainant SHALL also be given the opportunity to
156 provide additional evidence to support the complaint.
157
158 [Link] Complaints SHALL be reviewed by designated CB staff to determine their relevance to provisions of
159 SA8000 or SAAS audit requirements or accreditation procedures, and determine if the CB should record
160 the information as documented evidence of an SA8000 client’s non-compliance (if applicable).
161
162 a) The CB SHALL conduct an investigation, which may be aided by an unannounced audit and
163 through interviews with outside stakeholders, such as: trade unions, NGOs, and the complainant.
164
165 b) The investigation SHALL cover all elements identified in the complaint.
166
167 c) If the complaint relates to a specific audit, the CB SHALL assign personnel to the complaint
168 investigation who were not a part of the relevant audit team.
169
170 [Link] The CB SHALL submit a report to the complainant regarding the conclusion of its investigation.
171
172 a) The report SHALL present the resolution of the complaint and the reasons for that conclusion.
173
174 b) The report SHALL summarize the documented evidence submitted and the response, if there is any,
175 from the certified organisation’s management. If the certified organisation has agreed to corrective
176 action, its commitment SHALL be included in the report. When the CB confirms that the certified
177 organisation has implemented the corrective action, this information SHALL be included in the report as
178 well.
179
180 c) The certified organisation’s management SHALL have the right to submit a written response to the
181 allegations. This response, or a summary of it, SHALL be included in the report. The report SHALL be
182 written according to any relevant confidentiality agreements, and SHALL be issued within 10 days of
183 rendering the decision.
184
185
186 1.13.2 Complaints Received by SAAS Regarding CBs and CB Clients:
187
188 [Link] Any complaints received by SAAS regarding CBs and CB clients SHALL be forwarded to the relevant
189 CB for further action and investigation. CBs SHALL follow the process as detailed above.
190
191 [Link] In addition, the CB SHALL at a minimum:
192
193 a) Acknowledge receipt of the complaint from SAAS.
194
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195 b) Report its plan of action to SAAS within 10 days, and submit subsequent reports every 30 days after
196 that point.
197
198 c) Establish contact with the complainant as part of the investigation.
199
200 d) Complete the investigation within 90 days or less, unless otherwise agreed upon with the SAAS
201 Executive Director.
202
203 [Link] SAAS may elect to investigate the CB’s actions in investigating the complaint by conducting an
204 additional audit of the CB and/or certified organisation.
205
206 1.13.3 Other Types of Complaints Received by SAAS:
207
208 [Link] SAAS may receive information regarding a CB or a CB’s certified client from a stakeholder with whom
209 SAAS or SAI, the owner of the SA8000 standard, has a relationship. This stakeholder may have
210 information that raises issues of concern about the certified organisation, which then requires
211 investigation by the CB. SAAS SHALL require CBs to treat such issues of concern as formal
212 complaints and undertake an investigation as noted in the points above, and correspond directly with
213 the stakeholder.
214
215 [Link] The relevant complainant may wish to remain anonymous. In such cases, SAAS SHALL act as the
216 intermediary; the CB SHALL send all correspondence to SAAS, which shall liaise with the complainant.
217
218
219
220 1.13.4 All complaints SHALL be logged and actioned, with records maintained. The CB SHALL provide the
221 SAAS auditor with this information during accreditation audits. All CBs in the SAAS accreditation system
222 SHALL keep records of complaints, appeals and responses for a minimum of 10 years after the resolution
223 of the complaint. Non-confidential information about complaints is published on the SAAS website:
224 [Link]
225
226 1.13.5 Each CB SHALL provide a detailed report to SAAS of all complaints received every 6 months. This report
227 SHALL include details of the complaint, outcome, root cause analysis and corrective action, as
228 necessary.
229
230 1.13.6 The CB complaints process SHALL include statutes covering whistleblowers which protects such
231 whistleblowers from retaliation. This SHALL include protection for personnel within the certified
232 organisation as well as other stakeholders within the SA8000 process.
233
234
235 1.13.7 SAAS has developed a confidential complaints system for stakeholders to use. This can be found at:
236 [Link]
237
238
239

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240

241 1.14. NON-CONFORMITIES RAISED ON CBs

242
243 1.14.1. During any SAAS audit, the SAAS LA may raise a non-conformity on the CB as a result of a non-
244 compliance with the SAAS accreditation criteria. The CB SHALL be given the opportunity to make the
245 correction, determine the cause of the issue, and take corrective action within a period determined by
246 SAAS, without prejudice to SAAS’s right to immediate termination of the Accreditation Agreement.
247 Opportunities for Improvement (OFI) may also be raised during the audit.
248
249 1.14.2. NCs may also be raised as a result of issues brought to the attention of SAAS staff, independent of a
250 document review, witness or office audit. These types of NCs usually involve issues such as an
251 incorrectly issued certificate or failure to pay a SAAS invoice within the allotted number of calendar
252 days. In such cases, the CBs SAAS Client Manager may raise the NC.
253
254 1.14.3. During witnessed CB audits, the SAAS LA is witnessing a CB audit team as an observer and SHALL
255 not actively pursue an independent audit trail. Thus, a non-conformity cannot be submitted prior to
256 discussion with the CB audit team during the closing meeting between SAAS and the CB’s audit team.
257 The CB audit team may have a reasonable explanation for its decision regarding a conformity or non-
258 conformity for a given area during the audit.
259
260 1.14.4. All non-conformities identified SHALL be documented by SAAS and entered into a database by SAAS
261 staff.
262
263 1.14.5 Each non-conformity issued by SAAS SHALL have three documented parts: (1) the requirement, (2)
264 the statement of finding, and (3) the evidence.
265
266 1.14.6. SAAS SHALL classify all non-conformities as “Critical,” “Major” or “Minor.” Critical NCs are generally
267 only raised as a result of a CB Head Office audit, or independently between audits by the CB’s SAAS
268 Client Manager/SAAS Head Office staff. A Critical NC SHALL initiate the SAAS accreditation
269 suspension process.
270
271 1.14.7. The SAAS LA SHALL leave copies of NCs with the relevant CB representative present during the on-
272 site audit. The CB representative SHALL sign each CAR to acknowledge that it was presented to him
273 or her. There may be times when the SAAS accreditation auditor SHALL require consultation with the
274 SAAS Head Office staff prior to issuing a CAR. In these limited circumstances, a CAR may be issued
275 subsequent to the conclusion of the on-site office or witness audit.
276
277 1.14.8. All NCs raised by SAAS Auditors SHALL be sent to the SAAS-PC and the CB’s SAAS-CM within five
278 working days of the audit. The SAAS-PC or SAAS-CM SHALL send a copy of the CARs to the CB’s
279 nominated program manager within 14 days from the final date of the audit. However, it SHALL be
280 expected that the CB’s program manager SHALL have received a copy of the CARs directly from the
281 CB representative present during the audit.
282
283 1.14.9. All responses to CARs shall be reviewed by the SAAS LA and the SAAS-CM concerned. As a result of
284 this review, the corrective actions may be accepted or, in some limited circumstances, the CARs
285 themselves may be upgraded, downgraded or withdrawn.
286
287 1.14.10. SAAS is committed to ensuring that accreditation audit reports are sent to the CB as soon as possible
288 after the audit. If there are unexpected delays, the SAAS-PC shall advise the CB via email of such.
289 The SAAS reporting process, in general, follows the system as described in Figure 6 .

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290
291 Figure 6 - SAAS Reporting Process

292

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293

294 1.15. PREVENTIVE & CORRECTIVE ACTION

295
296 1.15.1. The CB SHALL be required to respond in writing to all CARs raised by SAAS, detailing its proposed
297 corrective action plan within the timeframes described in Figure 7. Failure to do so shall result in
298 escalation to a Critical NC or suspension, as necessary.
299
300 1.15.2. The CB SHALL respond to all non-conformities raised by SAAS and forward its response to the SAAS-PC
301 within the following timeframes, as described in Figure 7.
302
CAR SAAS to Submit CB to Submit Root Preventive Action and Evidence of Escalation if
Type Copy of CARs to CB Cause Analysis and Corrective Action Effective Timescales Not
Within CAP to SAAS Within Undertaken Within Preventive and Met
Corrective Action
Available Within
Critical 14 Days From Final 21 Days From Final Date 45 Days (1.5 months) 60 Days (2 Suspension of CB
Date of Audit of Audit from Final Date of Audit months) from Final
Date of Audit
Major 14 Days 30 Days (1 month) 60 Days (2 months) 90 Days (3 Critical N/C Raised
months)
Minor 14 Days 30 Days (1 month) 90 Days (3 months) 180 Days (6 Major N/C Raised
months)
303
304 Figure 7 – CB NC Response Times

305
306 Note: The timelines in Figure 7 do not include additional time for communication between SAAS and the CB if
307 responses are not accepted. It is recommended that the CB provide responses early to allow time for
308 additional reviews if needed. These timelines also do not apply while a non-conformity is under appeal.
309
310 1.15.3. The CB Corrective Action Plan (CAP) SHALL consist of four parts, as described in Figure 8. The CAP
311 SHALL be submitted using SAAS Form 415B. [See also ANAB Heads Up Issue: 137 - Re: Improved
312 Corrective Action Responses ([Link]
313
Part 1 Root Cause Analysis It is necessary to determine the root cause to take corrective action.
The CB should use an appropriate process, such as Fishbone
(Ishikawa) Diagram, Pareto Analysis, 5 Why’s, to determine cause.
Part 2 Correction/Containment Action to eliminate a detected non-conformity.
Part 3 Corrective Action Action to eliminate the cause of a detected non-conformity.
Part 4 Preventive Action Action to eliminate the cause of similar potential non-conformities.
314
315 Figure 8 - CB CAP Elements

316 1.15.4. The process for review and acceptance of corrective action plan SHALL include a review by the SAAS-
317 CM of the CB’s response, who SHALL then send his or her review to the SAAS-PC. Corrective action
318 SHALL address the systematic weaknesses that permitted the violation to occur, so actions that simply
319 state "train the auditor" shall likely be rejected.
320
321 1.15.5. SAAS-CMs are authorized to assess whether the CB has taken adequate correction, preventive and
322 corrective action and if the actions have been effectively implemented, with supporting evidence showing
323 effective implementation. NCs and their corrective actions SHALL be reviewed during the annual Head
324 Office Audit.
325
326 1.15.6. If applicable, the SAAS-CM SHALL explain his or her justifications for rejecting the CB’s response or for
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327 accepting the response and closing the non-conformity.

328
329 1.15.7. If a response is not accepted, the CB SHALL send additional responses and supporting documentation to
330 SAAS.
331
332 1.15.8. The corrective action process SHALL be repeated as necessary until the response is accepted and the
333 non-conformity is closed. Non-conformities SHALL only be closed when evidence of effective
334 implementation has been presented by the CB.
335
336 1.15.9. For applicant CBs, initial accreditation SHALL not be granted until all identified critical and major non-
337 conformities are closed.
338
339 1.15.10. For reaccreditation, CBs SHALL close every Critical and Major non-conformity prior to the expiration date
340 of accreditation. If the CB fails to close any non-conformity prior to the date of expiration, it may receive a
341 recommendation for a shorter-term accreditation (requiring additional accreditation audits and an
342 additional application for reaccreditation), suspension, or withdrawal, with justification to support the
343 recommendation. Reaccreditation SHALL not be granted until all identified critical and major non-
344 conformities are closed.
345
346 1.15.11. During all SAAS office and witness audits, auditors SHALL verify the continued, effective implementation
347 of corrective and preventive actions for non-conformities previously addressed.
348
349 1.15.12. The CB SHALL ensure that all NCs that SAAS raise, and their subsequent corrective actions, are
350 discussed in detail during the CB’s next Auditor Training session. Records SHALL be maintained to
351 demonstrate evidence of such.
352

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353

354 1.16. PUBLIC NOTICE AND INFORMATION

355
356 1.16.1. SAAS publicly announces the accreditations that are granted, expanded, reduced, renewed,
357 suspended, and withdrawn.
358
359 1.16.2. SAAS maintains a publicly available directory of SAAS-accredited CBs and information regarding
360 scope, suspensions and withdrawals of accreditation on its website:
361 [Link]
362

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363

364 1.17. FEES

365 1.17.1. Accredited and applicant CBs SHALL pay the relevant fees, as shown in the table below. The fee
366 schedule is available for download at [Link] SAAS Procedure 406.
367 Figure 9 illustrates the actions that SAAS SHALL take if invoices are paid late.
368
369 1.17.2. A CB may appeal an invoice and SHALL follow the Appeal Process as detailed below. If the decision
370 is in favor of the appellant, a credit or refund shall be issued.
371

372
373
374
375 Figure 9 - Invoice Late Payments

376
377

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378

379 1.18. SUSPENSION OR WITHDRAWAL OF ACCREDITATION

380
381 1.18.1. Suspension or withdrawal of accreditation is initiated by formal action of SAAS, who shall notify the
382 SAAS ARP.
383
384 1.18.2. The period of suspension SHALL not exceed six months, unless specifically recommended by the
385 SAAS ARP. Failure to satisfy the conditions or to remedy the causes of suspension within the specified
386 time period is grounds for initiating withdrawal of accreditation.
387
388 1.18.3. Suspension of a CB’s accreditation places complete or limited restrictions on the CB’s ability to
389 continue to offer and provide accredited SA8000 certification. Suspension can apply to the CB’s full
390 geographical scope of accreditation or for specific geographical locations.
391
392 a) During the suspension period, the CB SHALL not continue to conduct audits for initial certification
393 or recertification and SHALL not issue any new or revised certifications within the scope of the
394 suspension. While it is suspended, usually a CB may continue to conduct required surveillance
395 audits and other services necessary to maintain accredited certifications. This shall be clarified in
396 the letter of suspension sent by SAAS to the CB.
397
398 b) The CB SHALL, within 10 calendar days of the notification of suspension, provide SAAS with an
399 updated list of names, mailing addresses, telephone numbers, and e-mail addresses (as
400 applicable) of every client with an accredited certification within the scope of the suspension.
401
402 c) While it is suspended, the CB may be required to pay in advance for any audits or other services
403 that SAAS performs to maintain its accreditation.
404
405 d) If a CB is suspended within 6 months of their reaccreditation expiry date, the CB’s reaccreditation
406 head office audit SHALL take place within 6 weeks of the date of the suspension letter from SAAS.
407
408 1.18.4. Any of the following reasons are considered grounds for suspension and/or withdrawal of SAAS
409 accreditation:
410 a) CB’s failure to conform to accreditation requirements.
411 b) CB’s inability or unwillingness to ensure conformity of its certified organisations to applicable
412 standards.
413 c) Ineffective correction and/or corrective action taken, or corrective action not implemented within a
414 specified time period.
415 d) Non-conformity with, or failure to execute the SAAS Accreditation Agreement.
416 e) Improper use of the certificate of accreditation or the SAAS accreditation mark
417 f) Existence of a complaint or a number of complaints, indicating that the management system of the
418 CB is not being maintained.
419 g) Failure to meet financial obligations to SAAS.
420 h) Failure to maintain an effective audit management program in accordance with the current issue of
421 ISO/IEC 17021 and SAAS Procedures 200 & 201.
422 i) Falsification of any nature.
423
424 1.18.5. The decision to suspend shall be made by the SAAS Executive Director and reported to the ARP, with
425 appropriate supporting documentation.
426
427 1.18.6. Prior to suspension of an accreditation certificate, the SAAS Executive Director shall inform the CB in
428 writing that there has been a breach of the conditions of accreditation and that corrective action must
429 be taken to prevent suspension of the CB’s accreditation. A period of time for correction shall be
430 designated by the Executive Director; SAAS will provide an estimate of the cost of any additional audit
431 days to confirm the corrective action, should additional audit days be required.
432
433 1.18.7. Within five calendar days of the decision, SAAS staff SHALL notify the CB of its suspension or withdrawal,
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434 in writing. The notice SHALL inform the CB of the effective date of suspension or withdrawal and
435 SHALL include a clear statement of the reason(s) for the suspension or withdrawal. SAAS SHALL
436 make public the notice of suspension or withdrawal on its SAAS website at
437 [Link]
438
439 1.18.8. Upon receipt of the notice of withdrawal of accreditation (as applicable), the CB SHALL:
440
441 a) Provide to SAAS a list of and contact information for all clients affected, within five calendar days.
442
443 b) Provide to SAAS the notice the CB intends to send to its certified and applicant clients of (1)
444 withdrawal or cancellation of SAAS accreditation, (2) the requirement for the client to return the
445 SAAS accredited certificate (as applicable), and (3) the process to transfer to another SAAS
446 accredited CB. This SHALL be provided within five calendar days for SAAS’s review and approval.
447
448 c) Send the approved notification to its certified and applicant clients within 15 calendar days.
449
450 d) Make every reasonable effort to withdraw any SAAS-accredited certificate within 90 calendar
451 days.
452
453 1.18.9. SAAS may contact the CB’s certified and applicant clients directly in the event the CB fails to fulfil its
454 obligations.
455
456 1.18.10. A record of suspensions and withdrawals of accreditation SHALL be maintained on the SAAS website
457 at [Link] The name and location of each CB that has
458 been suspended, or has had accreditation withdrawn SHALL be posted, with the effective date(s) and
459 any explanation(s), as applicable.
460
461 1.18.11. If applicable, following withdrawal of accreditation, accreditation may be re-granted only after the CB
462 has successfully completed both the application process and the initial accreditation process again,
463 including payment of all required fees.
464
465

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466

467 1.19. APPEAL PROCESS

468
469 1.19.1. A CB may appeal (dispute) any decision or action taken by SAAS including the issuing of CARs.
470
471 1.19.2 A CB may appeal a SAAS invoice; however, the invoice SHALL be paid in full prior to the due date to avoid
472 financial probation and/or suspension. The appeal of an invoice SHALL follow the appeal process as
473 outlined the SAAS Schedule of Fees, Procedure 406. If the decision is in favor of the appellant, a credit or
474 refund shall be issued.
475
476 1.19.3. The SAAS appeal process has two levels: Level 1 appeals are heard by SAAS personnel and Level 2
477 appeals are heard by the SAAS Board of Directors.
478
479 a) Level 1 appeals are heard by staff members and/or accreditation auditors not involved in the audit. This
480 is normally the level applied to any appeal, dispute or challenge of a SAAS-raised audit non-conformity
481 or other outcome of an accreditation audit. However, an appeal of any critical or major non-conformity
482 from an initial or reaccreditation audit, may be heard by an appeals panel of SAAS Board of Directors
483 members. The ARP SHALL be notified in the case of an accreditation certificate suspension or
484 withdrawal as a result of the appeals process.
485
486 b) Level 2 appeals are made to the SAAS Board of Directors and are heard by a panel of members of the
487 SAAS Board with no single interest predominating. This is the first level for any appeal of an
488 accreditation decision. It is also the second level of appeal if either party (the appellant or SAAS) is not
489 satisfied with the decision made by the Level 1 appeal panel.
490
491 1.19.4. An appeal SHALL be lodged in writing no later than 30 days after notification to the CB of the decision or
492 action, or whenever the appropriate appeal panel may reasonably assume that the appellant was
493 informed of the decision or measure in question.
494
495 1.19.5. Appeals SHALL be lodged with the SAAS-PC and SHALL include appropriate substantiation for the
496 appellant’s position.
497
498 1.19.6. The appeal SHALL be heard within 60 days, unless otherwise agreed by all parties.
499
500 1.19.7. The results of the panel’s decision SHALL be documented and communicated to the appellant.
501
502

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503

504 1.20. CONFIDENTIALITY AND DISCLOSURE OF INFORMATION

505
506 1.20.1. Contact information submitted by the CB with its application is considered public information and is publicly
507 available on the SAAS website ([Link]).
508
509 1.20.2. SAAS SHALL make information publicly accessible about accreditations that have been granted, extended,
510 reduced, suspended or withdrawn.
511
512 1.20.3. SAAS SHALL maintain a publicly accessible list of accredited SA8000 certificates.
513
514 a) Information included in this list SHALL allow stakeholders to confirm the validity of an SA8000 certificate and
515 SHALL include: name of the certified organisation, address, scope of certificate, date of initial and
516 subsequent certifications, the name of the CB that issued the certificate, and the certificate number. All
517 certified organisations and sites within the scope of the certificates SHALL be listed.
518
519 b) This list SHALL be provided by the accredited CBs to SAAS and regularly updated so as to provide accurate
520 information.
521
522 c) CBs SHALL ensure such information is accurate and made available to SAAS and included in contracts with
523 its clients.
524
525 1.20.4 All other information SAAS acquires in relation to SAAS accredited activities, except for accreditation
526 information that is required to be publicized and is made publicly available by the CB, is treated as
527 confidential by all SAAS staff, auditors, SAAS ARP, committees, and any contractors or subcontractors.
528
529 a) Such information SHALL not be disclosed to any unauthorized party without the written consent of the CB,
530 except if required by law. When SAAS is required by law to release such information, the CB SHALL be
531 informed of such.
532
533 b) SAI, as the owner of the SA8000 Standard and system, SHALL have access, upon request to SAAS, to the
534 following information:
535 i. SA8000 audit reports
536 ii. SA8000 accreditation audit reports
537 iii. Outcomes and evaluations related to the Social Fingerprint self-assessment and independent
538 evaluations.
539 iv. CB’s SHALL ensure this is written into its contracts with clients.
540
541 1.20.5 The certification contract that the CB has with its SA8000 client [See ISO/IEC 17021-1:2015 Clause 5.1.2
542 Certification agreement] SHALL include the following as a minimum but not limited to:
543
544 a) All audit process requirements found in SAAS Procedure 200.
545
546 b) Access to the organisation by SAAS for the purposes of witness audits and other special audits as needed.
547
548 c) Ability to share confidential audit outcomes with SAAS and SAI as part of the oversight system.
549
550 d) Access to all parts of the organisation during working hours [including night shift] on an announced and
551 unannounced basis.
552
553 e) Permission to take copies of documents.
554
555 f) Permission to take photographs of non-proprietary processes and at locations around the site.
556
557 g) Providing copies of previous CB SA8000 reports if organisation transfers to a new CB. See SAAS
558 Procedure 200 related to Transfer Processes.
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559

560 1.21. APPROVAL AND REVISION OF ACCREDITATION REQUIREMENTS

561
562 1.21.1. Following release of any updated procedures, including SAAS Procedure 201A, and/or other Accreditation
563 Rules or revisions thereof, these documents SHALL be posted on SAAS’s website:
564 [Link]
565
566 1.21.2. When the Procedure 201A and/or other Accreditation Rules are revised, SAAS SHALL immediately notify
567 accredited and applicant CBs. SAAS SHALL specify a schedule for monitoring CB actions to achieve
568 conformity to the revised accreditation requirements. The date by which the changes are to be implemented
569 and process for confirming compliance SHALL be specified. In most cases, additional office audit time or a
570 document review SHALL be added to the audit process to confirm compliance with the new requirements.
571
572 1.21.3. When external documents (such as SA8000, ISO/IEC standards or guides) relating to SA8000 certification
573 and/or accreditation requirements are published or revised, SAAS SHALL notify accredited and applicant
574 CBs. SAAS SHALL specify a schedule for monitoring CB actions to achieve conformity to such new and/or
575 revised accreditation requirements. The date by which the changes are to be implemented SHALL be
576 specified. In most cases, additional office audit time or a document review SHALL be added to the audit
577 process to confirm compliance with the new requirements.
578

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579

580 1.22 INTERNAL AUDITS, ON-SITE SAMPLING & WITNESSED AUDITS

581
582 1.22.1. Each CB SHALL conduct internal audits at planned intervals at all locations that deliver SA8000 certification
583 services. The audit shall be conducted using full-time qualified staff and not subcontractors.
584
585 1.22.2. Each CB SHALL conduct internal audits at planned intervals at ALL office locations that deliver SA8000
586 certification including the offices of subcontractors.
587
588 1.22.3. Internal audits can be all on-site or a mixture of remote and on-site audits, as determined by the risk
589 assessments of the CB.
590
591 1.22.4. In “High Risk” and “Highest Risk” countries, as identified by the SAAS country risk assessment, ALL
592 internal audits SHALL be performed on-site.
593
594 1.22.5. ALL internal audits of the CB’s SA8000 Certification Management System SHALL be performed by senior
595 auditors of the CB. These auditors SHALL be formally nominated, in writing, by senior executive
596 management of the CB for this purpose. The senior auditors need not necessarily be SA8000 Auditors
597 but, through their training, knowledge and experience, be able to demonstrate in-depth understanding of
598 the SA8000 Certification Process including ISO17021-1:2015, Procedure 200, Procedure 201A and
599 Procedure 201B.
600
601 1.22.6. In addition to performing internal audits, the CB SHALL complement its monitoring program by performing
602 on-site witness audits at planned intervals of ALL auditors as identified in Procedure 201B. These audits
603 SHALL be performed by SA8000 Senior Lead Auditors.
604
605
606
607
608

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609 Annexures
610 ANNEX A - ISO17021-1:2015 - SAAS ACCREDITATION ADDITIONAL
611 REQUIREMENTS
612
613 ISO 17021-1:2015 – SAAS ACCREDITATION ADDITIONAL REQUIREMENTS
614
615 The following describes the SAAS accreditation requirements that supplement those found in ISO17021-1:2015 and
616 SHALL be implemented by accredited CBs and applicants seeking accreditation by SAAS for the SA8000 system.
617
618 1 Scope
619 Additional:
620 1.1 In general, SAAS Accreditation is granted on a country-by-country basis. A CB shall demonstrate to SAAS that it
621 is competent to operate in a particular country. Applicants for initial accreditation may apply for scope as follows, based
622 on the SAAS country risk assessment:
623 a) Lower Risk Countries: accreditation may be granted to conduct SA8000 audits and issue certificates in all countries
624 within this category.
625 b) High Risk and Highest Risk Countries: accreditation may be granted to conduct SA8000 audits and issue certificates
626 on an individual country by country basis.
627
628 2 Normative References
629 Additional:
630 a) SA8000:2014
631 b) SA8000:2014 Guidance Document
632 c) SAAS Procedure 200:2015
633 d) SAAS Procedure 201A:2015
634 e) SAAS Procedure 201B:2015
635
636 3 Terms and Definitions – no additions
637
638 4 Principles –
639 4.8.1 - All CBs SHALL adopt a risk based approach to delivering SA8000 certification.
640
641 Additional:
642 4.9 – In common with the organisations that they audit, each accredited CB is encouraged to support the concepts of a
643 social accountability system and to comply with the requirements of SA8000:2014 in the operation of its business.
644
645
646 5 General requirements
647
648 5.2 Management of impartiality
649 Additional:
650 [Link] – In order to avoid conflict of interest, CBs whose related bodies have provided SA8000 or similar human
651 resources management system consulting services within the prior three years to a particular organisation SHALL
652 not contract as a certification body for that organisation or any of its sites. This restriction includes related bodies
653 of the same parent company or affiliates, where the validity or reliability of an audit can be questioned because of
654 a consulting relationship.
655
656 Note: Consulting is the provision of documentation development or assistance with implementation of
657 management systems to a specific organisation. Training in a public forum is not considered consulting nor is an
658 introductory session such as a 1-day awareness program at the Client’s location. Arranging training and
659 participating as a trainer is not considered consultancy, provided that, where the course relates to management
660 systems or auditing, it is confined to the provision of generic information that is freely available in the public
661 domain. [See also ISO/IEC 17021-1:2015 5.2 Management of impartiality Clause 5.2.7 & 5.2.8].
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662
663 [Link] – All CBs SHALL have a documented procedure that addresses anti-bribery and corruption in countries where
664 the CBs are accredited to deliver SA8000 Certification.
665 a) This documented procedure SHALL describe how it attempts to detect bribery and corruption between the CB,
666 staff, auditors, technical experts and committees, and its clients.
667
668 b) The detection process SHALL be based upon a documented risk assessment performed for each country where it
669 performs SA8000 Certification activities. At a minimum, the CB SHALL:
670 1. Have a developed principle based zero tolerance anti-corruption and anti-bribery policy. The policy
671 SHALL include statutes covering whistleblowers, protecting such whistleblowers from retaliation.
672
673 2. Have a policy that includes specific steps to report, investigate and address situations of attempted
674 bribery.
675
676 3. Have a reporting system with contact information for stakeholders to use.
677
678 4. Require auditor and employee acknowledgement and ongoing and continuing training on the subject,
679 policy, process and required actions.
680
681 5.2.14 – The CB SHALL have a documented procedure that describes its annual risk analysis of issues that might affect
682 its impartiality for every country in which it performs SA8000 certification. This analysis SHALL be presented at an annual
683 meeting of the Committee for Safeguarding Impartiality for debate and agreement.
684
685 5.2.15 – The impartiality committee SHALL contain individuals with demonstrable experience related to social
686 accountability issues in the regions where the CB delivers SA8000 certification.
687
688 5.3 Liability and financing
689 Additional:
690 5.3.3 – The CB SHALL present evidence of the appropriate level of professional indemnity and third party liability
691 insurance to the SAAS auditor at each head office audit. The CB SHALL also inform the SAAS auditor about its coverage
692 of individual contract auditors and subcontractors: either the contract auditors and subcontractors are covered by the CB’s
693 insurance or they have to carry their own insurance. If contract auditors and subcontractors are required to carry their own
694 insurance, the CB SHALL demonstrate how it ensures that the insurance is kept up-to-date.
695
696 6 Structural requirements
697 6.1 Organisational structure and top management
698 Additional:
699 6.1.5 – The CB SHALL have a documented procedure that describes how it disseminates changes in SAAS requirements
700 to its regional offices, contract auditors and subcontracted offices. This procedure shall also describe how it overcomes
701 language communication barriers.
702
703 6.2 Operational Control
704 Additional:
705 6.2.3 – The CB SHALL perform annual individual risk assessments for each country where it delivers SA8000
706 Certification.
707
708 6.2.4 – The CB SHALL not offer SA8000 certification in countries that meet the following criteria:
709
710 a) When applicable, as defined at [Link] and
711
712 b) Any country to which the CB Senior Auditors [as defined in 1.22.5 above] are not prepared to travel. The CB
713 SHALL maintain a list of such countries.
714
715 c) Any country to which SAAS accreditation auditors are not prepared to travel. Any such circumstances will be
716 listed at [Link]
717
718

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719 7 Resource requirements - In addition to requirements below, SAAS Procedure 201B addresses process
720 requirements identified under this this clause.
721
722 7.1 Competence of personnel
723 Additional:
724 [Link] Using its own internal processes and records (and with reference to the requirements of SAAS Procedure 201B,
725 where applicable), the CB SHALL demonstrate that all personnel whose work may impact the SA8000 Certification
726 Program are competent. This includes:
727 a) Advisory Committee Members
728 b) Impartiality Committee Members
729 c) Management Staff
730 d) Audit Staff
731 e) Subject Matter/Technical Specialists
732 f) Administrative Staff
733 g) Outsourced partner organisations and individuals
734
735
736 7.2 Personnel involved in the certification activities
737 Additional:
738 [Link] Only appropriately qualified and competent individuals SHALL participate in SA8000 audits (as described in SAAS
739 Procedure 201B).
740
741 [Link] Those making the certification decision, as defined in SAAS Procedure 201B, SHALL be able to demonstrate how
742 they come to the certification decision if there are language communication barriers between the decision-maker and the
743 language the audit report and audit path notes are written.
744
745 [Link] The CB SHALL observe each of its auditors performing an SA8000 audit on-site at least once every 24 months.
746 Witnessed audits by SAAS shall not satisfy this requirement. Such observations SHALL be conducted by Senior Lead
747 Auditors, as identified in SAAS Procedure 201B.
748
749 7.3 Use of individual external auditors and external technical experts
750 Additional:
751 7.3.1 Contracts with individual auditors and external technical experts SHALL be reviewed and renewed annually. Such
752 contracts SHALL include the following information:
753 a) Whether the auditor shall work on an exclusive basis for the CB.
754 b) Whether the auditor is required to carry their own insurance.
755 c) That the auditor shall not use their own business cards or other personal documents during an SA8000 audit but
756 only that of the accredited CB.
757 d) That the auditor SHALL NOT offer any other services to any CB Client that he or she has audited within a 3-year
758 period of the last audit to that CB Client.
759 e) That the auditor SHALL attend experience exchange training at least once a year. Failure to attend two sequential
760 training sessions SHALL result in the cancellation of the contract.
761 f) That the auditor shall maintain CPE/CPD records as required by SAAS – see Procedure 201B.
762 g) That the auditor shall maintain an audit log for the work they do for the CB.
763
764 7.4 Personnel records
765 Additional:
766 7.4.1 All personnel training and audit records for any country in which the CB operates SHALL be available to the
767 SAAS Auditor at the time of the CB Annual Head Office Audit.
768
769 7.5 Outsourcing
770 Additional:
771 [Link] All outsourced activities SHALL require a legally enforceable service agreement between the accredited
772 Certification Body and the subcontracted organisation outlining the roles and responsibilities of each party.
773
774 a) The accredited CB SHALL assess any threats to impartiality that may arise as the result of a subcontracting
775 relationship and make such records available for review by SAAS.
776
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777 b) Contracts with partner (subcontracted) organisations SHALL be subject to an annual review and SHALL
778 include relevant KPIs against which the performance of the partner can be monitored (e.g. quality of reports,
779 tardiness of reporting). These KPIs SHALL be reviewed by the CB at the time of management review.
780
781 [Link] The CB SHALL not outsource audits to a management system consultancy or training organisation, as this poses
782 an unacceptable threat to the impartiality of the CB.
783
784 [Link] CBs SHALL not outsource their SA8000 audit activity in highest risk countries.
785
786 [Link] CBs SHALL not use or outsource services of a subcontracted body that was formerly accredited by SAAS and
787 whose accreditation was reduced or withdrawn by SAAS and/or was unable to achieve accreditation through the SAAS
788 accreditation application process.
789
790 [Link] CBs SHALL not permit a subcontract organisation to further subcontract the required services to any organisation
791 or individual. This requirement SHALL be clearly stated in the contract between the CB and the subcontractor.
792
793 [Link] All SA8000 auditors who perform SA8000 audits SHALL present themselves as representatives of the SAAS-
794 accredited CB that has the authority to issue the SA8000 certificate.
795
796 a) Individual contract auditors and/or subcontracted auditing company representatives that perform SA8000
797 audits or audit related activities SHALL present themselves only as a representative of the SAAS accredited
798 CB.
799
800 b) All forms of identification, such as business cards or marketing materials, SHALL only reference the SAAS-
801 accredited CB.
802
803 c) Any additional contact information provided to the SA8000 client, worker representatives or employees
804 SHALL include the full contact details of the local representative (whether directly employed by a CB or
805 working through a subcontract agreement) and the SAAS-accredited CB’s head office. That contact
806 information SHALL include:
807 • The accredited CB's name and logo
808 • Contact information of the SAAS-accredited head office
809 • Name and contact information of the local representative
810
811 [Link] All CB auditors SHALL only utilize audit reports, stationery, and any other documentation that contains the
812 SAAS-accredited CBs name and logo. No other audit reports, stationery or any other documents of the individual
813 subcontractor or subcontracted organisation SHALL be used.
814
815 [Link] The certification body SHALL issue the SA8000 certificate to the client directly with its logo as well as the SAAS
816 mark.
817 a) Only a SAAS-accredited CB’s logo may appear on an SA8000 certificate.
818
819 b) In the interest of transparency, when used, subcontractors’ details SHALL appear on the SA8000 certificate,
820 displaying the name of the subcontracted organisation which carried out the audit.
821
822 c) An individual contractor or the subcontracted organisation’s logo is prohibited from being displayed on any
823 SA8000 certificate.
824
825 [Link] All SAAS-accredited CBs SHALL ensure that their auditors, including subcontractors, have controlled copies of
826 all of the policies and procedures that are required to perform SA8000 audits and are sufficiently trained and competent in
827 such policies and procedures.
828
829 [Link] The certification body may contract the SA8000 audit to individual auditors and may use the resources of partner
830 (subcontracted) organisations to provide SA8000 auditing services (under a contractual agreement) within the parameters
831 defined in this document.
832

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833 a) All such contracted auditors and subcontracted auditing services SHALL conform to the CBs rules and
834 regulations.
835
836 b) The SAAS-accredited CB itself SHALL be responsible for all phases of the certification process, including
837 contractual arrangements, quotes, planning, auditing and review and approval of the audit report.
838
839 [Link] The SAAS Accredited CB SHALL perform internal audits of any subcontracted organisation at least once per
840 year, utilizing the CBs full-time staff. Internal audits performed by the partner organisation itself are not acceptable to fulfill
841 the accredited CBs requirements but SHALL be utilized as an input to the accredited CBs internal audit.
842
843 [Link] Representatives of any partner organisation SHALL participate in the management review of the SAAS-
844 accredited CB.
845
846 [Link] Every 12 months, each partner organisation SHALL be required to perform a risk and impartiality assessment of
847 its business to assess the integrity of the SA8000 audit services it offers on behalf of the accredited CB. Results of the
848 audit SHALL be forwarded to the CBs Impartiality Committee for review.
849
850 [Link] The accredited CB SHALL perform:
851 a) One duplicate audit on-site every two years of any subcontractor/partner organisation operating in high risk
852 countries.
853 b) One duplicate audit on-site every three years of any subcontractor/partner organisation operating in lower risk
854 countries.
855 c) The results of these audits SHALL be made available to the SAAS Auditor at the time of the annual Head Office
856 Audit.
857
858 8 Information requirements - no additions
859
860 9 Process Requirements - In addition to requirements below, SAAS Procedure 200 addresses process
861 requirements identified under this this clause.
862
863 9.1.2 Application Review
864 Additional:
865 [Link] CB’s SA8000 auditors SHALL rotate between clients so that no SA8000 auditor performs more than 5 audits per
866 certification cycle per client.
867
868 [Link] While any competent individual may perform preliminary planning work, the CB’s decision to accept an application
869 SHALL be assigned to an SA8000 LA (or higher-level individual), who is directly employed by the CB. Prior to
870 making such a decision, the assigned individual SHALL review and authorize outputs from the application review
871 process in the form of outline audit plan arrangements, indicating the following:
872
873 a) The audit team to be appointed (composed of auditors and technical experts [including any subcontracted
874 personnel], who, between them, have the totality of the competences and abilities required to perform the
875 certification activities). See also SAAS Procedure 201B.
876
877 b) The audit-days to be assigned for all activities associated with Stage 1 and Stage 2 SA8000 audits, including
878 justification for multi-site sampling and/or deviations from audit day requirements tables (where applicable).
879
880 c) The individual(s) who will be making the certification decision.
881
882 d) The CB SHALL maintain a record of this application review, decision, and authorization of outline audit plan
883 arrangements (including any limitations, and/or special considerations and/or justifications).
884
885 Note: The SA8000 LA referred to in the above requirement may or may not be a part of the audit team assigned
886 to the applicant.
887
888 9.2.2 Audit Team Selection and Assignments
889 Additional:

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890 [Link].6 CBs SHALL NOT use any staff member from one of their certified clients [certified to any management
891 system standard] to act as an SA8000 auditor of another client.
892
893 9.6.4 Special Audits
894 Additional:
895 [Link] The CB SHALL have a documented procedure describing how it will perform duplicate audits on-site each year.
896 A duplicate audit in principle repeats the audit that was performed previously to check if the audit findings are credible.
897 These duplicate audit SHALL be performed as follows, in addition to that identified in [Link] above:
898 a) A minimum of one duplicate audit on-site for every 100 SA8000 audits globally that the CB performs.
899 b) The duplicate audit SHALL be based on a risk assessment conducted by the CB.
900 c) The results of these audits SHALL be made available to the SAAS auditor at the time of the annual Head
901 Office Audit.
902
903
904 10 Management system requirements for certification bodies
905
906 Additional:
907 [Link] The CB SHALL maintain detailed records of management review planning, deliberations, outcomes and
908 decisions that fully describe the discussions held.
909

Copyright © 2015 Social Accountability Accreditation Services. All rights reserved. Page 48 of 52
 Authors: L. Bernstein & P. Scott Social Accountability Accreditation Services Issue: 1
Approval: Rochelle Zaid SAAS Procedure 201A:2015 Effective: October 6, 2015

910 ANNEX B - SAAS Documents

911
912 Normative Documents
913 ISO/IEC 17021-1:2015 - Conformity audit — Requirements for bodies providing audit and certification of management
914 systems — Part 1: Requirements
915 ISO/IEC 17011:2004 General requirements for accreditation bodies accrediting conformity audit bodies
916 ISO 19011:2011 Guidelines for auditing management systems
917 SA8000:2014 Standard
918 SAAS Procedure [Link] Audit Requirements for Accredited Certification Bodies for the SA8000 Program
919 SAAS Procedure 201A Accreditation Requirements - For Use By Certification Bodies Performing SAAS Accredited
920 SA8000:2014 Certification Audits
921 SAAS Procedure 201B:2015 Social Accountability Audit Personnel Competence Requirements
922 Procedure 304 Guidelines for Making a Complaint or Appeal
923
924 Guidance Documents
925 ISO 9001:2008 Quality management systems – Requirements
926 ISO 9004:2009 Managing for the sustained success of an organisation -- A quality management approach
927 BS OHSAS 18001:2007 - Occupational health and safety management systems. Requirements
928 BS OHSAS 18002:2008 - Occupational health and safety management systems. Guidelines for the implementation of
929 OHSAS 18001:2007
930 ISO 31000:2009 - Risk management -- Principles and guidelines
931 IEC 31010:2009 - Risk management -- Risk audit techniques
932 SA8000:2014 Guidance Document
933 SA8000:2014 Certification Exclusion List
934 SA8000:2014 Performance Indicator Annex
935 ANAB Heads Up Issue: 137 - Re: Improved Corrective Action Responses [[Link] ]
936
937
938 Other SAAS Documents
939 Forms
940 Form 312 Document Review Report
941 Form 313 Office Audit Report
942 Form 315 Witness Audit Report
943 Form 406 Schedule of SAAS Fees
944 Form 413 Opening and Closing Meeting Attendance Form
945 Form 415A Corrective Action Request
946 Form 415B Corrective Action Request – CB Response
947 Form 419 Accreditation & Applicant Register
948 Form 423 Confidentiality Agreement
949 Form 435 Accreditation Application
950
951 Letters
952 Letter 602 Acknowledgement of Application
953 Letter 604 Acceptance of Application
954 Letter 605 Application Declined Letter
955 Letter 611 Advice of Negative Accreditation Decision
956 Letter 612 Advice of Positive Accreditation Decision
957 Letter 613 Letter of Auditor Appointment
958
959

Copyright © 2015 Social Accountability Accreditation Services. All rights reserved. Page 49 of 52
 Authors: L. Bernstein & P. Scott Social Accountability Accreditation Services Issue: 1
Approval: Rochelle Zaid SAAS Procedure 201A:2015 Effective: October 6, 2015

960 ANNEX C – USE OF SAAS ACCREDITATION LOGO

961
962 USE OF SAAS ACCREDITATION LOGO
963
964 1. An accredited Certification Body may use the SAAS accreditation symbol for SA8000, hereinafter referred to as
965 the accreditation mark, only in conjunction with its own certification symbol on its certificates, stationery and
966 literature associated with its accredited certification activities, subject to the conditions below.
967
968 2. An SA8000-certified organisation may use the SAAS accreditation mark for SA8000 only in conjunction with the
969 accredited CB’s certification mark on the organisation's stationery, literature, and website subject to the conditions
970 below and to the CB’s own conditions for use of its certification mark.
971
972 3. The SAAS accreditation mark for SA8000 SHALL be reproduced:
973 a. In the specified colors below or in the predominant color of the letterhead or printing, per the SAAS
974 accreditation mark color requirements;
975 b. On a clearly contrasting background;
976 c. The mark may be reversed (i.e., negative of the above example) provided the background on which it is
977 displayed is dark enough to clearly identify and display the entire mark;
978 d. In a size which makes all features of the mark clearly distinguishable.
979
980 4. When using the SAAS accreditation mark for SA8000 by either the CB or the certified organisation, its size shall
981 not differ from the size of the CB 's mark.
982
983 5. The SAAS accreditation mark for SA8000 SHALL not be used by a SAAS-accredited CB on any document,
984 website, or other such public material unless the document relates in whole or in part to certification activities of
985 the CB that are accredited by SAAS. This SHALL not prevent a SAAS-accredited CB from including the
986 accreditation mark on its pre-printed letterhead paper.
987
988 6. Neither the CB’s mark nor the SAAS accreditation mark for SA8000 SHALL be used on a product by a certified
989 organisation, its labelling or packaging, or in such a way as to suggest that the CB or SAAS have certified or
990 approved any product, process or service of a certified organisation, or in any other misleading manner.
991
992 7. If necessary, other requirements with regard to the use of marks shall be developed in consultation with individual
993 CBs. Such requirements shall be made part of the accreditation agreement and the CB shall immediately be
994 subject to such requirements.
995
996 8. The use of the SAAS accreditation mark for SA8000 SHALL be audited during each surveillance and
997 reaccreditation audit by SAAS. Any non-conformance associated with the use of the mark requires the issuance
998 of a CAR, requiring remedial action to correct the use of the mark on issued documents as well as corrective
999 action for future use.
000
001 9. The CB SHALL audit the use of the mark by SA8000-certified organisations during every surveillance and
002 recertification audit. Any non-conformance associated with the use of the mark requires the issuance of a CAR by
003 the CB, requiring remedial action to correct the use of the mark on issued documents as well as corrective action
004 for future use.
005

Copyright © 2015 Social Accountability Accreditation Services. All rights reserved. Page 50 of 52
 Authors: L. Bernstein & P. Scott Social Accountability Accreditation Services Issue: 1
Approval: Rochelle Zaid SAAS Procedure 201A:2015 Effective: October 6, 2015

006
007
008 1. ‘Social Accountability Accreditation Services’ – Light Grey - Pantone 416U
009 2. People sitting around inner circle (table) – Medium Blue - Pantone 301U
010 3. Inner circle (table) – Dark Blue - Pantone 268U
011 4. ‘SA8000’ inside of banner – Red - Pantone 200U
012 5. Banner at bottom – Dark Blue - Pantone 268U
013

014
015 Figure 10 - SAAS SA8000 Mark
016
017
018

Copyright © 2015 Social Accountability Accreditation Services. All rights reserved. Page 51 of 52
 Authors: L. Bernstein & P. Scott Social Accountability Accreditation Services Issue: 1
Approval: Rochelle Zaid SAAS Procedure 201A:2015 Effective: October 6, 2015

019 ANNEX D – SA8000 CB Regular Data Submission

020
021
022 General
023 SAAS has taken the following document as guidance in the matter of data that should be provided by its accredited CBs:
024 IAF Mandatory Document for the Collection of Data to Provide Indicators of Management System Certification Bodies’
025 Performance Issue 1 (IAF MD15:2014)
026
027 SAAS Data Submission Requirements
028 All SAAS Accredited CBs are required to submit the following data to SAAS. Failure to do so SHALL result in the CB
029 SAAS-CM initially raising a Minor NC on the CB.
030
Data Requirement January 1st April 1st July 1st October 1st
List of Certified Clients x x x x

SA8000 Revenue x x

List of N/Cs Issued by Client X (for previous

year)
List of Complaints x x

031
032 Figure 11 – Data Submission Requirements
033
034
035
036
037
038
039 ------------------ End of Document ------------------

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