7/29/2019 Procedure 200, Advisory 13, May 2012
1/2
Author: L. Bernstein Social Accountability Accreditation
Services Issue: 1
Approval: R. Zaid SAAS Procedure 200: SA8000 Advisory 200-13
Effective: May 25, 2012
Procedure 200: SA8000 Advisory 200-13: Version: May 2012 Page 1
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SOCIAL ACCOUNTABILITY
ACCREDITATION SERVICES
To: All SAAS-Accredited Organizations and Accreditation
Applicants
Subject: Frequency of SA8000 Surveillance Audits
Background:
Since its inception, the SA8000 system has required semi-annual
surveillance audits of every SA8000 certified
facility. SAI and SAAS seek to recognize the commitment
certified facilities have to compliance and have
demonstrated confidence and improvement in their internal
management systems as they relate to SA8000.
Therefore, SAAS, in consultation with SAI and other
stakeholders, has reviewed whether annual surveillance audits
may be permissible. It should be noted that whether annual or
semi-annual surveillance audits are required, the
number of audit days in total for the year shall remain the
same.
Status: SAAS Procedure 200, section 2.19 2.21 shall be deleted
and replaced with the following:
2.19 All SA8000 certified facilities must undergo periodic
surveillance audits. The surveillance scheduling shallinclude at
least those issues defined in section 9.3.2 in ISO/IEC 17021:2011
and those identified in
Procedure 200, element 2.8. The frequency of such surveillance
audits shall be determined as follows:
a. Initial certification cycle: Six-month semi-annual
surveillances shall be required for all SA8000 certifiedfacilities
for the initial certification cycle of three years, except: at the
request of the certification client,
micro enterprises (defined as ten or less employees) shall be
allowed, after the first six month audit and
the second twelve month unannounced audit, annual surveillance
audits. Should the number of
employees increase to more than ten within the initial
certification cycle, the frequency of the required
SA8000 surveillance audits shall revert to six month semi-annual
surveillances.
b. Recertification cycle: Prior to undertaking recertification,
the Certification Body shall conduct ananalysis of their SA8000
client in order to determine whether the client could be a
candidate for less
frequent surveillances this analysis shall include a review of
the clients performance history
throughout their previous accreditation cycle and the risk
associated with reducing semi-annual
surveillances. At minimum, the Certification Body shall evaluate
the history of effectiveness of a clients
social accountability management system in considering moving
the client to an annual surveillance
requirement. In addition to an effective management system, the
client must have demonstrated
improvement in that system over the course of previous
audits.
1. Based upon that analysis, at the request of their client, the
CB shall determinewhether the SA8000 client is eligible for annual
surveillances or must continue
with semi-annual surveillances.
2. The CB shall document evidence of the analysis undertaken for
each client andthe conclusion reached based on this evidence. This
evidence and subsequentconclusions shall be available for review by
SAAS during accreditation and
surveillance audits.
3. The process for this analysis and resultant decision on
frequency of audits shall bedocumented in the CBs certification
procedures, including the identification of
the person/position authorized to take this decision and the
required
qualifications for this person to take this decision.
7/29/2019 Procedure 200, Advisory 13, May 2012
2/2
Author: L. Bernstein Social Accountability Accreditation
Services Issue: 1
Approval: R. Zaid SAAS Procedure 200: SA8000 Advisory 200-13
Effective: May 25, 2012
Procedure 200: SA8000 Advisory 200-13: Version: May 2012 Page 2
of2
c. All Certification Bodies shall conduct a minimum of one
unannounced audit in each three yearcertification cycle.
d. Notes:1. The CB shall develop and document a qualification
and approval process for those CBstaff making audit frequency
determinations. SAAS expects that the same staff involved
in the certification decision process would input to the audit
frequency determinations.
2. The CB shall have a process to, at minimum, annually review
the clients performanceand justify the frequency of surveillance
audits throughout the clients certification
cycle. Records of such reviews shall be maintained by the CB
head office and shall be
reviewed by accreditation auditors during office audits The
raising of a major CAR (or
repeated minor CARs on the same issue), among other concerns,
indicates the need to
revert the client back to a semi-annual surveillance schedule
and for additional
unannounced audits.
3. The CB shall maintain ongoing and effective communication
with their client betweenrequired surveillance audits.
4. The CB shall, as part of its quarterly reporting on certified
facilities, report to SAAS thesurveillance frequency of every
certified client, in addition to the current requirements
of Procedure 200, element 6.8. This reporting mechanism will be
part of the current
616A reporting sheet.
5. Companies with additional schemes such as ISO 9001, 14001,
etc. should notautomatically be moved to an annual schedule lest
they diminish the effectiveness of
the SA8000 audit. The same performance and risk analysis shall
be done for these
clients as required for all other clients.
6. Accredited Certification Bodies may choose to continue to
require all their SA8000certified clients to undergo semi-annual
surveillance audits.Effective Date: This procedure shall be
effective on May 25, 2012. This form must be signed, dated, and
returned
to SAAS upon your receipt, no later than June 1, 2012.
Implementation: All SAAS-accredited CBs are required to
implement this Advisory into their internal procedures
governing SA8000, with the exception of those electing to opt
out as permitted by Note 6, above. CBs that will
conform to these requirements must complete incorporation of
this Advisory into their procedures and operations
by August 1, 2012.
Signature: Printed Name:
Date:
Company Name:
