SAAS Notification. September 1, 2015

Transcription

1 SAAS Notification SOCIAL ACCOUNTABILITY ACCREDITATION SERVICES Issue: 4A, revision 1 Date: June 9, 2015 To: All SAAS Accredited and Applicant Certification Bodies (CBs) From: Rochelle Zaid, Executive Director, SAAS RE: Transition Requirements for Certification of Organisations to SA8000:2014 Status: This notification outlines the timeline and process for clients to transition to SA8000:2014. It is applicable for clients that are currently certified to SA8000:2008, as well as new clients seeking certification to SA8000:2014. This Notification 4A should be read in conjunction with Notification 4B, which describes the training requirements for existing and new SA8000 auditors and accredited training providers. Relevant Dates July 2015 July 2015 July 6, 2015 Required Activity SAI to release the SA8000:2014 Guidance Document. SAAS to release Procedure 200:2015 and Procedure 201A:2015 and 201B:2015. CBs must fax or acknowledgement of this Notification to SAAS. August 31, 2015 September 1, 2015 September 1, 2015 All SAAS Accredited CBs SHALL amend their documents, forms and contracts, policies and procedures to reflect the requirements of certification to SA8000:2014. All SAAS Accredited CBs SHALL submit a plan of action to SAAS for integrating SA8000:2014, SAAS Procedure 200:2015 and SAAS Procedure 201A:2015 into their audit processes. After this date, all SA8000 certification audits of new clients and recertification of existing clients SHALL be to SA8000:2014. All SA8000:2014 certification, SA8000:2014 recertification and transition audits to SA8000:2014 SHALL include Social Fingerprint. December 31, 2016 Deadline for all certified organisations to conform to SA8000:2014. December 31, 2016 Deadline for compliance by CBs to SAAS Procedure 200:2015 and Procedure 201A and 201B:2015 January 1, 2017 After this date, any existing SA8000:2008 certificates SHALL be invalid. 1. The deadline for all certified organisations to conform to the requirements of SA8000:2014 is December 31, Therefore, all existing SA8000 accredited certificates SHALL transition to SA8000:2014 by December 31, After that date, any existing SA8000:2008 certificates SHALL be invalid. 3. Clients Currently Certified to SA8000:2008: 3.1 Beginning September 1, 2015, all recertification audits SHALL be to SA8000:2014 and SHALL include an evaluation of the organisation using Social Fingerprint. CBs may issue SA8000:2014 certificates after this date if the client completes the audit to the requirements of SA8000:2014 using SAAS Procedure 200:2015. June 9, 2015 Page 1 of 5

2 3.2 CBs may continue to conduct SA8000:2008 surveillance audits for existing SA8000 certified clients until December 31, However, all currently certified SA8000:2008 clients SHALL transition to SA8000:2014 by December 31, In order to transition to SA8000:2014, a client SHALL complete a transition audit to the requirements of SA8000:2014 using SAAS Procedure 200:2015 (see below). 3.4 Currently certified clients due for recertification before September 1, 2015 may be recertified to SA8000:2008, but SHALL transition to SA8000:2014 by December 31, All CBs SHALL inform their certified clients of these transition dates. SAAS will review the relevant communications between CBs and their certified clients at the next CB head office audit. 4. Process for Currently Certified Clients to Transition to SA8000:2014: 4.1 SA8000:2014 was revised and published by SAI in June It incorporates minor changes to several elements, as well as the expansion and clarification of requirements in other elements. 4.2 All SAAS Accredited CBs SHALL require SA8000-certified clients to identify and implement all changes necessary to their existing SA8000-related procedures, documents and policies in order meet the requirements of SA8000:2014 and the integration of Social Fingerprint into the audit process. 4.3 Wherever possible, SA8000-certified organisations SHALL implement those parts of SA8000:2014 without delay. 4.4 CBs shall assess their clients implementation of SA8000:2014 during a transition audit, which may be completed during normally scheduled certification, recertification and surveillance activities. Additional assessments are not required, but may be conducted if necessary. 4.4 Assessment by the CB shall require an on-site audit. a. The requirements found in SAAS Procedure 200:2015 shall be used, including the audit day table, audit criteria for assessing clients and process requirements for conducting the SA8000:2014 audit. b. The on-site audit shall include an assessment of the implementation of the elements found in SA8000:2014 with a focus on the significant changes in the revised Standard. The transition audit shall include a focus on forced and compulsory labour; health and safety; and management systems, as well as a brief review of those elements with minor or no changes between SA8000:2008 and SA8000:2014 (as indicated by reviewing the Side-By-Side comparison document of SA8000:2008 and SA8000:2014, available on the SAI website). c. The transition audit shall include a Social Fingerprint self-assessment by the organisation and independent evaluation by the CB. 5. Clients Not Yet Certified: 5.1 Beginning September 1, 2015, all SA8000 certification audits of new clients SHALL be to SA8000:2014 and SHALL include an evaluation of the organisation using Social Fingerprint. 5.3 After September 1, 2015, CBs SHALL not accept any new applications for certification to SA8000: Social Fingerprint and the SA8000:2014 Certification Process: 6.1 Beginning September 1, 2015, all certification, recertification, and transition audits to SA8000:2014 SHALL include Social Fingerprint. 6.2 Currently certified organisations and new clients interested in certification may take the Social Fingerprint Self-Assessment in July The Self-Assessment will be available via the SAI website. June 9, 2015 Page 2 of 5

3 6.3 All CBs SHALL inform their clients of the availability of this tool. 6.4 SA8000:2014 Social Fingerprint Process for Clients Not Yet Certified: a. Organisation completes the Self- Assessment through the SAI online training center before the Stage 1 Audit. b. During the initial certification cycle, auditors conduct a Social Fingerprint Independent Evaluation at the following audits: 1. Stage 1 2. Stage 2 3. Surveillance 1 4. Surveillance 3 5. Recertification c. After the initial certification cycle, the Social Fingerprint process (self-assessment and independent evaluation) occurs at the recertification audit (every 3 years). 6.5 Clients Currently Certified to SA8000:2008 with Recertification from September 1, 2015 to December 31, 2016: a. Organisation completes the Self-Assessment through the SAI online training center before the recertification audit. b. Auditors conduct a Social Fingerprint Independent Evaluation at the following audits: 1. Recertification Audit to SA8000: Surveillance 1 3. Surveillance 3 4. Recertification c. After a full certification cycle that includes Social Fingerprint, the Social Fingerprint process (self-assessment and independent evaluation) occurs during the recertification audit (one time every 3 years). 6.6 Clients Currently Certified to SA8000:2008 That Transition to SA8000:2014 from September 1, 2015 to December 31, 2016 During a Surveillance Audit: a. Organisation completes the Self-Assessment through the SAI online training center before the transition audit. b. Auditors conduct a Social Fingerprint Independent Evaluation at the following audits: 1. Transition audit to SA8000: After the transition audit, the organisation should follow the schedule as listed below: a) If the transition audit occurs during a Surveillance 1 or 2 Audit, the auditors will conduct a Social Fingerprint Independent Evaluation at the Surveillance 3 Audit and the Recertification Audit. b) If the transition audit occurs during a Surveillance 3, 4 or 5 audit, the auditors will conduct a Social Fingerprint Independent Evaluation at the Recertification Audit. c. After the first certification cycle, the Social Fingerprint process (self-assessment and independent evaluation) occurs during the recertification audit every 3 years. 7. Normative Documents: 7.1 SA8000:2014: The SA8000:2014 Standard was released publicly by Social Accountability International (SAI) in June CBs SHALL be responsible for disseminating the Standard to all their SA8000 auditors (including subcontractors) and other personnel. 7.2 All SA8000:2014 certification audits SHALL be conducted in accordance with the requirements of SAAS Procedure 200:2015. June 9, 2015 Page 3 of 5

4 7.3 As detailed in SAAS Procedure 200:2015 CBs SHALL only raise non-conformities related to management system violations of a particular clause and/or sub-clause of SA8000: Guidance and Reference Documents: 8.1 The SA8000:2014 Guidance Document: This Guidance Document will be released to the public by Social Accountability International (SAI) in July CBs are responsible for disseminating the Guidance Document to all their SA8000 auditors (including subcontractors) and other personnel. 8.2 The SA8000:2014 Performance Indicator Annex (PIA): The PIA was released publicly by Social Accountability International (SAI) in November CBs are responsible for disseminating the PIA to all their SA8000 auditors (including subcontractors) and other personnel. 8.3 The SA8000:2014 Drafters Notes: The Drafters Notes were released publicly by Social Accountability International (SAI) in July CBs are responsible for disseminating the Drafters Notes to all their SA8000 auditors (including subcontractors) and other personnel. 8.4 The SA8000:2014 Certification Exclusion List: The SA8000 Certification Exclusion List was released in November CBs are responsible for disseminating the Exclusions to all their SA8000 auditors (including subcontractors) and other personnel. 8.5 SAAS Procedure 200:2015: The SAAS Procedure 200:2015 will be released to the public by SAAS in July The CB SHALL be responsible for integrating the requirements found in SAAS Procedure 200 into its internal processes and disseminating relevant information to all SA8000 certified clients, SA8000 auditors [including subcontractors] and other CB personnel. 8.6 SAAS Procedure 201A:2015 and 201B:2015: The SAAS Procedure 201A and 201B will be released to the public by SAAS. CBs SHALL be responsible for integrating the requirements of SAAS Procedure 201A:2015 and SAAS Procedure 201B:2015 into their internal processes, as necessary. CBs are also responsible for disseminating relevant information from this Procedure to all SA8000 certified clients, SA8000 auditors [including subcontractors] and other CB personnel. 8.7 Social Fingerprint: The Social Fingerprint online platform SHALL be available for all SA8000 clients for the SA8000:2014 certification process. CBs SHALL be responsible for assuring that their SA8000 auditors [including subcontractors] and other CB personnel have the appropriate access and ability to use this system. 9. Transition Process for SAAS Accredited CBs: 9.1 All SAAS Accredited CBs SHALL identify and implement all changes necessary to existing procedures, documents and policies related to SA8000 in order to incorporate the changes in SA8000:2014, SAAS Procedure 200:2015 and SAAS Procedure 201A:2015 and 201B:2015. The deadline for compliance with SAAS Procedure 200:2015, Procedure 201A and 201B:2015 shall be December 31, Wherever possible, an accredited CB should implement those parts of SAAS Procedure 200:2015 and Procedure 201A and 201B:2015 without delay. Assessment by SAAS shall cover the CBs plans for effectively managing the transition to the new requirements. 1. All SAAS Accredited CBs SHALL submit a plan of action to SAAS for integrating SA8000:2014, SAAS Procedure 200:2015 and SAAS Procedure 201A:2015 into their audit processes prior to September 1, SAAS SHALL review the plan of action and provide formal feedback, including questions for clarification, and then issue approval for the CB to move forward. This approval SHALL be received prior to any SA8000:2014 audits being undertaken. June 9, 2015 Page 4 of 5

5 9.3 Document Review: A document review of the CBs revised procedures to ensure compliance with SAAS Procedure 200:2015; SAAS Procedures 201A:2015 and 201B:2015 and to ensure that the CB has integrated Social Fingerprint evaluations into its policies and procedures will be performed in two steps that includes a remote desktop review AND/OR at the time of the next CB Head Office audit as follows: 1. If the CB s head office audit occurred prior to September 1, 2015, SAAS SHALL conduct a remote desktop document review of the CB s revised policies and procedures. The CB SHALL be responsible for costs associated with this review time. 2. If the CB s head office audit occurs between to September 1, 2015 and December 31, 2015, after SAAS has confirmed that the CB provided sufficient documented evidence of its compliance to the SA8000:2014 certification program requirements, SAAS will review this documentation at the CB s next head office audit prior to December 31, From January 1, 2016 to December 31, 2016, SAAS SHALL monitor the CBs implementation of their transition plans through head office audits, regional/local office audits and witnessed audits, as regularly scheduled surveillance audits, with additional time as needed. In setting this transition period, SAAS have taken into account that the transition will require changes to procedures, setting up new training curricula, and revision of software systems, as well as implementation of new systems, policies and procedures to demonstrate compliance. 9.5 After SAAS completes its review of each CB, SAAS SHALL issue a new accreditation certificate and agreement to each CB, indicating their accreditation to ISO17021:2011 and SAAS Procedure 200:2015. This confirms that the CB is now authorized to deliver SAAS Accredited SA8000:2014 certification. 9.6 CBs SHALL report all transitions of their existing clients and new applicants to SA8000:2014 in line with the reporting requirements stated in SAAS Procedure 201A. 9.7 Training Requirements for SA8000 auditors are described in SAAS Notification 4B. 10. New Applications for SAAS SA8000 CB Accreditation: 10.1 SAAS has not accepted new applications of accreditation for certification to SA8000:2008 and SAAS Procedure 200:2007 since the SA8000 revision process began in As of September 1, 2015, SAAS SHALL begin accepting applications for CB accreditation to SA8000:2014 and SAAS Procedure 200:2015, SAAS Procedure 201A:2015 and SAAS Procedure 201B:2015. Please complete the form below to acknowledge receipt of this Notification and its immediate incorporation into your CB s procedures. Please fax ( ) or scan and (to LBernstein@saasaccreditation.org) this document to SAAS by July 6, Signature: Printed Name: Date: CB Name: End of Document June 9, 2015 Page 5 of 5