SAAS Procedure 200:2015 Interpretation Questions


Scope of service companies that administer contracts but do not perform the work e.g. cleaning companies. These companies are not considered shell companies? Should the scope mention exclusions such as the actual onsite cleaning?
ResponseThe answer is “Yes” to each of these questions.

Initial Research: Clause 11.1.3 e) and Clause 13.2.3: Initial research or contact with local interested party is also compliance with below requirement "auditors shall conduct local intelligence gathering while on-site or in a specific area for audits". Am I correct?ResponseNO. The requirements of Clause 11.1.3 e) are different from Clause 13.2.3. The intent of Clause 13.2.3 is to perform research prior to the CB going to site. Clause 11.1.3e) provides additional intelligence when in the location of their client company e.g. at the time of the Stage 1 Audit.

13.2 – Initial Research: Should an “Initial Research” be started from stage of application to determine if CB accepts the application and last to 1st stage audit while some activities of an Initial research should be completed by on-site visit?  Does it mean that a (partial) result of Initial Research (even it has not been fully completed) SHALL be taken into considerations before accepting an application of SA8000 certification? 1. Generally yes but it can also carry on to the beginning of the Stage 2 phase if information was uncovered at the Stage 1 Audit that requires further investigation.
ResponseYes.

SAI Fire Safety Checklist: This has been removed from Procedure 200?
ResponseYes as all the new requirements in 200 and the Performance Indicator Annex address this matter.

Witness Fire Drill In Highest Risk Countries – Old Advisory 18. This has been removed from Procedure 200?
ResponseYes as all the new requirements in 200 and the PIA etc address this matter.  The CB needs to approach this and other issues in line with the risk based approach to certification as described in ISO 17021-1:2015 Clauses 4.8 & 9.4.2g). Should this requirement change, all CBs and other stakeholders shall be notified.

Table 15: This states that the effort includes reporting time. How long do we need to spend on writing the report?
Response:  The time allocation should be 0.25 days on Social Fingerprint and then 80/20%** with respect to on site and reporting time.  Using the guide in IAF MD 5:2015 Issue 3 Clause 2.1.2 “The duration of a management system certification audit (1.7) should typically not be less than 80% of the audit time calculated following the methodology in Section 3. This applies to initial, surveillance and recertification audits.”

Table 16: Based on the Table 16, Initial BSCI Allowance Audit Days, addressed in P. 200:2015, reporting audit days are included in both stage 1 and stage 2 audits. However, the Table 17, Single Site Surveillance Audit Effort, mentions that it excludes on-site reporting time. Does it mean that CBs should add extra on-site audit day, says 0.5 day, for reporting on the top of this basic duration for only audit activities?ResponseTable 16 is appropriate to BSCI “transfer/upgrade” audits only. Table 15 is the normal single site audit effort table. The CB is expected to add the time it takes them to produce the report to this audit effort based on how long it takes them to produce the report. This would be normally 0.5 to 1 day.

Table 17: This states that it excludes reporting effort. How long do we need to spend on writing the report?
Response: The time allocation should be 80/20% with respect to on site and reporting time.See note about IAF MD 5 above.

Table 17: Based on the remark in Table 17, it mentions Social Fingerprint Evaluation. From my understanding, the onsite audit effort in the table doesn't include time for doing the SF Evaluation. It means that if additional onsite audit effort, says 0.5 days, should be added for doing SF Evaluation. Right?
ResponseTable 17 by means of the * shows that these times DO include the SF Independent Evaluation Effort. Procedure 200A (Audit Requirements for Accredited Certification Bodies For Social Fingerprint) describes the required effort as “sufficient time”. The time required is obviously dependent on the CB Auditors Experience but it is thought that generally this will be between 2-3 hours.

Social Fingerprint: It is not clear how it is possible for the auditor to do the Independent Evaluation after the audit, when it is necessary to give feedback to auditee during closing meeting?
Response: Closing Meeting To be held after SF IE.

Bribery procedure:  it is necessary to define how to detect or identify “corrupt auditors”, proactively…?
Response: Yes this is normal practice and expected of all CB’s regardless of size.

Tolerance on announced surveillance audit scheduling: There is no tolerance stated for the audit scheduling of announced surveillance audits.
ResponseThe following should be adopted: If delay due to client: 3 months delay - certificate is suspended; a total of 6 months delay: certificate is cancelled (delay must be justified in records).

Multi-Site Scope: When reading the new procedure 200, is not totally clear to me that a company can choose to include some sites in scope and leave others out of the scope, even when the perform the same activities in all sites.  For example, can a company start SA8000 certification in headquarter only, and in following audits decide to add sites as long as they progress on the implementation of the system in other sites? (as they do with other management systems). So they would begin with a single site certification, including only the workers from the HQ?
ResponseThat has been permitted in the past and suits an organisations’ roll-out of SA8000 Certification. That way they can learn from the experience and save costs on consultancy etc. There should though be some sort of logic to the roll-out and the CB should work with the client on the understanding say that all sites will be certified with 3 years. Failure to do so will mean that certification is lost for all the sites or that they go back to a single site certification basis. In the initial certification roll-out MUST be the head office then say ALL the sites in a particular town or province etc. SAAS is putting together guidance on scope and CBs shall contact SAAS directly under these described circumstances.

Multi-site Initial Audit Clause 21.4 vs. 21.6.1: Some regional offices in service sector can be limited scope during stage 2 so these two clauses are contradictory?
ResponseYes take 21.6.1 as the criteria for the service sector.

Clause 21.6.9: In the case that sites are classified as "temporary", it is not defined how to consider those in the audit process, since procedure only defines requirements for "permanent sites" surveillance (21.7.4), and a company may provide cleaning service (or pest control, or gardening, or transportation, etc) to many different customers every year, in some cases through participation in tenders, annually or every 2 or 3 years, for example. 
ResponseClause 21.7.4 this should be taken as temporary or permanent site.

Clause 21.7.4: It is not clear how to define a temporary site?
ResponseIt should be noted that the length of contract with a customer does not define whether a workplace is temporary or not. The following illustrates what SAAS consider as a temporary site. “A temporary site is one set up in order to perform specific work or service for a finite and limited period of time”. These may be for example: Construction Sites; Temporary Exhibitions; Outdoor events and concerts; Event caterers; One off customer call-out to repair ítems e.g. photocopier. Examples of permanent sites are: Cleaning services; Pest control; Gardening; Billboards.

Multi-site surveillance: Clause 21.7: Is the audit effort, audit records, interviews etc the same as for single site surveillance?
ResponseYes

Clause 21.6.9 states that 2% or 2 work locations (not owned/controlled by the organization) shall be audited. Does not clarify whether this is applicable to permanent and/or temporary sites.  Actually, in the service sector, the list of "work locations" (whether permanent or temporary) would be the complete list of customers!? 
ResponseClause 21.6.9 refers to premises not owned by the CB Client but at which work is performed by their workers. This applies to both permanent or temporary sites. Yes it would be the complete list of work locations but even if there are 1000 work locations the audit effort is only 2% that is 20 locations at 0.5 days each.

Non-Conformities: If a Major NC is raised by a CB during a surveillance visit then is it expected that the Clients Certificate is suspended?
ResponseNo not in every case. A Critical NC triggers a client’s automatic suspension.

Clause 22.2.2 Zero Tolerances and Clause 7.2.32: There is no guidance on what are Zero Tolerance issues – are these the same as BSCI has?  Only Critical or Critical / Major (in Definitions): always must be reported, but could a Major when for example it is immediately fixed?
ResponseNO these are not, in all cases, the same as BSCI Zero Tolerances.  They are clearly defined in Clause 7.2.32.  Procedure 200  Clause 22.5.1  Clearly states ……… Non-conformities SHALL NOT be closed by the CB during the audit in which they were issued.

Time Bound Non-conformities: Clause 22.3.4: There were several TBNC’s in earlier issues of Procedure 200. Why are these not there now?
ResponseTime Bound NCs are limited to ONLY those now found in Procedure 200:2015. Should SAI consider others, they will be added and all stakeholder notified.

Definitions Of OFI and Observations: Some CBs definitions for OFI and Observations are the other way around from Procedure 200. What do we do in these circumstances?
ResponseThe CB can continue to use their definition as long as they include a clarification in their documented management system as to what their term equates to with respect to the SAAS Procedure 200 definition.

Integration with ISO: There is currently no requirement now that SA8000 audits SHALL not be combined with ISO 9001, 14001 audits etc.?

Response:  Correct, there is no requirement. This was removed during the last stages of 200 editing.

Guidance: Will SAI include country-specific guidance somewhere on its website? 

Response:  Yes, it is planned that SAI will publish country-specific guidance - however, there is no specific timeline for this publication at the moment.