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Author: L. Bernstein Social Accountability Accreditation Services Issue: 1Approval: R. Zaid SAAS SA8000 Report Form 313 Effective: August 8, 2008

SOCIAL ACCOUNTABILITY Office Audit ReportACCREDITATION SERVICES

CB Name: SAAS CB Client #: Name of SAAS Lead Auditor:

Type of SAAS Audit: Accreditation Re-Accreditation Surveillance

if reaccreditation/surveillance: SAAS Cumulative Audit #:

Name of SAAS Team Auditor:

Name of Other SAAS Team Member/Interpreter:

Office Audit Address:

Office Audit Dates: to

Type of CB Office:

Headquarters Regional/local office

SAAS Audit Days On-Site:

Number of SAAS Auditors: Number of Total SAAS Audit Days:

Contact Details:CB Office Contact Name: Email Address:

Telephone No. Fax No. Cell Phone No.

Persons Involved With SA8000 Certification for CB At Site:

Total # CB Staff: No. Of Certification Office Staff: No. Of Lead Auditors: No. Of Team Auditors: No. Of Special/Technical Experts:

Office Audit Purpose and Scope:

Office Audit Summary:

Scope Of Accreditation or Requested Scope of Accreditation (for applicants):

Total Number of CARs raised: Major = Minor =

Details of Corrective Action Requests are found on individual completed SAAS form 415. SAAS Form 415 completed and submitted?

Number of Opportunities for Improvement raised:

Form 313: Version: August 2008 © of 9Last printed 8/4/2008 1:13:00 PM


Audit Team Recommendation:

Based on the audit findings as detailed in this report the audit team: recommends the organization be accredited/continue to be accredited, pending the satisfactory completion of any required witness audit and satisfactory response to CARs (if required).

recommends a full reassessment of the system be conducted before accreditation can be granted/continue. recommends a partial reassessment of the system be conducted before accreditation can be granted/continue.

Comments:

Notes:1 SAAS will review the audit team’s recommendations and take the final decision regarding the accreditation of your organization.2 The items described in this report were based upon usual audit sampling methodologies hence where corrective action requests have not been highlighted it does not mean that they do not exist.

Signed by SAAS Lead Auditor: Date:

Opening Meeting Date: Closing Meeting Date:

Name Position Name Position



Office Audit details and findings:

CB structure and certification process: Include the significant findings from the audit, such as the CB’s organization structure and certification process that the CB has established.

Details of the CB method for audit planning: Provide the # of client files sampled, the audit planning process, the audit days quotation process, and the client management, such as CAR closure and certification decision-making.

Details of the CB auditor training and experience requirements and records, including interview technique training: Identify the CB’s requirements and how the CB meets those requirements. Include results of review of a sample of existing records.

Details of the CB requirement for conducting individual, group and off-site interviews: Identify the interview process that the CB uses, including the proportion of individual and group interviews and if they use off-site interviews.

Dissemination of local laws and regulations: Record the process by which the CB esnures knowledge of local laws by the auditors.

Details of the CBs procedures for and handling of SA8000 complaints: Record the # of complaints received, the investigative process, and the closure of complaints.

Details of the CB NGO/Trade Union consultation process: Include what the CB does to obtain input from NGOs and Trade Unions about general concerns in the regions where they plan to certify clients.

Details of the CB Unannounced Audit process: Include details on the CB's process for conducting unannounced audits and the number of such audits conducted.

Details of the CB method for determining basic needs wages: Include how the CB calculates the basic needs wage to use for certification audits.

Internal Audits and Management Review: Record the dates of the management reviews audited and detail the sample of internal audits audited. Record details of compliance and corrective and preventive actions.

Best Practices:

Insert best practices noted by the auditor at the Certification Body.

(For Reaccreditation/Surveillance Only) Complaints Review:

Insert review of complaints received and management process.

Additional Information:



For Reaccreditation/Surveillance only: Prior SAAS CARs Addressed This Visit? Yes No

The following CARs, written at previous SAAS audits, were reviewed with results as indicated:

CAR #: Date Raised: Originally Issued By: Insert SAAS LA Name

Action taken by CB:

Verification Evidence:

Disposition By SAAS LA: CAR Closed CAR Still Open Details:



Action taken by CB:





Action taken by CB:





Action taken by CB:



Additional notes from closure of previous CARS:



Audit checklist for Headquarters/Certifying OfficeAll requirements are audited during accreditation and reaccreditation audits of headquarters. Audit the SAAS Procedure 200 requirements with the related ISO/IEC 17021 requirement. Mark items that have been audited.

Requirements for ISO/IEC 17021:2006 and SAAS Procedure 200SAAS Requirement(Include associated SAAS Procedure 200 requirements with ISO/IEC 17021 requirement)

Audited CommentsTOTAL

NUMBER OF

Primary requirements OFIs NCRs: Major

NCRs: Minor

General requirements (ISO/IEC 17021 - 5.1)

Management of impartiality (ISO/IEC 17021 - 5.2)

Liability and financing(ISO/IEC 17021 - 5.3)

Organizational structural and top management(ISO/IEC 17021 – 6.1)

Committee for safeguarding impartiality(ISO/IEC 17021 – 6.2)

Competence of management and personnel(ISO/IEC 17021 – 7.1)

Personnel involved in the certification activities(ISO/IEC 17021 – 7.2)

Use of individual external auditors and external technical experts(ISO/IEC 17021 – 7.3)

Personnel records(ISO/IEC 17021 – 7.4)

Outsourcing(ISO/IEC 17021 – 7.5)

Publicly assessable information(ISO/IEC 17021 – 8.1)

Certification documents(ISO/IEC 17021 – 8.2)

Directory of certified clients(ISO/IEC 17021 – 8.3)

Reference to certification and use of marks(ISO/IEC 17021 – 8.4)

Confidentiality(ISO/IEC 17021 – 8.5)

Information exchange between a CB and its clients(ISO/IEC 17021 – 8.6)

Process general requirements(ISO/IEC 17021 – 9.1)

Initial audit and application(ISO/IEC 17021 – 9.2)

Surveillance activities(ISO/IEC 17021 – 9.3)

SAAS Requirement Audited Comments



(Include associated SAAS Procedure 200 requirements with ISO/IEC 17021 requirement)

TOTALNUMBER OF

OFIs NCRs: Major

NCRs: Minor

Recertification(ISO/IEC 17021 – 9.4)

Special audits(ISO/IEC 17021 – 9.5)

Suspending, withdrawing or reducing the scope of certification(ISO/IEC 17021 – 9.6)

Appeals(ISO/IEC 17021 – 9.7)

Complaints(ISO/IEC 17021 – 9.8)

Records of applicants and clients(ISO/IEC 17021 – 9.9)

Management system requirements in accordance with ISO 9001(ISO/IEC 17021 – 10.2)

General management system requirements(ISO/IEC 17021 – 10.3)

Specific management system requirements:Management reviewInternal auditsControl of documentsControl of records



Requirements for ISO/IEC 62:1996 and SAAS Procedure 150SAAS Requirement Audited Comments

TOTALNUMBER OF

Primary requirements OFIs NCRs: Major

NCRs: Minor

Application information on the procedure(ISO 62: 3.1.1)

The application(ISO 62: 3.1.2) (SAAS 150: 150.3)

Preparation for assessment(ISO 62: 3.2)(SAAS 150: 150.1, 150.2, 150.6, 150.7, Adv 6, Adv 9, Adv 10, Adv 14-3, Adv 19)

Assessment including client records(ISO 62: 3.3)

Assessment report(ISO 62: 3.4) (SAAS 150: 150.4; Adv. 11)

Surveillance & assessment procedures(ISO 62: 3.6)

Use of certificates & logos(ISO 62: 3.7) (SAAS 206; Adv 14-1)

Complaints, Appeals, Disputes(ISO 62: 2.4, 3.8) (SAAS Adv 7)

Application to agriculture(SAAS Adv 2)



Audit Checklist: Local/Regional Support OfficeMark items that have been audited.

SAAS Requirement(Include associated SAAS Procedure 200 requirements with ISO/IEC 17021 requirement)

Audited? CommentsTOTAL

NUMBER OF

Primary requirementsOFIs NCRs:

MajorNCRs: Minor

Organization – general structure and responsibilities of the office (ISO 17021 - 6.1.1, 6.1.2) (P-200 – 1.0)

Certification Body Personnel – Competence of management and personnel (ISO 17021 – 7.1)

Certification Body Personnel – Personnel involved in the certification activities (ISO 17021 – 7.2) (P-200 – 3.1, 3.2, 3.5, 3.7a-b)

Certification Body Personnel – Selection procedure (ISO 17021 – 9.1.3) (P-200 – 3.3, 3.4)

Certification Body Personnel – Use of individual external auditors and external technical experts (ISO 17021 – 7.3)

Certification Body Personnel – Personnel records (ISO 17021 – 7.4) (P-200 – 3.6, 3.7c,

Certification Body Personnel – Procedures for audit teams (ISO 17021 – 7.2.6)

Audit planning review:The application(ISO 62: 3.1.2) (SAAS 150: 150.3)Preparation for assessment(ISO 62: 3.2) (SAAS 150: 150.1, 150.2, 150.6, 150.7, Adv 6, Adv 9, Adv 10, Adv 14-3, Adv 19)

Audit package review:Assessment including client records(ISO 62: 3.3)Assessment report(ISO 62: 3.4) (SAAS 150: 150.4; Adv. 11)Certification decisions(ISO 62: 3.5)Use of certificates & logos(ISO 62: 3.7) (SAAS 206; Adv 14-1)

Complaints, Appeals, Disputes(ISO 62: 2.4, 3.8) (SAAS Adv 7)

Secondary requirements

Internal audits and management reviews(ISO 62: 2.1.6)

Surveillance & assessment procedures(ISO 62: 3.6)

Control of Documentation (are the above



procedures the correct versions)(ISO 62: 2.1.7.2)Control of Records(ISO 62: 2.1.8)

Opportunities for Improvement/Observations:No.

The following OFIs were noted during this audit. No actions are required for OFIs & ObservationsElement

1

2

3

4

5

6

7

8

9

10

Nonconformities:No.

The following NCRs were noted during this audit. Please complete the individual CAR form 415 with root cause analysis and corrective action.

Element Due Date(What is due?)

1

2

3

4

5

6

7

8

9

10

Signed by CB Representative / Date Signed by SAAS Auditor / Date


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