Sa8000.2014 Notifications Checklist #1

Authors: P.
Scott Social Accountability Accreditation Services Issue: 1

Approval: L. Bernstein SA8000:2014 Notifications Checklist #1 Template Effective: November 17, 2015
SAAS SA8000:2014 Checklist #1

Notifications 4A, 4B & 4C
CB Name Enter CB name
CB SAAS Number Enter CB SAAS Accreditation Number
CB Head Office Address Enter CB Head Office Address
CB Contact Name Enter CB Contact Name

SAAS Reviewer Reviewer's Name
Review Date Review Date
To ensure a speedy review of SAAS Accredited Certification Body’s compliance with the criteria to perform SA8000:2014 Certification Audits, SAAS
has produced a series of checklists to enable a complete submission of documentation to be made by the CB. These checklists are as follows:
#0 – SA8000:2014 Transition Plan Checklist

#1 – Notifications 4A, 4B & 4C Checklist (this checklist)
#2 - Procedure 200:2015 Checklist
#3 - Procedure 200A:2015 Checklist
#4 –Procedure 201B:2015 Checklist
#5 – Procedure 201A:2015 and ISO17021-1:2015 Checklist
#1 CHECKLIST
Instructions for CB. In the checklist below please provide details such as procedure or other documentation reference number in the right-hand
shaded column “Comments/Evidence”.
SAAS_Notification_4A _SA8000 2014_Certification_Transition_rev2_final
CB Has Provided Information To Demonstrate Compliance With All The

Yes Or No Comments/Evidence
Requirements Of Notification 4A – Rev 2
1 Informational Only --- ---
2 Informational Only --- ---

CB has defined plans to perform SA8000:2008 recertification and
surveillance audits for existing SA8000-certified clients through
June 2017 and that currently certified clients due for Yes
3.1 Describe Evidence Of Compliance
recertification before June 30, 2017 may be recertified to No
SA8000:2008, but SHALL transition to SA8000:2014 by June 30,
2017?
CB has defined plans for all currently certified SA8000:2008
Yes
3.2[1] clients to ensure that they SHALL transition to SA8000:2014 by Describe Evidence Of Compliance
June 30, 2017? No
Has CB planned the transition to SA8000:2014 for ALL its clients
Yes
3.2[2] by arranging a transition audit to the requirements of Describe Evidence Of Compliance
SA8000:2014 using SAAS Procedure 200:2015? No
Has the CB informed their certified clients of these transition Yes
3.3 How? Describe Evidence Of Compliance
dates as in 3.2 above? No
4.1[1] Has the CB required their SA8000-certified clients to identify and Yes How? Describe Evidence Of Compliance
implement all changes necessary to their existing SA8000- No
related procedures, documents and policies in order to meet the
requirements of SA8000:2014 and the integration of Social
Fingerprint into the audit process?
Copyright © 2015 Social Accountability Accreditation Services. All rights reserved. Page 1 of 7
Authors: P. Scott Social Accountability Accreditation Services Issue: 1
Has the CB ensured that wherever possible, their SA8000-

Yes
4.1[2] certified organisations SHALL implement those parts of Describe Evidence Of Compliance
SA8000:2014 without delay? No
Has the CB ensured that their currently certified organisations
conduct a gap analysis to understand the areas in their system Yes
that need to be revised and that they have access to this gap No
analysis for review during the transition audit?
Has the CB assessed their clients’ implementation of
SA8000:2014 during an on-site transition audit which may be Yes
completed during normally scheduled certification, No
recertification and surveillance activities?
Has the CB a documented procedure to ensure that the on-site
transition audit includes an assessment of the implementation Yes
4.3[a1] Describe Evidence Of Compliance
of the elements found in SA8000:2014 with a focus on the No
significant changes in the revised Standard?
Has the CB a documented procedure to ensure that the
transition audit shall include a focus on forced and compulsory
labour; health and safety; and management systems, as well as a
Yes
4.3[a2] brief review of those elements with minor or no changes Describe Evidence Of Compliance
between SA8000:2008 and SA8000:2014 (as indicated by No
reviewing the Side-By-Side comparison document of
SA8000:2008 and SA8000:2014, available on the SAI website).
Has the CB a documented procedure to ensure that the
Yes
4.3[b] transition audit shall include a Social Fingerprint self-assessment Describe Evidence Of Compliance
by the organisation and independent evaluation by the CB. No
Has the CB a documented procedure to ensure that the audit
process requirements found in SAAS Procedure 200:2015 and
Yes
4.3[c] ISO 17021-1:2015 SHALL be used for assessing clients and Describe Evidence Of Compliance
process requirements for conducting the SA8000:2014 audit, No
including the revised audit day table, audit criteria, etc.
Has the CB established internal controls to ensure that after
Yes
5.1[1] March 31, 2016, they shall not conduct any audits for initial Describe Evidence Of Compliance
certification to SA8000:2008? No
Has the CB a documented procedure to ensure that from April 1,
2016, all SA8000 initial certification audits of new clients SHALL Yes
5.1[2] Describe Evidence Of Compliance
be to SA8000:2014 and SHALL include an evaluation of the No
organisation using Social Fingerprint?
Has the CB a documented procedure to ensure that all their
SA8000:2014 certification audits are conducted using the Yes
requirements and processes found in Procedure 200:2015 and No
ISO 17021-1:2015?
Has the CB a documented procedure to ensure that they
conduct SA8000:2014 audits using amended documents, forms,
instructions, contracts, policies and procedures to reflect the Yes
normative requirements of certification to SA8000:2014, No
including those found in ISO 17021-1:2015, Procedure 200:2015,
Procedure 200A and Procedures 201A and 201B:2015.?
Has the CB a documented procedure to ensure that they from
Yes
6.1 April 1, 2016, all audits of new clients to SA8000:2014 SHALL Describe Evidence Of Compliance
include Social Fingerprint? No
Has the CB informed their currently certified organisations and
new clients interested in certification to SA8000:2014 that they
6.2 & Yes
may take the Social Fingerprint Self-Assessment beginning Describe Evidence Of Compliance
6.3 No
September 2015 and that the Self-Assessment will be available
via the SAI website?
6.4[a] Has the CB a mechanism for informing their SA8000:2014 Yes Describe Evidence Of Compliance
applicants to complete the Social Fingerprint Self-Assessment No
through the SAI online training center prior to the initial
SA8000:2014 Stage 1 Audit?
Has the CB a documented procedure to ensure that during the

initial SA8000:2014 certification cycle, their SA8000 auditors
conduct a Social Fingerprint Independent Evaluation at the
following audits? Yes
6.4[b] Describe Evidence Of Compliance
1. Initial Stage 1 SA8000:2014 audit No
2. Initial Stage 2 SA8000:2014 audit
3. Surveillance Audit #2
4. Surveillance Audit #4
Has the CB a documented procedure to ensure that after the
initial SA8000:2014 certification cycle, the Social Fingerprint Yes
6.4[c] Describe Evidence Of Compliance
process (self-assessment and independent evaluation) occurs at No
the recertification audit (every 3 years)?
Has the CB a documented procedure to ensure that certified
clients complete the Social Fingerprint Self-Assessment through Yes
6.5[a] Describe Evidence Of Compliance
the SAI online training center before the Stage 2 recertification No
audit?
Has the CB a documented procedure to ensure that during this
cycle, SA8000 auditors SHALL conduct a Social Fingerprint
Independent Evaluation at the following audits? Yes
1. Recertification Stage 2 SA8000:2014 Audit No
2. Surveillance 2
3. Surveillance 4
initial SA8000:2014 certification cycle, the Social Fingerprint Yes
process (self-assessment and independent evaluation) occurs at No
the recertification audit (every 3 years)?
Has the CB a documented procedure to ensure that its certified
Yes
6.6[a] clients complete the SF Self-Assessment through the SAI online Describe Evidence Of Compliance
training center before the transition audit? No
Has the CB a documented procedure to ensure that its SA8000
auditors conduct a Social Fingerprint Independent Evaluation at
the following audits?
1. The surveillance audit that serves as the transition audit to Yes
SA8000:2014. No
2. TWO additional audits in addition to the next recertification
audit (timing is dependent on when the transition audit occurs
in the certification cycle).
initial SA8000:2014 certification cycle, the Social Fingerprint
process (self-assessment and independent evaluation) occurs at Yes
the recertification audit (every 3 years) except for organisations No
that transition to SA8000:2014 during a Surveillance 4 or 5
Audit?
Has the CB provided documented evidence that they have
identified and will implement all changes necessary to existing
procedures, documents and policies related to SA8000 in order
to incorporate the changes in SA8000:2014, ISO 17021-1:2015,
SAAS Procedure 200:2015, SAAS Procedure 200A:2015 and SAAS Yes
Procedures 201A:2015 and 201B:2015 and to ensure that No
through a Gantt etc that they will meet the deadline of
December 31, 2016 for compliance with ISO 17021-1:2015, SAAS
Procedure 200:2015, SAAS Procedure 200A:2015, Procedure
201A and 201B:2015?
7.2 No-CB Requirement To Be Confirmed --- ---
7.3 Has the CB provided a “Plan of Action” to SAAS for integrating Yes Describe Evidence Of Compliance
SA8000:2014, ISO 17021-1:2015, SAAS Procedure 200:2015, No
SAAS Procedure 200A:2015 and SAAS Procedure 201A:2015 into
their audit processes by November 1, 2015?
7.3[a] Actions Required by SAAS Only. --- ---
7.3[b] Actions Required by SAAS Only. --- ---

7.4
[a,b&c Actions Required by SAAS Only. --- ---
]
7.5
Actions Required by SAAS Only. --- ---
[a&b]
7.6 Actions Required by SAAS Only. --- ---
Has the CB a mechanism for ensuring that they report all
transitions of their existing clients and new applicants to Yes
SA8000:2014 in line with the reporting requirements stated in No
SAAS Procedure 201A using SAAS Form 616A?
7.8 Informational Only --- ---
Has the CB a documented procedure(s) to ensure that all
SA8000:2014 certification audits SHALL be conducted in Yes
accordance with the requirements of SAAS Procedure 200:2015, No
Procedure 200A:2015 and ISO 17021-1:2015?
Has the CB fully integrated the requirements found in SAAS
Procedure 200 and 200A into its internal processes and
Yes
9.3 disseminating relevant information to all SA8000 certified Describe Evidence Of Compliance
clients, SA8000 auditors [including subcontractors] and other CB No
personnel?
Has the CB a documented procedure(s) to ensure that they only
Yes
9.3[1] raise non-conformities related to management system violations Describe Evidence Of Compliance
of a particular clause and/or sub-clause of SA8000:2014? No
Has the CB a documented procedure(s) to ensure that the
requirements of SAAS Procedure 201A:2015 and SAAS Yes
Procedure 201B:2015 are integrated into their internal No
processes?
Has the CB a documented procedure(s) to ensure that they have
disseminated the relevant information from SAAS Procedure
Yes
9.4[1] 201A:2015 and SAAS Procedure 201B:2015 to all their SA8000 Describe Evidence Of Compliance
certified clients, SA8000 auditors [including subcontractors] and No
other CB personnel?

Has the CB a mechanism for disseminating the SA8000:2014
Yes
10.1 Guidance Document to all their SA8000 auditors (including Describe Evidence Of Compliance
subcontractors) and other personnel? No
Yes
10.2 Performance Indicator Annex (PIA) to all their SA8000 auditors Describe Evidence Of Compliance
(including subcontractors) and other personnel? No
Yes
10.3 Drafters’ Notes to all their SA8000 auditors (including Describe Evidence Of Compliance
Yes
10.4 Certification Exclusion List to all their SA8000 auditors (including Describe Evidence Of Compliance
10.5 Has the CB a mechanism for disseminating information about Yes Describe Evidence Of Compliance
Social Fingerprint to their SA8000 auditors [including No
subcontractors] and other CB personnel have the appropriate
access and ability to use this system?
SAAS_Notification_4B_SA8000.2014_Training_Requirements_Final 6.9.2015

Requirements Of Notification 4B.
Has the CB mechanisms or procedures in place to ensure that all
their Lead Auditors and Team Auditors who conduct
Yes
1[a] SA8000:2014 audits attend and PASS their CB’s internal training Describe Evidence Of Compliance
and calibration on new processes and internal procedures No
related to SA8000:2014?
their Lead Auditors and Team Auditors who conduct
Yes
1[b] SA8000:2014 audits successfully complete the SA8000:2014 Describe Evidence Of Compliance
Online Revision Course: Part 1 and 2 or the SA8000:2014 Basic No
Course (as appropriate)?
their CB managers, personnel involved in technical review of
Yes
2 SA8000:2014 reports and other SA8000 program personnel are Describe Evidence Of Compliance
required to complete the training requirements for auditors, as No
identified above?
Has the CB developed a training plan and timeline to ensure that
Yes
3 all their SA8000:2014 auditors and other staff meet the training Describe Evidence Of Compliance
requirements outlined above? No
Has the CB mechanisms or procedures in place to ensure that
their Auditors who took the SA8000 Basic Course prior to
Yes
4[a] January 1, 2015 (regardless of the course provider) must Describe Evidence Of Compliance
upgrade their qualification by successfully completing the No
SA8000:2014 Online Revision Webinars - Part 1 and 2?
their Auditors who took the SA8000 Basic Course between
January 1, 2015 and June 30, 2015 must upgrade their
qualifications in the following way, depending on the course
Yes
4[b] provider? That is: Describe Evidence Of Compliance
i. SAI as Course Provider: Auditors must take the SA8000:2014 No
Online Revision Webinar – Part 2.
ii. Other SAAS-Accredited Course Provided: Auditors must take
the SA8000:2014 Online Revision Webinars - Part 1 and 2.
their Auditors who take the SA8000 Basic Course between July
1, 2015 and August 31, 2015 must upgrade their qualifications in
Yes
4[c] the following way, depending on the course provider? That is: Describe Evidence Of Compliance
i. SAI as Course Provider: No additional training required. No
ii. Other SAAS-Accredited Course Provided: Auditors must take
the SA8000:2014 Online Revision Webinars - Part 1 and 2.
their Auditors who take the SA8000 Basic Course after
Yes
4[d] September 1, 2015 are not required to complete any additional Describe Evidence Of Compliance
training as after this date, all versions of the Basic Course will No
contain the necessary upgrades for SA8000:2014?
Has the CB mechanisms or procedures in place to ensure all
their Personnel and Auditors comply with the experience and
Yes
5 training requirements as stated in SAAS Procedure 201B:2015 Describe Evidence Of Compliance
and that these ensure that the deadline for compliance with No
Procedure 201B:2015 of December 31, 2016 is not exceeded?
SAAS Notification 4C_Transition_Process_for_CBs

Requirements Of Notification 4C.
Has the CB submitted a Transition Plan that addresses all the Yes
1[a&b] Describe Evidence Of Compliance
requirements of SAAS Notification 4C by 1 November 2015? No
Does the Transition Plan detail in a table or Gantt Chart the Yes
1[c] Describe Evidence Of Compliance
timeline of transition activities? No
1[d] Informational Only. --- ---
1[e] Informational Only. --- ---

Has the CB submitted its revised documented management
Yes
2[a] system for a minimum of a 1-day desktop review by SAAS Describe Evidence Of Compliance
between November 1, 2015 and March 30, 2016? No
Has the CB conducted a gap analysis to identify procedures,
processes, work instructions, report forms and other documents Yes
2[b] Describe Evidence Of Compliance
that need to be revised as a result of new requirements and No
made that gap analysis available to SAAS?
Does the CB’s revised documented management system include
integration of Procedure 200:2015, Procedure 200A, Procedure Yes
2[c1] Describe Evidence Of Compliance
201A and Procedure 201B, as applicable, and the Performance No
Indicator Annex into it’s "global" system?
Is there evidence that the CB has made very comprehensive
adjustments to their documented management system and Yes
2[c2] Describe Evidence Of Compliance
submitted its revised documentation using the SAAS checklist of No
documents?
Has the CB modified its organizational structure, if necessary, to
Yes
2[d] address the new and revised responsibilities as found in the new Describe Evidence Of Compliance
SAAS Procedures? No
Has the CB provided a self-declaration that all clients are aware
Yes
2[e1] of the new SA8000:2014 requirements and how each client will Describe Evidence Of Compliance
be upgraded to SA8000:2014? No
Has the CB provided confirmation that its website and other
Yes
2[e2] collateral material has updated to the new SA8000:2014 Describe Evidence Of Compliance
requirements? No
2[f] Informational Only. --- ---
3[a] Informational Only. --- ---
3[b] Informational Only. --- ---
3[c] Informational Only. --- ---

Has the CB created and have planned dates of delivery a training
program for all personnel, including but not limited to SA8000
auditors, to update them to the CB’s revised documented Yes
4[a] Describe Evidence Of Compliance
management system, SA8000:2014, ISO 17021-1:2015, SAAS No
Procedure 200:2015, SAAS Procedure 200A and SAAS Procedure
201A and 201B:2015?
Has the CB created a training program for all personnel that
Yes
4[b1] includes face to face training sessions and not be limited to Describe Evidence Of Compliance
training via webinar/VOIP? No
Has the CB designated the appropriate classroom time for the Yes
4[b2] Describe Evidence Of Compliance
planned training sessions? No
Has the CB mechanisms in place to ensure that it sends the
Yes
4[c] training material content to SAAS for review prior to Describe Evidence Of Compliance
commencing with the training? No
Has the CB mechanisms or Procedures in place to ensure that it

advises SAAS on a quarterly basis as to which auditors have been Yes
4[d] Describe Evidence Of Compliance
trained and monitored on site and are approved by them to No
perform SA8000:2014 audits?
Has the CB provided evidence as to how, when and who will
evaluate the effectiveness of their SA8000:2015 auditor training Yes
by witnessing each auditor on-site as being competent to No
perform audits to SA8000:2014?
Has the CB provided their self-declaration that they have
performed a complete set of internal audits of their
documented management system at their Head Office to Yes
confirm their compliance with ISO 17021-1:2015, SAAS No
Procedure 200:2015, SAAS Procedure 200A and SAAS Procedure
201A and 201B:2015?
--- End Of Document ---

Sa8000.2014 Notifications Checklist #1

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Authors: P.

Scott Social Accountability Accreditation Services Issue: 1

SAAS SA8000:2014 Checklist #1

CB SAAS Number Enter CB SAAS Accreditation Number

CB Head Office Address Enter CB Head Office Address

CB Contact Name Enter CB Contact Name

Review Date Review Date

#0 – SA8000:2014 Transition Plan Checklist

SAAS_Notification_4A _SA8000 2014_Certification_Transition_rev2_final

CB Has Provided Information To Demonstrate Compliance With All The

2 Informational Only --- ---

Has the CB ensured that wherever possible, their SA8000-

Has the CB a documented procedure to ensure that during the

7.3[a] Actions Required by SAAS Only. --- ---

7.3[b] Actions Required by SAAS Only. --- ---

9.6 Informational Only --- ---

access and ability to use this system?

CB Has Provided Information To Demonstrate Compliance With All The

SAAS Notification 4C_Transition_Process_for_CBs

CB Has Provided Information To Demonstrate Compliance With All The

1[e] Informational Only. --- ---

2[f] Informational Only. --- ---

3[a] Informational Only. --- ---

3[b] Informational Only. --- ---

3[c] Informational Only. --- ---

Has the CB mechanisms or Procedures in place to ensure that it

7[b] Informational Only. --- ---

8[a] Informational Only. --- ---

8[b] Informational Only. --- ---

--- End Of Document ---

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