accreditation process, saas procedure 201 and iso 17011 · iso/iec 17011 iso 17011 specifies the...

SAAS

Accreditation Process

SAAS Procedure 201 and ISO/IEC 17011

© Social Accountability Accreditation Services

June 2010

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Social Accountability Accreditation Services

Mission:

SAAS supports social responsibility by ensuring the implementation of credible social standards designed to protect people and their communities. SAAS evaluates and accredits auditing organizations to assure they are qualified to hold their clients accountable to such social standards.

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Accreditation

� Accreditation is the process by which formal recognition of competence is given to qualified organizations, known as Certification Bodies (CBs).

� CBs are then granted the ability to perform certifications.

� Certification of compliance to SA8000 and other verification

codes within the SAAS scope of accreditation is available

only through qualified CBs granted accreditation by SAAS.

� Accreditation is necessary to assure stakeholders that the

CBs are able to consistently, reliably and effectively perform

certification audits and that these audits are carried out in a

professional manner.

� The accreditation process by SAAS includes documentation review, site audits and observation of auditors in the field.

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SAAS Normative Requirements

• SAAS maintains a set of Procedures and Policies, revised between 2007 and 2008, that it follows in conducting accreditation work:� SAAS Procedure 200 sets out the certification process

requirements for Certification Bodies (CBs) undertaking the assessments of organizations against the SA8000 standard.

� SAAS Procedure 201 sets out the internal policies SAAS must follow in granting and maintaining accreditation of a CB by SAAS.

� SAAS Procedure 203 contains the qualifications and training requirements for accreditation auditors and SAAS staff.

� SAAS has also developed a set of Work Instructions that accreditation auditors must follow in undertaking document reviews, on-site office and witness audits, and review of corrective actions.

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SAAS Normative Requirements

• In addition, SAAS requires implementation

of several ISO documents:

� SAAS maintains procedures and policies in compliance with ISO/IEC 17011:2004, the international standard for accreditation bodies accrediting certification bodies.

� SAAS requires implementation of ISO/IEC 17021:2006 by all accredited CBs. 17021 is the international standard setting out requirements for bodies providing audit and certification of management systems.

Accreditation Process and Policies

© SAAS 2009

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SAAS Procedure 201

• SAAS Procedure 201 outlines the process and activities SAAS will undertake in assessing, accrediting and maintaining a CB.

• Key requirements in the accreditation process by SAAS include:� Receipt and review of accreditation application

� Resource review

� Assignment of audit team

� Document review

� Office audit

� Witness audit

� Review and evaluation of corrective actions

� Decision-making

� Surveillance requirements

� Reaccreditation process

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Accreditation and Certification Process

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SAAS Procedure 201

• Written for internal use by SAAS.

• Sets out process requirements for accreditation by SAAS.

• Includes details of rights and responsibilities of SAAS and CBs.

• Supporting documents include:

� ISO/IEC 17021:2006

� ISO 9000

� ISO 9001

� ISO 17011

� ISO 19011

� Internal SAAS Procedures: 200 series, 300 series, 400 series, 600 series

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Public Information

• SAAS makes publicly available information

related to:

� The accreditation and assessment process.

� Accreditation requirements.

� Fees related to accreditation.

� Information on the accredited CBs.

� Information on complaints and appeals process.

� Information about related bodies.

� Description of the rights and duties of SAAS and the CBs.

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Application Information

• The following information is provided to an applicant CB:� SA8000:2008

� Procedure 200: Requirements for Accreditation

� Procedure 201: SAAS Accreditation Policies

� Procedure 435: Application Form

� Procedure 304: How to Make a Complaint / Appeal

� Procedure 406: Schedule of Fees

� Procedure 426: Use of the Mark

� Procedure 418: Model Accreditation Certificate

� Procedure 435-4: Model Accreditation Agreement

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Accreditation Application

• The applicant CB must supply SAAS with

basic information:

� General features of the applicant body.

� General information on its functions, related bodies, etc.

� A description of systems it certifies and applicable normative documents.

� A copy of its quality manual.

� Description of scope of desired accreditation.

� Identification of the CBs client, if available.

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Accreditation Application Process

• Upon receipt of an application, SAAS:

� Undertakes a resource review

� Confirms receipt of the application

� Reviews the application for conformance

� Assigns the client a number

� Begins the application process.

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Preparation for Assessment

• The SAAS Director will nominate an audit team. The audit team is selected based upon the following criteria:

� Expertise in issue area or industry.

� Availability.

� Location.

� Knowledge of local language.

� Lack of conflict of interest.

• A schedule of fees is prepared and sent to the applicant CB detailing the expected costs of the required audits.

• The applicant CB will review the fee schedule and nominated audit team for acceptance.

© SAAS 200915

Accreditation Process for CBs

Yes

Yes

Submit application, fee and documents

Desk audit /document review

Office audit review procedures and interview staff

Witness audit monitor CB auditing a facility

Deliberation on accreditation

Issuance of certificate

Maintenance of accreditation

Prepare documentsRequest application

Meets criteria?

Corrective action

Meets criteria?

Corrective action

Meets criteria?

Corrective actionYes

No

Yes

No

Yes

Yes

No

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Document Review

• The purpose of the document review is to review all relevant documents and records supplied by the CB to evaluate its system for conformity with the requirements of ISO 17021 and SAAS Procedure 200 and applicable advisories.

• The document review is conducted using Work Instruction 311 and Report Form 312.

• Upon completion of the review, the Lead Auditor submits the report and recommendation for further action to SAAS and the applicant.

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Document Review

• If the decision is that the accreditation can proceed, the Director selects the remainder of the audit team, issues a final fee schedule and submits it to the applicant for acceptance.

• If the decision is that the applicant can not proceed to the office audit, the applicant will be given time to address deficiencies in their system.

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Office Audit

• The purpose of the office assessment is to assess the degree and effectiveness of the implementation of the applicant CBs system.

• During the office assessment, SAAS auditors:• Review the organization’s documents and files.

• Conduct interviews with staff and auditors.

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Office Audit

• The applicant CB will have the opportunity to review and accept the audit fees and assigned audit team.

• The Lead Auditor plans and conducts the audit utilizing Work Instruction 311 and Report Form 313.

• In all cases, the applicant CB’s office which grants certificates will be assessed. If the certification decision will be decentralized, SAAS may assess additional offices.

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Witness Audit

• The purpose of the witness assessment is to assess the degree and effectiveness of the implementation of the applicant CBs system and determine the CB’s auditors’ competence.

• During the witness assessment, SAAS auditors:

� Observe an audit being conducted by a CB auditor at the CB’s client.

� Witness the applicant to ensure it is following its own certification procedures and that the procedures are effective.

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Witness Audit

• The applicant CB will have the opportunity to review and accept the audit fees and assigned audit team.

• The Lead Auditor plans and conducts the audit utilizing Work Instruction 314 and Report Form 315.

• It is necessary for the applicant to have a client willing to go through the process.

• Witness assessment are scheduled pending satisfactory results of the document review and office audit.

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Analysis of Findings

• The Lead Accreditation Auditor, within 10 days of the completion date of the audit, shall provide SAAS with a summary of findings and a recommendation of conformity.

• If there are major and/or minor nonconformities (CARS), the applicant CB will be given the opportunity to address them.

• The CAR process is managed by the Lead Auditor, following Work Instruction 318.

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Decision-Making Process

• The SAAS Director, in consultation with the Accreditation Review Panel Committee, will make an accreditation decision.

• The decision will be made based upon information provided to the Director by the audit team and the final audit report.

• If the applicant is declined, they will be given the opportunity to appeal the decision.

• If the applicant is approved, within 30 days of the decision and receipt of any outstanding fees, they will receive an accreditation certificate.

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Reaccreditation and Surveillance

• SAAS carries out periodic surveillance audits of CBs to verify continued compliance.

• Surveillance audits occur, at a minimum:

� Annual head office audits.

� Periodic regional office audits.

� Semi-annual witnessed audits.

� Additional witnessed audits depending on risk, performance, and level of activity.

• A full reaccreditation audit is required every 4 years.

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Obligations of SAAS

• SAAS maintains policies on extending, reducing, suspending and withdrawing the scope of a CBs accreditation.

• SAAS maintains records on CBs, correspondence, complaints, audit reports, training records, etc.

• SAAS ensures that it operates in a non-discriminatory manner and makes its services accessible to all applicants.

• SAAS safeguards the confidentiality of information obtained through the audit process.

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ISO/IEC 17011: 2004ISO/IEC 17011: 2004

© Social Accountability Accreditation Services,

June 2010

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Conformity assessment — General requirements for accreditation bodies accrediting conformity

assessment bodies.

ISO/IEC 17011:2004ISO/IEC 17011:2004

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ISO/IEC 17011ISO/IEC 17011

A system to accredit CB conformity assessment services should provide confidence in the CBs competency and ability to perform their tasks. Accreditation bodies provide impartial verification of that competence – such verification is done by accreditation bodies that are impartial in relation to both the CBs and their clients.

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ISO/IEC 17011ISO/IEC 17011

ISO 17011 specifies the general requirements for accreditation bodies. Audit and evaluation mechanisms against ISO 17011 provides assurance that accreditation bodies are operating in accordance with the standard.

SAAS conducts internal audits and management review sessions, as well as undertaking external verification audits to ensure continued compliance with ISO 17011 requirements.

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Accreditation HierarchyAccreditation Hierarchy

SAAS

Certification Body

ISO/IEC 17011 andSAAS Procedure 201

ISO/IEC 17021 and SAAS Procedure 200

Standard

Requirement Documents

Client

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ISO/IEC 17011 StructureISO/IEC 17011 Structure

Eight Sections:

• 1 Scope

• 2 Normative references

• 3 Terms and definitions

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ISO/IEC 17011 StructureISO/IEC 17011 Structure

Eight Sections – 5 Normative:

•4 Accreditation Body

•5 Management

•6 Human Resources

•7 Accreditation Process

•8 Responsibilities of the AB and CB

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ISO/IEC 17011 ContentISO/IEC 17011 Content

Section 1 – Scope:

•Specifies general requirements for ABs accrediting CBs.•CBs may be accredited for:

• Testing• Inspection services• Management system certification• Personnel certification• Product certification• Calibration.

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Section 2 - Normative references:

•ISO 9000:2000, Quality management systems —

Fundamentals and vocabulary•ISO/IEC 17000:2004, Conformity assessment —

Vocabulary and general principles

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Section 3 - Terms and definitions : For the purposes of this document, the terms and definitions given in ISO/IEC 17000 and the following apply.

• 3.1: accreditation – third party attestation related to a CB conveying formal demonstration of competence.•3.2: accreditation body – body that performs accreditation.•3.3: logo – logo used by AB.•3.4: accred certificates – document stating accreditation has been granted, within a scope.•3.5: accred symbol – symbol used to indicate accred status.•3.6: appeal – request for reconsideration of adverse decision.

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•3.7: assessment – process undertaken to assess the competence of a CB based on a normative document.•3.8: assessor – person assigned by the AB as part

of the assessment team.•3.9: complaint – expression of dissatisfaction, other than an appeal, to an AB relating to the activities of the AB or accredited CB.•3.10: conformity assessment body – body that performs conformity assessment services, can be object of accreditation.

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•3.11: consultancy – participation in activities of a CB subject to accreditation.•3.12: expert – person assigned by AB to provide specific knowledge.•3.13: extending accreditation – enlarging the scope of accreditation.•3.14: interested parties – parties with direct or indirect interest in accreditation.•3.15: lead assessor – overall responsibility for assessment activities.•3.16: reducing accreditation – cancelling partial scope of accreditation.

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•3.17: scope of accreditation – specific conformity assessment services for which accreditation is sought.•3.18: surveillance – set of activities to monitor continued fulfillment of requirements.•3.19: suspending accreditation – temporarily making accreditation invalid.•3.20: withdrawing accreditation – cancelling accreditation in full.•3.21: witnessing – observing CB carrying out assessment services.

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Section 4 – Accreditation Body:

Clause 4 describes the principles on which credible accreditation is based. These principles include the structure, legal responsibility, confidentiality and liability

for accreditation activity.

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Section 4 – General:

Principles for inspiring confidence include4.1 � legal responsibility,4.2 � structure,4.3 � impartiality 4.4 � confidentiality, 4.5 � liability and financing, and4.6 � accreditation activity.

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4.1 Legal Responsibility4.1 Legal Responsibility

The accreditation body must be a registered legal

entity.

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4.2 Structure4.2 Structure

•The structure of the AB must give confidence in its accreditations.

•The AB retains authority and responsibility for accreditation decisions.

•The AB has to have a description of its legal status, names of owners, etc.

•The AB must have documentation of duties, structure, responsibilities, authorities of personnel and management.

•The AB shall have access to technical experts.

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4.3 Impartiality4.3 Impartiality

•The AB shall safeguard objectivity and impartiality of its activities.

•AB policies must be non-discriminatory and be administered in a non-discriminatory way.

•The AB services shall be accessible to all applicants.

•All personnel and committees shall act objectively and free from undue pressures.

•Decisions on accreditation shall be taken by competent persons or committees different from the assessment team.

•The AB shall not provide consultancy or auditing

services that might affect impartiality.

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4.4 Confidentiality4.4 Confidentiality

•The AB must have adequate arrangements to ensure confidentiality of the information obtained through accreditation activities.

•This includes committees, external bodies, individuals acting on behalf of the AB, etc.

•Confidential information shall not be disclosed

without written consent of the CB.

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4.5 Liability and Financing4.5 Liability and Financing

•The AB shall have arrangements to cover liabilities arising from its activities.

•The AB shall have resources for operation of

activities and descriptions of sources of income.

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4.6 Accreditation activity4.6 Accreditation activity

•The AB shall describe its activities.

•The AB may adopt guidance documents and such documents must be formulated by competent committees/persons.

•The AB shall have procedures for extending activities and to meet the demands of interested

parties.

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Section 5 – Management:

Principles for inspiring confidence include5.1 � General,5.2 � Management System,5.3 � Document Control, 5.4 � Records, 5.5 � Nonconformities,5.6 � Preventive Actions,5.7 � Internal Audits,5.8 � Management Reviews, and5.9 � Complaints.

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5.0 Management of the AB5.0 Management of the AB

The AB shall establish and maintain an effective management system. Such procedures include systems for:

•Policies and objectives, including a quality policy.

•Document control for approval, review, updating.

•Records maintenance including IDing, collecting, storing records.

•Identification of nonconformities and corrective actions, including rot cause analysis, action plans and review.

•Identification of opportunities for improvement.

•Conduct of annual internal audits.

•Establishment of management reviews for review of audits, activities, feedback, trends and CAs.

•Complaints management and response.

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Section 6 – Human Resources:

6.1 � Personnel Associated with AB,6.2 � Personnel involved in accreditation,6.3 � Monitoring, 6.4 � Personnel Records

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6.0 Human Resources6.0 Human Resources

•The AB shall have a sufficient number of competent personnel to perform necessary work.

•These personnel must have appropriate education, training, technical knowledge, skills and experience.

•The AB must have access to sufficient assessors to cover activities.

•Personnel shall commit themselves by signature to comply with the rules defined by AB.

•The AB shall set out required qualifications, experience, and training required.

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6.0 Human Resources6.0 Human Resources

•The AB shall ensure that assessors and experts:

• Are familiar with procedures, criteria and other requirements.

• Have undergone training.

• Have knowledge of assessment methods.

• Are able to communicate effectively.

•The AB shall ensure satisfactory performance of the accreditation process through procedures and monitoring of personnel performance.

•The AB shall maintain records of qualifications, training and experience of personnel.

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Section 7 – Accreditation Process:

This section provides general information on the process of accreditation including the application, audit, findings, and decision making.

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7.0 Accreditation Process7.0 Accreditation Process

•The AB shall use normative documents and references throughout it process.

•The AB will make information publicly available describing its accreditation process, fees, complaints process, rights and obligations of CBs, rights and duties and information about its financial support.

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7.2 Application Process7.2 Application Process

•The CB must submit a formal application to the AB.

•The application must include:

• General features of the CB.

• General information about the CB.

• Requested scope of accreditation.

• Agreement to fulfill the requirements.

• Description of services the CB undertakes.

• A copy of the CB quality manual.

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7.0 Resources and Subcontracting7.0 Resources and Subcontracting

•The AB shall review its ability to carry out the assessment of the applicant re: competence and availability of assessors.

•The AB may subcontract assessment activities but must take full responsibility for all assessment and decision-making.

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7.5 Preparation7.5 Preparation

•The AB shall formally appoint the assessment team.

•The team shall have appropriate knowledge to conduct the audit.

•The AB shall ensure the team is impartial.

•The AB will notify the CB of the audit team and provide sufficient time in case there is an objection.

•The initial assessment will include a visit to the CB head office and others where key activities are performed.

•The audit team will have access to the appropriate criteria and documents.

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7.0 Document and On7.0 Document and On--Site Site AssessmentAssessment

•The assessment team shall review all relevant documents and records.

•The AB may decide not to proceed with the on-site assessment if NCs are identified.

•The on-site assessment will have an opening meeting where criteria are clearly defined.

•The assessment will be conducted at the premises of the CB where key activities are performed, to gather objective evidence that the CB is competent.

•The assessment team will witness the performance of CB staff to provide assurance of the competence of the CB.

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7.8 Analysis and Report7.8 Analysis and Report

•The assessment team shall analyze all relevant information and evidence from the document and record review and on-site assessment.

•The reporting procedures shall ensure that:

• A closing meeting occurs.

• A written report is promptly given to the CB.

• The CB be invited to respond to the report.

•The AB shall remain responsible for the report and content.

•The AB shall ensure the CB’s NC responses are sufficient and effective.

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7.8 Analysis and Report7.8 Analysis and Report

•Information provided to the decision makers shall include:

• ID of the CB

• Dates of the assessment

• Names of the assessors

• Proposed scope

• Assessment report

• Statement on the adequacy of the organization

• Information on resolution of NCs

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7.9 Decision Making7.9 Decision Making

•The AB shall, without undue delay, make the decision on accreditation on the basis of the evaluation information.

•The accreditation certificate to the CB shall identify:

• The ID and logo of the AB

• Unique ID of the CB

• Location of the key activities of the CB

• Effective and expiration date of the accreditation

• Scope of accreditation

• Reference to normative document.

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7.0 Appeals, Reassessment and 7.0 Appeals, Reassessment and SurveillanceSurveillance

•The AB shall have procedures to address appeals.

•The AB shall have procedures for carrying out surveillances and reassessments.

•Between surveillances and reassessments shall include representative samples of the scope of accreditation.

•The AB shall have strict time limits for NCs identified during surveillances or reassessments.

•The AB shall develop procedures for suspension, withdrawal and reduction of scope

•The AB shall maintain records on CBs and ensure their confidentiality.

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Section 8 – Responsibilities and

Obligations of the AB and CB

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8.0 Responsibilities and Obligations8.0 Responsibilities and Obligations

•The CB shall commit to fulfill the requirements set out.

•The CB shall afford accommodation and cooperation to enable fulfillment and monitoring by the AB.

•The CB shall notify the AB of significant changes within its organization.

•The AB shall make information publicly available about the status of its accreditations.

•The AB shall have a policy governing the use of its accreditation symbol and monitor its use.