Audit site arrangements (meeting rooms, etc.)

Preparation of materials (documents, records, etc.)

• Management system documents (manuals, procedures, records, etc.)
• Records of the implementation of the audit plan

Meeting Conduct: Conducted by the audit team leader

Participants: Management and relevant staff of the applicant organization

Agenda:

• • Introduction of audit team and auditors
  • Confirmation of audit standards and objectives
  • Explanation of the audit scope and criteria
  • Explanation of the audit plan (schedule and process)
  • Overview of methods and procedures to be used during the audit
  • Explanation of the classification of audit findings (nonconformities, observations, etc.)

• • Designation of guides and escorts
  • Review of security and safety protocols (including site-specific safety regulations)
  • Other requests for audit support
  • Non-disclosure agreements and confidentiality
  • Q&A session

Participants: Top management, management representative, available personnel, audit team

Meeting Timing: Prior notice and audit program provided (including schedule)

Meeting Content: Review of the management system’s performance and management’s commitment

Audit Locations: Specified locations or relevant departments

Audit Scope: Relevant personnel associated with the audit objectives

Audit Activities: Interviews with personnel, review of on-site activities, checking of records and sampling

Site Access and Support: Access to locations relevant to the audit, cooperation from relevant personnel

Audit Team Meetings: Regular meetings of the audit team to review progress and findings

Meeting Conduct: Led by the audit team leader

Participants: Management and key personnel of the audited organization

Meeting Content:

• • Confirmation of audit scope and criteria
  • Summary of audit activities
  • Explanation of audit findings and classifications
  • Detailed explanation of nonconformities and evidence
  • Recommendations for corrective actions and timelines

• • Audit conclusion
  • Confidentiality and impartiality explanations
  • Guidance on certification decisions and next steps
  • Q&A session

The initial certification audit team may conduct a six-month surveillance audit based on a comprehensive evaluation of the management system's operational status, process complexity, and ISO system maturity. This must be mutually agreed upon between the certification organization
and the audit team.

1st Year Surveillance: Conducted within 12 months from the certification approval date.

2nd Year Surveillance: Conducted annually (3 months before the certification expiry date).

3rd Year Recertification Audit: Must be completed, including the resolution of non-conformities, before the certification validity expires.

Key Areas of Surveillance Audit

Maintain the system in compliance with the applicable standards.

Always comply with the laws and regulations related to the certification system.

Notify GERMAN CERT in case of the following significant changes to the certification system:

• Changes in legal, commercial, organizational status, or ownership
• Changes in contact address and business locations
• Changes in the scope of the certified management system
• Significant changes to the management system and processes
• Suspension of production or closure of business
• Expansion or reduction in the size of the certified organization
• Bankruptcy, transfer, acquisition, or merger of the certified organization
• In the case of ISO 14001 certification, significant environmental accidents or administrative actions due to legal violations
• Any other significant changes that may affect the certification system
• Requests for reissuance of certificates due to damage or loss of the certificate, or changes to the information on the certificate

Undergo regular surveillance audits as required by GERMAN CERT.

Certified organizations may request special audits as needed:

• Expansion or reduction of the scope of certification, relocation of business locations, etc.
: In cases where the reduction affects the certification's validity, a special audit must be conducted, but if it does not affect the existing certification's validity, the certificate can be reissued without an audit.

Undergo short-notice audits if the following situations occur:

• On-site verification of complaints
• On-site verification to lift the suspension of certification
• Other cases of non-compliance with the certification body's requirements that result in short-notice audits

Suspension Criteria

• Failure to respond to surveillance audits without special reason or exceeding the audit cycle
• Failure to take necessary actions according to new standards when the certification system is changed
• Violation of the usage criteria for certification marks and promotional methods
• Provision of false information or documents during the audit
• Violation of certification contract or agreements
• Temporary suspension of the management system application for part of the certification scope
• Failure to implement corrective actions identified during follow-up audits
• Mutual agreement on violations of other certification criteria

Withdrawal Criteria

• Failure to reinstate certification effectiveness within six months after suspension
• Voluntary withdrawal of certification by the client in writing
• Receiving suspension of certification effectiveness more than three times within the validity period of the certificate
• Inability to maintain the system due to bankruptcy, insolvency, etc.
• Necessary withdrawal due to non-application of the management system to part of the certification scope
• Severe failure of the client's management system to meet certification requirements

Continuous conformity of the certification system (including changes in the scope of certification)

Performance of the management system during the certification period and improvements through previous audits

Verification that the certification system contributes to achieving the organization's objectives