Audit Proc

Audit Proc


  1. Offer
    When an applicant complete and send certification questionnaire to German Cert, German Cert reviews the questionnaire to check the applicable stan dard(s), scope(s), and our coverage of that scope(s). After reviewing, we provides the applicant a concrete quotation with audit days and total costs.
  2. Application and Contract
    When the applicant submit application form and make a payment, German Cert considers it as a contract made between German Cert and the applicant. If the applicant request a formal contract, an arrangement for that shall be made. This contract never depends on the scale and/or ocation of the applicant if the intended scope is covered by German Cert.

Planning the audit

  1. Audit Team Appointed
    After the contract is made, German Cert will organise the audit team and that will be informed to the customer. German Cert will reckon with the custo mer's request on organising audit team.
  2. Informing audit plan
    After the audit team is appointed, certification body informs the client of audit duration, standard and scope. Audit schedule will be confirmed referring to the client's requirements. (audit plan)

Conducting the audit

  1. Pre audit
    Pre audit will be conducted only one time at the client's discretion and the audit duration will not be more than 50% of the certification audit duration. This pre audit has no influence on the certification of management systems. However the audit will be conducted in accordance with the certification process.
  2. Certification audit
    Certification audit will result in the decision whether the certification registration is granted. When nonconformities are found, Corrective Action Request (NCR) will be issued and therefore certification will not be granted as long as the corrective action and its implementation is not verified by the auditor(s) and reviewed by the certification committee. Certification audit includes documentation review and on-site assessment.
    Documentation review Documentation review is conducted before the on-site assessment to examine the client's established management system documentation and verify that documentation and its implementation is in accordance with all the requirements regarding the scope of certification.
    (References: Manual, Procedures, Instructions, Internal audit reports, management review records, etc.)
    On-site assessment It's the core of certification audit which is conducted on-site of the client to evaluate the client's conformity of management system in accordance with the standard requirements.
    Follow-up Follow-up is necessary to verify corrective actions and their implementation against audit findings in on-site assessment by means of documentation or on-site visit. However, when on-site visit is required, additional fee and expenses will be charged according to our pricelist.
    Audit results distributing audit report Audit team provides audit report to the client as the documentation review and on-site assessment is completed.
  3. Corrective actions
    The client should take necessary actions against nonconformities indicated by audit team within the agreed period. Follow-up is conducted according to the level of nonconformities by means of reviewing documents or on-site visit.

Issuing Certificate
On completion of certification audit and verification of corrective actions, certificate will be issued by the decision of the certification committee and the issued certificate is valid for three years subject to annual surveillance.

Raising an appeal
The client retains the right to raise an appeal against the decision on certification in writing. This written appeal will be reviewed by the meeting of the certification committee.

Maintenance of certification 1. Guide for maintenance of certification
The client is to be in compliance with the "Guide for use of certification mark" and "Disciplinary actions for misuse of certification mark" provided in the certification contract and certificate. The client is also responsible for informing German Cert of the significant changes in their certified management system.

2. Surveillance audit
First surveillance audit is to be conducted within 6 months from certification approval date. From then, next surveillance audits will be scheduled according to the result of the first surveillance audit.
Recertification audit Recertification audit will be conducted in every 3 years. This will be identifical to initial certification audit in all aspects including application and certification contract.

German Cert strictly treat all the information acquired during the audit with confidentiality.

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