CUSCO- CSICERT

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Audit and Certification Process Scope of Certification (Codes) Calculation of Audit Days Considerations for Certified Companies Certification Promotion Guidelines Appeals and Complaints

Audit and Certification Process

Certification Execution Scope (Codes)

KAB SCHEME

ESG-MS	Safety
	12 Manufacture of Chemicals, Chemical Products, and Chemical Fibers
	14 Manufacture of Rubber and Plastic Products
	17 Manufacture of Primary Metals and Metal Products
	18 Manufacture of Machinery and Equipment
	19 Manufacture of Electrical and Optical Equipment
	20 Shipbuilding
	22 Manufacture of Other Transport Equipment
	28 Construction
	29 Wholesale and Retail Trade, Repair of Motor Vehicles and Motorcycles, Repair of Personal and Household Goods
	31 Transportation, Storage, and Telecommunications
	34 Professional, Scientific, and Technical Services
	35 Other Services
	39 Other Social Services

KAB SCHEME

Quality	Environment
03 Food, Beverage, and Tobacco Products Manufacturing	03 Food, Beverage, and Tobacco Products Manufacturing
04 Textiles and Textile Products Manufacturing	04 Textiles and Textile Products Manufacturing
05 Leather and Leather Products Manufacturing	05 Leather and Leather Products Manufacturing
06 Wood and Wood Products Manufacturing	07 Pulp, Paper, and Paper Products Manufacturing
07 Pulp, Paper, and Paper Products Manufacturing	08 Publishing
08 Publishing	09 Printing
09 Printing	12 Chemicals, Chemical Products, and Fibers Manufacturing
12 Chemicals, Chemical Products, and Fibers Manufacturing	14 Rubber and Plastic Products Manufacturing
14 Rubber and Plastic Products Manufacturing	15 Non-metallic Mineral Products Manufacturing
15 Non-metallic Mineral Products Manufacturing	16 Concrete, Cement, Lime, Plaster Manufacturing
16 Concrete, Cement, Lime, Plaster Manufacturing	17/1 Primary Metals Manufacturing
17 Primary Metals and Fabricated Metal Products Manufacturing	17/2 Fabricated Metal Products Manufacturing
18 Machinery and Equipment Manufacturing	18 Machinery and Equipment Manufacturing
19 Electrical and Optical Equipment Manufacturing	19 Electrical and Optical Equipment Manufacturing
20 Shipbuilding	20 Shipbuilding
22 Other Transport Equipment Manufacturing	22 Other Transport Equipment Manufacturing
23 Other Manufacturing	23 Other Manufacturing
24 Recycling	24 Recycling
28 Construction	28 Construction
29/1 Wholesale and Retail Trade	29/1 Wholesale and Retail Trade
29/2 Repair of Motor Vehicles, Motorcycles, Personal and Household Goods	29/2 Repair of Motor Vehicles, Motorcycles, Personal and Household Goods
30 Hotels and Restaurants	30 Hotels and Restaurants
31/1 Transport and Storage	31/1 Transport and Storage
31/2 Communications	31/2 Communications
32 Financial Intermediation, Real Estate, Renting	32 Financial Intermediation, Real Estate, Renting
32/1 Financial, Insurance and Real Estate	33 Information Technology
33 Information Technology	34 Natural Sciences Research and Development
34/1 Professional, Scientific, and Technical Services	35 Other Services
34/2 Humanities and Social Sciences Research and Development	36 Public Administration
35 Other Services	37 Education
36 Public Administration	39 Other Social Services
37 Education
39 Other Social Services

Food	Safety
C Food Manufacturing	03 Manufacture of Food Products and Beverages
E Catering	04 Manufacture of Textiles and Textile Products
I Production of Food Packaging Materials	05 Manufacture of Leather and Leather Products
	06 Manufacture of Wood and Wood Products
	12 Manufacture of Chemicals, Chemical Products, and Chemical Fibers
	14 Manufacture of Rubber and Plastic Products
	15 Manufacture of Non-metallic Mineral Products
	17 Manufacture of Primary Metals and Metal Products
	18 Manufacture of Machinery and Equipment
	19 Manufacture of Electrical and Optical Equipment
	20 Shipbuilding
	21 Aerospace
	22 Manufacture of Other Transport Equipment
	23 Other Manufacturing
	28 Construction
	29 Wholesale, Retail, Repair of Motor Vehicles, Personal and Household Goods
	30 Hospitality, Restaurants, and Pubs
	32 Finance, Insurance, Real Estate, and Rental
	33 Information Technology
	34 Professional, Scientific, and Technical Services
	35 Other Services
	36 Public Administration
	37 Education Services
	39 Other Social Services

▶ MSCB-252-Cert.pdf (iasonline.org)

Audit Days Calculation

ISO 9001 Audit Time Calculation Table

Category	Effective Number of Employees		Audit Time (Initial Certification - Stages 1 and 2)
Category	Range	Days	Range	Days
Initial Certification Audit	1~5	1.5	626~875	12
	6~10	2	876~1175	13
	11~15	2.5	1176~1550	14
	16~25	3	1551~2025	15
	26~45	4	2026~2675	16
	46~65	5	2676~3450	17
	66~85	6	3451~4350	18
	86~125	7	4351~5450	19
	126~175	8	5451~6800	20
	176~275	9	6801~8500	21
	276~425	10	8501~10700	22
	426~625	11	>10700	23

ISO 14001/45001 Audit Time Calculation Table

Category	Effective Number of Employees	Audit Time (Initial Certification - Stages 1 and 2)				Effective Number of Employees	Audit Time (Initial Certification - Stages 1 and 2)
Category	Effective Number of Employees	High	Medium	Low	Limit	Effective Number of Employees	High	Medium	Low	Limit
Initial Certification Audit	1~5	3	2.5	2.5	2.5	626~875	17	13	10	6.5
	6~10	3.5	3	3	3	876~1175	19	15	11	7
	11~15	4.5	3.5	3	3	1176~1550	20	16	12	7.5
	16~25	5.5	4.5	3.5	3	1551~2025	21	17	12	8
	26~45	7	5.5	4	3	2026~2675	23	18	13	8.5
	46~65	8	6	4.5	3.5	2676~3450	25	19	14	9
	66~85	9	7	5	3.5	3451~4350	27	20	15	10
	86~125	11	8	5.5	4	4351~5450	28	21	16	11
	126~175	12	9	6	4.5	5451~6800	30	23	17	12
	176~275	13	10	7	5	6801~8500	32	25	19	13
	276~425	15	11	8	5.5	8501~10700	34	27	20	14
	426~625	16	12	9	6	> 10700	Increase as above

* The audit days calculation table for ISO 14001 / ISO 45001 follows a similar structure but includes additional categories for complexity.

Tips for applying for certification

Hello, thank you for choosing GERMAN CERT. Organizations applying for management system certification with GERMAN CERT should prepare the following documents according to the certification application standards and provide them to our certification body.

Documents verifying the duties and responsibilities of the applicant organization
Organization chart
Address (all addresses where certification is applied for)
Representative's profile
Standards the organization seeks to be certified against
Scope of the management system to be certified (details related to the organization’s management system)
General company information (including legal obligations)
Detailed description of major tasks and operations of the organization
Information related to the applicant organization’s certification, such as manufacturing, resources, assets, services
Any other relevant information related to the management system

Initial Stage 1 Audit

The applicant organization must submit the necessary documents and preparations for the Stage 1 audit. The audit is conducted by visiting the applicant organization’s site to ensure compliance. Internal audits and management reviews must have been conducted at least once.

1. ISO 9001: General Requirements for Stage 1 Audit

The following common requirements apply to Stage 1 audits for management systems, including ISO 9001:

Review of Key Processes and System Setup

Confirmation of the location and site-specific conditions (evaluation of differences with the application)
Review of key processes, objectives, and scope of the management system
Verification of the scope of certification applied for (evaluation of differences with the application)

Evaluation of the Management System's Documentation

Review of the documentation of the management system
Evaluation of the system’s conformity with standard requirements
Verification of the system’s implementation status
Review of customer requirements and regulatory compliance
Evaluation of internal audit and management review results

2. Additional Application Requirements for ISO 14001

Environmental Impact Assessment Data: Identification and evaluation of environmental aspects and impacts.
Environmental Documentation with Stakeholders: Documents related to the environment with stakeholders (local residents and organizations).
Organization's Environmental Management: Matters related to environmental management (flowcharts and descriptions of processes causing water, soil, and air pollution, and waste generation).
Details of Environmental Corrective Actions and Non-Conformities: Records of environmental corrective actions and non-conformities.

Initial Stage 2 Audit

The Stage 2 audit is conducted to evaluate the implementation and effectiveness of the applicant organization's management system. The applicant organization must provide the necessary locations, records, and personnel for interviews and site tours. The audit should cover all necessary areas, including verification of conformity, evaluation of implementation, and identification of nonconformities. Relevant personnel, including observers (regulators, accreditation body assessors, technical experts), may attend as necessary.

Audit Preparation

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

Opening Meeting

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, objectives, scope, and criteria
- Explanation of audit plan, methods, and procedures
- Overview of audit findings notification (nonconformities, etc.)
- Designation of guides/escorts, safety/security review, confidentiality, Q&A

Management Interview

Participants: Top management, management representative, available personnel, audit team
Timing: Prior notice and audit program provided
Content: Review of the management system’s performance and management’s commitment

Audit Execution

Locations/Scope: Specified locations, relevant departments and personnel
Activities: Interviews, on-site review, record checking, sampling
Support: Site access and cooperation from relevant personnel

Closing Meeting

Conduct: Led by the audit team leader
Participants: Management and key personnel of the audited organization
Content:
- Confirmation of scope/criteria, summary of activities
- Audit findings, nonconformities, and evidence
- Recommendations for corrective actions
- Audit conclusion, confidentiality, certification decision, Q&A

Follow-up Management

Surveillance audits do not apply uniformly to all certified organizations. They are determined by the audit team in agreement with the organization based on system maturity, scale, complexity, certification scope, risk, stakeholder opinions, executive period, changes, and previous results.

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 before certification validity expires.

Key Areas of Surveillance Audit

Internal Audits and Management Review
Actions for Addressing Identified Nonconformities
Major Improvements and Continuous Improvement
Compliance with Process Requirements and Implementation of Standards
Actions to Address Changes
Appropriateness of Certification Scope
Corrective Actions and Preventive Measures
Decision on Further Surveillance Audits
Client Requests, Complaints, etc.

Certification Maintenance Criteria

Surveillance audits follow the same principles of determination based on maturity, size, complexity, etc.

* Details of changes can be found in official correspondence or on the website.

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 significant changes:
- Legal/commercial status, ownership, address, scope
- Management system/process changes, suspension/closure
- Bankruptcy, merger/acquisition, environmental accidents (ISO 14001)
- Loss/damage of certificate requiring reissuance
Undergo regular surveillance audits as required.
Request special audits if needed: Expansion/reduction of scope, relocation (special audit may be required).
Undergo short-notice audits: Complaint verification, lifting suspension, etc.

Suspension and Withdrawal of Certification

Certification may be suspended or withdrawn in the following cases. Upon suspension/withdrawal, all promotional materials referring to the status must be discontinued.

Suspension Criteria

Failure to respond to surveillance audits
Failure to take action on new standards
Violation of mark usage/promotion rules
False information/documents
Violation of contract
Temporary non-application of scope
Failure to implement corrective actions

Withdrawal Criteria

Failure to reinstate within 6 months of suspension
Voluntary withdrawal
Suspension > 3 times within validity
Bankruptcy/Insolvency
Non-application to part of scope requiring withdrawal
Severe failure to meet requirements

Renewal Procedure

Certification must be renewed within three years (ISO/IEC 17021). The purpose is to verify:

Continuous conformity of the certification system
Performance and improvements during the period
Contribution to achieving organizational objectives

Certification Promotion Guidelines

For information on the use and promotion of certification marks, please refer to the contents of GERMAN CERT Certification Process 33 (Use of Certification Marks and Certification Marks).

Appeals and Complaints

Appeals and Complaints Submission Office Certification Headquarters

Tel.: +82-02-783-8200

Fax.: +82-02-780-0292

E-mail.: gc@germancert.com

Download Action Request

File Download

* For appeals and complaints, please fill out and submit the request form.