Check the points according to type of audit.

1. to audit the client's management system documentation
2. to evaluate the client's location and site-specific conditions and to undertake discussions with the client's personnel to determine the preparedness for the stage 2 audit
3. to review the client's status and understanding regarding requirements of the standard, in particular with respect to the identification of key performance or significant aspects, processes, objectives and operation of the management system
4. to collect necessary information regarding the scope of the management system, processes and location(s) of the client, and related statutory and regulatory aspects and compliance
5. to review the allocation of resources for stage 2 audit and agree with the client on the details of the stage 2 audit
6. to provide a focus for planning the stage 2 audit by gaining a sufficient understanding of the client's management system and site operations in the context of possible significant aspects
7. To evaluate if the internal audits and management review are being planned and performed, and that the level of implementation of the management system substantiates that the client is ready for the stage 2 audit

To evaluate the implementation, including effectiveness, of the client's management system, and determine the satisfaction of "insert standard reference" against audit findings. The following is included:

1. information and evidence about conformity to all requirements of the applicable management system standard or other normative document
2. performance monitoring, measuring, reporting and reviewing against key performance objectives and targets(consistent with the expectations in the applicable management system standard or other normative document)
3. the client's management system and performance as regards legal compliance
4. operational control of the client's key processes
5. internal auditing and management review
6. management responsibility for the client's policies
7. Links between the normative requirements, policy, performance objectives and targets (consistent with the expectations in the applicable management system standard or other normative document), any applicable legal requirements, responsibilities, competence of personnel, operations, procedures, performance data and internal audit findings and conclusions.

To regularly monitor the representative areas and functions covered by the scope of the management system and to keep the confidence to the effectiveness of the certified management system within certification period. Surveillance activities include on-site audits assessing the certified client's management system's fulfilment of specified requirements with respect to the standard to which the certification is granted:

1. enquiries from the certification body to the certified client on aspects of certification
2. reviewing any client's statements with respect to its operations(e.g. promotional material, website)
3. requests to the client to provide documents and records(on paper or electronic media)
4. Other means of monitoring the certified client's performance

The surveillance audit programme shall include, at least:

1. internal audits and management review
2. a review of actions taken on nonconformities identified during the previous audit
3. treatment of complaints
4. effectiveness of management system with regard to achieving the certified client's objectives
5. progress of planned activities aimed at continual improvement
6. continuing operational control
7. review of any changes, and
8. Use of marks and/or any other reference to certification

The purpose of the recertification audit is to confirm the continued conformity and effectiveness of the management system as a whole, and its continued relevance and applicability for the scope of certification.

• -  The recertification audit shall consider the performance of the management system over the period of certification, and include the review of previous surveillance audit reports.
• -  Recertification audit activities may need to have a stage 1 audit in situations there have been significant changes to the management system, the client, or the context in which the management system is operating (e.g. changes to legislation).
• -  In the case of multiple sites or certification to multiple management system standards being provided by the certification body, the planning for the audit shall ensure adequate on-site audit coverage to provide confidence in the certification.

The recertification audit includes an on-site audit that addresses the following:

1. the effectiveness of the management system in its entirety in the light of internal and external changes and its continued relevance and applicability to the scope of certification
2. demonstrated commitment to maintain the effectiveness and improvement of the management system in order to enhance overall performance
3. Whether the operation of the certified management system contributes to the achievement of the organization's policy and objectives