The objective of a surveillance audit is for us to assure ourselves that you are continuing to work to a system which complies with the standards to which you are certificated, and that you take timely corrective action to correct nonconformities.

During surveillance, we may find nonconformities. As before, you need to propose corrective action. These will usually be cleared down at the following surveillance visit, but the Audit Team Leader may recommend more immediate clear-down.

After a number of visits, if it becomes apparent that compliance with the standard is good, then the time needed for surveillance may be reduced. An indication would be the number and nature of the nonconformities found during surveillance.

On the other hand, of course, if compliance were found to be poor or worrying, then the amount of surveillance might need to be increased. In a poor case, a further audit might be needed. Clearly, these costs are in the hands of the Auditee.

Surveillance audits will be performed in the years between the initial and reassessment.  The first year’s surveillance following initial assessment shall take place no later than 12 months after the last day of the stage 2 audit, these will generally be planned for 9-10 months after the stage 2.  The continuous surveillance visits shall be conducted at least once a year. If the audit cycle is not maintained within these requirements then certification may lapse and a re-application may be required.

If requested, surveillance visits can be split so they are performed more frequently over the 12 month period e.g. every six months.

Surveillance Audit Objectives

  • Determination of the extent of conformity of the Clients management system and evaluation of the capability of the management system to ensure compliance with statutory, regulatory and contractual requirements.  Evaluation of the effectiveness of the management system in meeting its specified objectives and the identification of areas of potential improvement of the management system

Surveillance Audit Criteria

  • To give confidence that the certified management system continues to fulfil requirements between recertification audits and shall include internal audits and management review, review of actions taken on non-conformities identified during the previous audit, treatment of complaints, effectiveness of the management system with regard to achieving objectives, progress of planned activities aimed at continual improvements, continuing operational control, review of any changes and the use of marks and/or any other reference to certification.