What To Expect From An ISO Surveillance Audit

Achieving ISO certification is a significant milestone, but maintaining it requires ongoing commitment. One of the key steps in this process is the ISO surveillance audit, an essential review conducted annually to ensure that your organisation continues to meet the required standards. Unlike the initial certification audit, a surveillance audit focuses on ongoing compliance, continuous improvement, and the effectiveness of your management system.

If your business is approaching its first surveillance audit, understanding what to expect can help you feel prepared and confident. In this blog, we’ll outline the purpose of a surveillance audit, what auditors typically assess, and how you can ensure a smooth process.

What is an ISO Surveillance Audit?

An ISO surveillance audit is a periodic review conducted by an external auditor to verify that your organisation is maintaining compliance with ISO standards. These audits typically occur once a year after your initial certification and continue until your next recertification audit, which takes place every three years.

Rather than re-evaluating the entire system, a surveillance audit focuses on key elements of your management system, including:

• Ongoing compliance with ISO requirements
• Implementation of corrective actions from previous audits
• Evidence of continuous improvement
• Changes in business operations that may impact compliance

Key Areas Covered in a Surveillance Audit

While every audit is tailored to the specific ISO standard you’re certified for, most surveillance audits follow a similar structure. Here’s what auditors typically focus on:

1. Review of Previous Audit Findings

The auditor will check if any non-conformities or recommendations from the last audit have been addressed. Ensuring that corrective actions are fully implemented demonstrates your commitment to compliance and improvement.

2. Performance of Your Management System

Auditors assess how effectively your ISO-compliant system is operating. They will review:

• Internal audits and management reviews
• Process improvements and risk management
• How well documented procedures are followed

3. Compliance with Core ISO Requirements

The audit will cover key areas of the ISO standard, ensuring that essential elements such as risk assessments, training, documentation, and record-keeping are up to date.

4. Employee Awareness and Engagement

Auditors may interview employees to assess their understanding of ISO processes and their role in maintaining compliance. Encouraging team involvement in ISO procedures can contribute to a smoother audit process.

5. Changes Since the Last Audit

If there have been any major changes in your organisation (e.g., new processes, expansions, or structural shifts), auditors will evaluate how these have been integrated into your ISO management system.

How to Prepare for a Surveillance Audit

Being well-prepared can make your surveillance audit a seamless process. Here are some best practices:

Conduct regular internal audits to identify and resolve any issues before the external audit.
Maintain thorough records of policies, procedures, and continuous improvement efforts.
Ensure corrective actions from previous audits have been fully implemented and documented.
Engage employees by keeping them informed about ISO processes and expectations.
Review any business changes to ensure they align with ISO requirements.

What Happens After the Audit?

At the end of the audit, the auditor will provide a report detailing their findings. There are three potential outcomes:

• No non-conformities: Your organisation remains compliant, and certification is maintained.
• Minor non-conformities: Small issues are identified, requiring corrective actions but not jeopardising certification.
• Major non-conformities: Significant gaps are found, requiring immediate corrective actions to maintain certification.

If corrective actions are needed, your business will be given a timeframe to resolve these issues before a follow-up assessment.

Conclusion

ISO surveillance audits are an essential part of maintaining certification and ensuring continuous improvement. Rather than viewing them as a challenge, organisations should embrace these audits as an opportunity to refine processes, enhance efficiency, and demonstrate ongoing commitment to quality and compliance.

By preparing in advance, engaging employees, and staying proactive in maintaining compliance, your surveillance audit can be a smooth and stress-free experience.

Need help preparing for your next ISO surveillance audit? Get in touch with our team today!