The surveillance audit takes place after the certification audit, which occurs in 12-month cycles. Typically, two surveillance audits are conducted per year, closing the audit cycle and ensuring the continuity of certification.
This type of audit (surveillance) plays a fundamental role in ensuring that the Quality Management System (QMS) remains aligned with established standards, promoting continuous improvement within our organizations.
Unlike the certification audit, the surveillance audit is not a complete analysis of the QMS. Instead of going through all stages and document reviews, the auditor focuses directly on the so-called “phase two.” Let’s better understand what this phase involves.
Understanding Phase Two of the Surveillance Audit in ISO 9001
Just like in the certification audit, the auditor is also responsible for developing an audit plan here. This plan must include an analysis of the mandatory items the organization needs to execute to ensure the Management System remains implemented and continually improving.
However, it is important to highlight that the main goal of the surveillance audit is to identify whether the Management System is being maintained efficiently, leading to significant improvements with a focus on the audited client’s Management System!
How to Pursue Improvements and Compliance in the QMS
Based on mandatory items (standard requirements), the auditor will select specific requirements to verify the client’s Management System. Below is a list of five fundamental activities carried out during the surveillance audit:
- Conducting Interviews: The auditor needs to conduct interviews with employees to understand how processes are applied, assess their knowledge of policies and procedures, and evaluate the system’s evolution.
- Reviewing Procedures and Documents: The auditor will review established documents and procedures to ensure compliance with normative and internal requirements.
- Observing Daily Activities: The auditor will also observe daily activities to evaluate how operational processes are executed in practice and compare them to documented descriptions and requirements.
- Verifying Records: Another important activity performed by the auditor is checking records, such as production and inspection reports, to confirm compliance with established requirements and identify evidence.
- Reviewing Nonconformities and Corrective Actions: A fundamental part of the surveillance audit is analyzing records of nonconformities and corrective actions to assess how the company addresses issues, implements improvements, and ensures the system meets treatment requirements and progresses.
Although these are not the only activities, they represent some of the key tasks carried out during a surveillance audit. These activities are essential for collecting evidence and ensuring the audit process effectively evaluates the system.
It is important to note that during the audit, the auditor may identify new nonconformities and often point them out during the audit itself. However, the formal conclusion of the audit occurs during the closing meeting, where results are presented and discussed, including observations and identified nonconformities. Let’s take a closer look at what happens in this final stage.
How the Closing Meeting is Conducted
The closing meeting is the moment when the auditor presents a detailed summary of how the audit was conducted, explaining the verification process and the evidence collection methods used.
During this meeting, the auditor shares observations, highlights any identified nonconformities, and clarifies critical points within the audited process. Additionally, it is an important opportunity for the client to ask questions, discuss the results, and understand the next steps for correcting any identified issues.
The closing meeting not only formally concludes the audit but also provides a chance to align expectations and foster clear communication between the auditor and the client.
After the closing meeting, the auditor prepares the audit report, which includes all collected evidence, the organization’s strengths, identified nonconformities, and a detailed description of the entire evidence process. This report is sent to the client, who, if necessary, will develop an action plan to correct the nonconformities and improve the processes identified during the audit.
To proceed, the organization must draft an action plan identifying the root cause of the nonconformities and proposing implementation measures and corrective actions. Once these measures are developed, the revised plan will be sent to the auditor. The auditor will then evaluate whether the proposed actions are effective. If deemed appropriate, the plan will be approved.
The Importance of the Surveillance Audit in ISO 9001
With each conducted audit, the Quality Management System becomes more mature and better adapted to the organization’s needs, identifying new opportunities for improvement. These audits not only ensure that the QMS is correctly implemented but also guarantee its ongoing evolution, with a focus on process efficiency and effectiveness.
In summary, the surveillance audit aims to ensure that the management system remains implemented and consistently maintained over time, always promoting continuous improvement. Additionally, this audit provides a true reflection of organizational maturity, offering valuable insights into how processes can be further enhanced.
Surveillance Audit in ISO 9001: The Key to Continuous Improvement
Although the surveillance audit does not result in a new certificate, it plays an essential role in ensuring that the Management System continues to be maintained. The surveillance audit goes beyond a simple validation of the system. Instead of focusing solely on maintaining compliance with ISO 9001 requirements, it emphasizes promoting continuous improvement, which is critically important for the organization’s evolution.
The surveillance audit process enables constant verification of the QMS, ensuring that processes and procedures are being correctly followed and that failures or nonconformities are quickly identified and addressed. The surveillance audit ensures that the Management System remains up-to-date and adapted to the evolving needs of both the market and the organization.
In summary, the ISO 9001 surveillance audit is a strategic process that ensures consistent quality. It not only validates the system but also guarantees that the organization is prepared for future challenges, always striving for the best outcomes for the organization.
