ISO Surveillance Audits: Ensuring Ongoing Compliance and Continuous Improvement

International Organization for Standardization (ISO) certification is not a one-time event but an ongoing commitment to continuously improve management systems. Surveillance audits are a crucial part of this process. Surveillance audits include examining critical processes, reviewing previous findings, and assessing corrective actions to ensure continuous improvements are being made. For ISO-certified companies, quality assurance professionals, and management teams, understanding the nuances of surveillance audits is essential.

Proper planning and thorough evaluations are necessary to ensure a smooth and successful surveillance audit process. This involves preparing relevant documentation, training staff, and maintaining open lines of communication with auditors. Effective management of non-conformities is another key aspect. By addressing discrepancies promptly and efficiently, organizations not only comply with ISO standards but also foster a culture of continuous improvement.

TLDR: ISO surveillance audits are applicable to all management systems. These audits are crucial for maintaining compliance and fostering continuous improvement between recertification cycles. ISO surveillance audits focus on key processes, previous findings, and corrective actions to ensure conformance with standards. Proper planning, non-conformity management, and a well-maintained management system are vital for ISO surveillance audit success.

What Is an ISO Audit?

An ISO audit is a systematic, independent, and documented process aimed at evaluating an organization’s compliance with international standards set by ISO. These audits not only  evaluate compliance with requirements of the standards by assessing processes, systems, or products against their relevant ISO standard– the audits can also help enhance quality, efficiency, and customer satisfaction for an organization. Examples of popular ISO Standards include ISO 9001 (QMS), ISO 27001 (ISMS), ISO 42001 (AI), and ISO 14001 (EMS). 

ISO audits typically consist of internal and external audits that serve distinct goals in helping organizations achieve and maintain compliance with relevant Management Standards. ISO internal auditing processes are a prerequisite for the completion of ISO external audits — and must be performed by a certified ISO internal auditor or an external organization that is formally accredited to perform ISO internal audits. An ISO external audit is an independent, third-party assessment carried out by a formally accredited certification body to verify the compliance of an organization’s management system(s) with ISO standards.

The ISO certification process consists of initial certification audit (Stage 1 and, Stage 2), surveillance audit (1 and 2), and recertification audits. ISO-certified lead auditors perform certification audits. Internal and external auditors must be impartial and independent of the processes being audited.

Key Point: Ultimately, both internal and external audits play a crucial role in maintaining high-quality standards and continuous improvement within an organization. As such, it is important for organizations to conduct both internal and external audits regularly to ensure their compliance with ISO standards and improve their overall performance.

What Are ISO Surveillance Audits?

ISO surveillance audits are periodic reviews conducted within the organization’s certification cycle to verify ongoing adherence to ISO standards. 

Definition and Purpose

Unlike certification and recertification audits, which are comprehensive, surveillance audits target specific areas of the management system, key processes, and corrective actions identified from previous audits. The primary goal of surveillance audits is to help focus on ensuring there are no lapses in quality or security management between these more comprehensive formal assessments. They provide a continuous check on the organization’s processes to ensure ongoing compliance and improvement. Surveillance audits 1 and 2 occur in the years between Stage 2 and Recertification audits.

Key Point: ISO surveillance audits verify the organization’s ongoing adherence to requirements, preventing lapses in quality or security management between formal recertification audits.

What Are the Components of a Surveillance Audit?

Audit Scope and Applicability

During an ISO surveillance audit, specific parts of an organization and relevant ISO standards are reviewed to evaluate compliance. The scope typically involves a review of critical areas affecting customer satisfaction and business operations, such as key business processes, risk management, and resource allocation.

Document Review and Previous Audit Findings

Auditors examine documentation related to the management system, including policies, procedures, and records of previous audits. This review helps identify areas of improvement and assess the effectiveness of corrective actions taken since the last audit.

Stakeholder Involvement and Key Roles

Key personnel, including management and process owners, are involved in the audit process. Their participation is crucial for providing evidence of compliance and supporting audit objectives. Stakeholders play an essential role in demonstrating the organization’s commitment to maintaining standards and implementing improvements.

Key Point: Surveillance audits focus on key processes, previous findings, and corrective actions to ensure continuous improvement.

What Is the Step-by-Step Process of an ISO Surveillance Audit?

ISO surveillance audits involve preparation, conducting an opening meeting, audit execution, conducting a closing meeting, non-conformity and corrective action reporting, audit follow-up, and continuous improvement. These phases are described in more detail below.

Surveillance Audit Steps

1. Preparation

Preparation involves reviewing the scope, gathering the required documents, assembling the team, and scheduling the audit.

• Understand the Scope: review the scope of the ISO standard applicable to the organization. This includes understanding the specific criteria and requirements that will be evaluated during the audit.
• Gather Documentation: compile all relevant documentation, including previous audit reports, corrective action records, and updated processes or procedures. Ensure all documents are organized and easily accessible for the audit process.
• Assemble the Audit Team: ensure that team members are well-versed in the specific ISO standards and have been briefed on the organization’s processes.
• Schedule the Audit: coordinate with the certification body to schedule the Surveillance Audit at a convenient time for both parties. Ensure there is enough time for thorough preparation.

2. Opening Meeting

Conduct an opening meeting with key personnel to cover audit objectives, scope, and schedule of the audit. This meeting sets the stage for a transparent and cooperative audit process.

3. Audit Execution

Audit execution involves process examination, documentation review, and conducting interviews with key personnel.

• Conduct an on-site evaluation of the organization’s facilities and operations. This involves observing processes, interviewing staff, and verifying that procedures are being followed as documented.
• Review management systems and procedures to ensure they align with the ISO standards. They may request demonstrations or explanations of specific processes.
• Examine the organization’s documentation to confirm compliance with ISO requirements. This includes checking records for accuracy, completeness, and up-to-date information.
• Select samples of products, services, or processes to test for compliance. This helps verify that the organization’s outputs meet the required standards.

4. Closing Meeting

After the audit, a closing meeting is held to discuss findings with the organization. Non-conformities, observations, and areas for improvement are presented in this meeting.

5. Non-Conformity Reporting

If any non-conformities are identified, the auditor will issue a report detailing these findings. The organization must then develop corrective action plans to address these issues.

6. Corrective Action Plan

The audited organization must develop and implement a corrective action plan to resolve any non-conformities. Ensure that the plan includes clear responsibilities, timelines, and methods for verifying the effectiveness of corrections.

7. Follow-Up

The certification body will review the corrective action plan and may conduct a follow-up audit to ensure non-conformities have been resolved. This step is crucial for maintaining ISO certification.

8. Continuous Improvement

Use insights from the ISO surveillance audit to drive continuous improvement within the organization. The auditee should update procedures regularly, train staff, and monitor processes to maintain compliance and enhance efficiency.

By following these steps, key personnel can effectively manage ISO surveillance audits and ensure that their organizations remain compliant and committed to quality standards. These details are expanded below.

On-Site or Remote Audits

Audits can be conducted on-site at the organization’s premises or remotely via virtual platforms. The choice depends on various factors, including the nature of the processes being audited and logistical considerations. Both methods aim to collect sufficient evidence to verify compliance.

Collecting and Evaluating Evidence

Surveillance audit evidence collection occurs through documentation review, interviews, and observations. Documentation reviews involve gathering relevant documents such as policy manuals, process descriptions, records, and reports and checking for consistency with the ISO standards. During interviews, the auditor conducts discussions with key personnel to understand their knowledge of the practices and procedures. The auditor also verifies that the discussed processes align with documented processes. During observations, auditors observe the processes and operations to ensure that the actual practice aligns with documented procedures. ISO auditors take a sampling approach to evidence collection. Sampling involves assessing compliance without examining every single instance of a process.

Evaluating evidence consists of analyzing conformance, identifying and categorizing non-conformities as minor or major, and assessing overall effectiveness.

Key Point: Proper planning and thorough evaluations ensure a smooth surveillance audit process.

Managing Non-Conformities and Corrective Actions

Types of non-conformities

Non-conformities are deviations from the requirements of the ISO standards. They can be major non-conformities, indicating a significant failure to comply with standards, or a minor non-conformity, reflecting isolated incidents. Identifying non-conformities is crucial for addressing issues that could impact the organization’s certification status.

Corrective Actions and Follow-Up

Organizations are required to implement corrective actions to address identified non-conformities. Effective non-conformity management involves identifying root causes, planning corrective actions, and following up to verify their successful implementation. This process ensures continuous improvement and compliance with ISO standards.

Key Point: Effective non-conformity management promotes continuous improvement and compliance with ISO standards.

Continuous Improvement and Management System Maintenance

Role of Internal Audits and Management Review

Internal audits and management reviews are vital components of a well-maintained management system. They provide ongoing assessments of the system’s effectiveness and identify areas for improvement. Regular management reviews ensure that the system continues to align with organizational goals and ISO standards.

Integrating Risk Management and QMS

Integrating risk management into the QMS enhances the organization’s ability to anticipate and address potential challenges. By proactively managing risks, organizations can improve outcomes and maintain readiness for any audit. This integration supports long-term success and sustainability.

Key Point: A well-maintained management system ensures readiness for any audit and supports the organization’s long-term success.

ISO Surveillance Audits vs. Recertification Audits

While recertification audits involve a complete review of the management system, ISO surveillance audits focus on key areas to ensure ongoing compliance and improvement between cycles.

Key Point: Surveillance audits are less comprehensive than recertification audits but play a critical role in maintaining certification as they are a mandatory component of the ISO certification cycle.

What Are the Benefits of ISO Surveillance Audits?

Regular ISO surveillance audits offer several benefits, including:

• Continuous Improvement: They ensure that corrective actions are implemented, driving ongoing enhancement of processes.
• Compliance Assurance: They help organizations maintain compliance with ISO standards, reducing the risk of non-compliance.
• Stakeholder Confidence: They demonstrate the organization’s commitment to quality and security, building trust with stakeholders.

Key Point: Regular surveillance audits support continuous improvement, compliance, and stakeholder confidence.

Take Your ISO Audit Readiness to the Next Level

A well-maintained management system is the backbone of readiness for any audit. It supports the organization’s long-term success by ensuring that processes remain efficient, effective, and aligned with strategic objectives.

Regular surveillance audits are vital for continuous improvement, maintaining compliance, and strengthening stakeholder confidence. They are more than just an evaluation; they are an opportunity to enhance organizational performance and achieve operational excellence. By focusing on key processes, managing non-conformities, and maintaining a robust management system, surveillance audits support organizations in effectively managing risks and achieving long-term success.

AuditBoard’s audit and controls management solutions are designed to aid organizations in navigating the audit process. Leveraging the ISO framework within AuditBoard simplifies the compliance process through asset inventory management, evidence collection, stakeholder collaboration,  issue management, and reporting.  Learn more about how we can support your compliance and improvement initiatives by connecting with our team today.

Frequently Asked Questions About ISO Surveillance Audits

What are ISO surveillance audits?

ISO surveillance audits are periodic reviews conducted to verify an organization’s ongoing adherence to ISO standards, such as ISO 9001 for Quality Management or ISO 27001 for Information Security Management. 

What are the components of a surveillance audit?

Surveillance audit components include scope definition, review of documentation related to the management system, including policies, procedures, and records of previous audits, and stakeholder involvement.

What is the step-by-step process of a surveillance audit?

The surveillance audit process involves planning and preparation, execution, reporting, non-conformity and corrective actions management, follow-up, and documenting continuous improvement and overall effectiveness.