The work doesn’t stop once you get ISO certified, there is a requirement to complete an annual surveillance audit to ensure your Management System continues to meet the requirements of the standard(s).
Last week Mel covered some basic preparation you can do ahead of a surveillance audit, but what should you expect on the actual audit day?
Today, Mel shares 10 top tips to help you prepare and ensure your next surveillance audit runs as smoothly as possible.
You’ll learn
- What is a surveillance audit?
- What to expect during the surveillance audit
- Considerations for remote vs on-site audits
- What evidence do you need to have prepared?
Resources
In this episode, we talk about:
[00:36] A description of a surveillance audit
[02:00] A summary of the 10 top tips
[02:40] There is no right or wrong way to prepare for a surveillance audit – but the following tips will be applicable regardless of the standard your certified to
[03:30] Tip 1: Be Prepared – A summary of what Mel covered in the previous episode
[05:40] Tip 2 – The opening Meeting – Be sure to have all people involved in the audit present at the meeting. It’s advised to have a member of the leadership team present. Here the Auditor will explain the different types of audit findings.
[08:00] Tip 3 – Audit questions – Similar to your Stage 1 and 2 Assessment, you will be asked a lot of questions. Try to be specific with your answers, and don’t be afraid to ask for clarification. Don’t worry if you don’t know the answers to certain questions outside of your area of expertise, simply direct them to the correct individual who can answer. You are within your rights to seek clarification on findings – Do not argue with the auditor, simply ask for justification on findings if you’re confused as to why they’re being raised.
[13:05] Tip 4: Keep on track – It’s in everyone’s best interest to stick to the Agenda.
[13:35] Tip 5: On-site Surveillance audits – Do a floor walk before the auditor arrives to check that you’re following your procedures. Make sure reception knows that the Auditor is arriving, and follows any of your standard visitor procedures. Try to book a room to base the audit in to avoid them overhearing any unnecessary chatter and to allow the auditor and auditees some privacy.
[16:05] Tip 6: Remote Surveillance Audits – Ensure that you follow any company remote working procedures. Ensure you have a good wi-fi connection, all attendees should be visible on camera but be muted when not speaking. Make sure everyone has access to the necessary documents while off-site.
[17:15] Tip 7: The Auditor – They are human, and they are here to support you to ensure you are doing what you say you’re doing. They are experts on their Standards and it’s advised to foster a friendly relationship with them. But please be aware that they shouldn’t be sending you reports from personal email addresses, be left unattended on-site and shouldn’t be taking any information off-site – show evidence on screen / in-person during the audit.
[20:20] Tip 8: The closing Meeting – Held at the end of the day. Listen to the feedback and findings from the auditor – they are there to help you improve. Feel free to ask for further clarification if needed. It’s advised to have everyone at the opening meeting present at the closing meeting.
[22:38] Tip 9: Evidence needed – You will typically need access to your audit schedule, audit reports and Management Review Minutes. You may also need various policies and procedures. Ensure that all documents are version controlled and any applicable branding is consistent.
[24:10] Tip 10: Enjoy it! – If you’re doing everything you say you’re doing, then you should enjoy showing off your Management System. The resulting report should be seen as an opportunity to continually improve – the auditor only wants the best for your business.
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Do you find keeping up with regular annual ISO tasks a struggle?
It’s easy to let ISO maintenance slip through the cracks, especially if it’s in addition to your primary job role.
If this sounds familiar, then you should consider outsourcing certain areas of your ISO management system to be managed by ISO experts.
Today, Mel explains the areas that should be managed in-house, the areas that can be outsourced, and the ISO support plan we offer to help businesses outsource aspects of their management systems.
You’ll learn
- How long ISO certifications are valid.
- Why businesses outsource some areas of their management system.
- The different ISO areas you can outsource.
- How to maintain quality when outsourcing internal audits.
- The importance of quantifying the results of your management system.
- The importance of employee engagement in your ISO management system.
Resources
- Need support with revamping your Management System? check out our ISO Support Plan
- Need guidance and support with ISO Standards? isologyhub
In this episode, we talk about:
[01:38] How long ISO certifications are valid and the ISO support plan we provide.
[02:38] Why businesses outsource certain aspects of their management system.
[03:34] What areas you can outsource and what you should keep in-house.
[04:48] Health and safety requirements and risk management needs.
[06:03] The most popular ISO areas that can be outsourced.
[09:27] How to optimise performance through updating management systems.
[09:57] The importance of being able to quantify the results of ISO systems.
[10:54] How to outsource the facilitation of your management review.
[12:15] Employee engagement training that can be outsourced.
Just a reminder, we’re offering 6 months free access to the isologyhub for anyone who signs up to an ISO Support Plan!
We’d love to hear your views and comments about the ISO Show, here’s how:
- Share the ISO Show on Twitter or Linkedin
- Leave an honest review on iTunes or Soundcloud. Your ratings and reviews really help and we read each one.
Subscribe to keep up-to-date with our latest episodes:
Stitcher | Spotify | YouTube |iTunes | Soundcloud


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