Preparing for Your ISO 14001 Surveillance Audit
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Preparing for Your ISO 14001 Surveillance Audit
After achieving ISO 14001 certification, you’re familiar with the certification audit process. The auditor likely explained the future process: a re-certification audit in three years and annual surveillance audits in the intervening years. Next up is the surveillance audit. So, what’s the difference between certification and surveillance audits? How can you prepare effectively?
What is an ISO 14001 Surveillance Audit?
With your EMS (Environmental Management System) now operational, here’s what to expect from a surveillance audit. The audit will confirm that:
Your EMS is still operational and effective.
Conformity to the standard is maintained.
Continual improvement is being achieved.
Any areas of concern, suggestions, or minor non-conformities from the certification audit remain compliant.
While your certification audit might have taken three days, the surveillance audit typically takes one to two days, depending on the auditor. So, what will the auditor focus on?
Key Areas of Focus in a Surveillance Audit
Evidence of Continual Improvement and Progress:
Have you started any improvement initiatives since the certification audit? Can you show positive progress and changes in your EMS and its components?
Evidence of Corrective Action and Risk-Based Thinking:
These are central to EMS performance. The auditor will want to see evidence of both. Ensure you have solid records of each process with inputs and outputs.
Areas of Concern, Suggestions, and Corrections:
Review the certification report. Ensure any minor non-conformities or suggestions for improvement were addressed and documented.
EMS Operation:
Check the basics: Are your KPIs up to date? Are training records updated? Are employees updating defined records? Coaching employees on how to interact with the auditor is also beneficial.
Certification and Surveillance Audits: Are They So Different?
Once you’ve navigated the full certification audit, preparing for the surveillance audit should be straightforward. If it isn’t, it might indicate that your EMS isn’t operating as it should. An internal audit checklist can help ensure you’ve checked all the correct elements.
The surveillance audit can be seen as a diluted version of the certification audit. If you meet the standard’s terms, strive for improvement, and use your internal audit to ensure all processes work together, passing your surveillance audit should be achievable. Remember, the less effort needed to update your EMS for the surveillance audit, the better it performs. This bodes well for the re-certification audit when it comes around.
