Compliance vs. Surveillance vs. Re-Certification Audits - Differences

K

KCIPOH

#1
Hello Cove members,

I would like to have a clear understanding of types of audit, especially for ISO9001:2008 in details as below :

1. Compliance Audit

a. What is the objective of the audit?
b. When it will be conducted?
c. Conducted by who?
d. What are the area to be audit?


2. Surveillance Audit

a. What is the objective of the audit?
b. When it will be conducted?
c. Conducted by who?
d. What are the area to be audit?


3. Re-Certification Audit

a. What is the objective of the audit?
b. When it will be conducted?
c. Conducted by who?
d. What are the area to be audit?

Thank You and Appreciate for inputs :confused:
 
Elsmar Forum Sponsor

somashekar

Staff member
Super Moderator
#2
Re: Compliance, Surveillance and Re-Certification Audit

Does the below inline answers help you ~~~
Hello Cove members,

I would like to have a clear understanding of types of audit, especially for ISO9001:2008 in details as below :

1. Compliance Audit

a. What is the objective of the audit? If there is Compliance to the requirement of ISO9001:2008
b. When it will be conducted? Before you are certified through a stage 1 + stage 2
c. Conducted by who? The CB
d. What are the area to be audit? All your QMS processes

(A compliance audit can also be performed as an internal audit or by a second party like a consultant...)

2. Surveillance Audit

a. What is the objective of the audit? Continued compliance to ISO9001: 2008, continual improvement within your process approach.
b. When it will be conducted? Mostly in the 10th or 11th month after your certification date each year.
c. Conducted by who? The CB
d. What are the area to be audit? All OR selected QMS processes


3. Re-Certification Audit

a. What is the objective of the audit? To continue your certification to the next term, usually a 3 year term
b. When it will be conducted? Atleast two months before the expiry of your certificate
c. Conducted by who? The CB
d. What are the area to be audit? All your QMS processes


Thank You and Appreciate for inputs :confused:
 
Last edited:
V

vanputten

#3
First, second and third party audits can be compliance in nature or performance in nature. Compliance audits try to determine if a system meets requirements. The output of these audits tends to be attribute in nature - either yes requirements are met or no they are not. Performance audits go beyond simple compliance and look at how the system is performing or how it can be predicted to perform in the future. Performance audits look past compliance and look at things like efficiency, organizational health, strategy, etc. Performance audits might include consulting.

in the world of compliance audits, often the first audit is considered a certification audit especially if the intended output of the audit is an earned certificate. When the certificate expires and the organization has another audit with the intent of earning a certificate, this is called a re-certification audit.

In the ISO 9001 world, recertification audits are every 3 years and require all clauses of the standard to be audited. No sampling of the clauses is allowed.

Surveillance audits are those audits that take place in-between certification and re-certification audit. Surveillance audits usually take place every 6 months or year depending on the organizations audit structure. Sampling is allowed in surveillance audits.
 
K

KCIPOH

#4
Hello Somashekar and Vanputten,

Thank you for your details, i'm getting a clearer pictures of how to distinguished them now, great job members :)

Thank you both of you again and really appreciate it :thanx:
 
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