Differences Between Certification And Surveillance Audit In 14001

Summary

The article discusses how the ISO 14001 certification audit is different from the surveillance audit. It points out the most significant distinctions between the two audits to help readers learn more about the standard.

Have you recently achieved ISO 14001 certification? Or perhaps, you are planning to pursue it? Regardless, if you have had the opportunity to consult with an ISO expert, you must know an organisation has to go through several audits to obtain and maintain an ISO certification.

While a certification audit is self-explanatory, comprehending surveillance audits can be confusing. In fact, newbies often misunderstand these two audits, making it harder for them to adequately prepare for the upcoming evaluations.

Thus, to help you better understand the audits, the following section discusses the primary distinctions between certification and surveillance audits and what these audits entail.

So, keep reading!

What Is A Certification Audit In 14001?

Certification or external audits primarily focus on ensuring that a company is compliant with all the specific elements of an ISO standard. Mostly, auditors conduct certification audits in two stages. The first stage is less intense and can occur remotely. It may focus on analysing ISO 14001 certification documentation or your readiness based on the standard.

The second stage audit is more rigorous, containing in-depth interviews, analysis, record reviews, work observations and more.

The result of your external audit will determine the next course of the certification process. For instance, if the auditors find nonconformances in your management system or operations you must take corrective action and report back to get the certification body. Otherwise, you may not receive the certification.

What Is A Surveillance Audit In ISO 14001 Environmental Management Systems?

Surveillance audits take place after the certification. Depending on the certification requirements, this audit can occur once or twice a year.

This audit mainly confirms whether:

• Your ISO 14001 Environmental Management System is effective and operational,
• You are staying compliant with the standard,
• The company is prioritising continual improvement,
• And it checks potential areas of concern and non-conformities.

In addition to those pointers, your surveillance auditors may focus on

• Evidence of continual improvement and progress: If your organisation started any improvement initiatives last year, the auditors may ask to check how far you have come with your improvement plans. They will analyse your ability to demonstrate progress and changes to the ISO 14001:2015 EMS.

• Corrective Actions And Risk-Based Thinking: The auditors will likely ask for evidence regarding corrective actions and your organisation’s risk-based approach. So, prepare records of each process with valuable inputs and outputs.

• Areas Of Concerns And Corrections: If you received any suggestions for improvement during the certification audit or faced minor non-conformities, ensure you record your procedures to eliminate them before the surveillance audit.

• EMS Operations: The auditors will also check the fundamentals of your EMS and whether or not they align with the ISO 14001:2015 standard. They will check for KPI updates, record updates and interact with your employees.

What Are The Primary Differences Between Certification Audit And Surveillance Audit?

Once you have met the ISO 14001 requirements and passed the certification audit, getting through the surveillance audit should be effortless.

Here are the primary differences between these two audits.

• Surveillance audits can be more intensive than certification audits,

• Certification audits are a must to obtain your certificate, while surveillance audits take place after a year of certification and are essentially maintenance checks of compliance with the standard and your environmental management system. You will not be reissued a new certificate for a surveillance audit.

• A certification audit usually covers all aspects of an organisation, while surveillance audits can focus on specific requirements and procedures.

• Certification audits are a one-time analysis, while surveillance audits occur once or twice a year and help maintain the validity of the certification.

Bottom Line

If your company is committed to gaining ISO 14001 certification, passing certification and surveillance audits are necessary. While certification audits are crucial for obtaining accreditation, surveillance audits are essential for maintaining it.

Who are we? We are the US and Australian representatives of an independent and accredited certification body. We are friendly and professional auditors noted for our knowledge and experience.