Stage 3 - Surveillance Visits
To make sure your management system is still effective, and to follow up on the progress that has been made since our last visit, we conduct surveillance visits.
The surveillance visits aim to confirm that the approved management system continues to:
During the surveillance visit, the assessor will:
introduce what LRQA will be doing differently on this visit and why.
establish what issues are important to you and your stakeholders and select the visit theme.
identify where management systems can be used to drive performance improvement in respect of these issues.
listen to your views on the issues around the theme selected for the visit and take account of them in your audit.
discuss your future organisational objectives and identify opportunities for future visit themes.
The Visit Plan
With the theme agreed for this visit (or for future visits) the assessor will identify which departments, process controls and systems relate to the theme and are assessable:
Plans for future visits should be flexible. If the circumstances change, such as with a major customer complaint or regulatory breach, LRQA should be able to modify the theme of the visit, or introduce a new one to address issues of current concern to you and/or your stakeholders.
Performing the visit
When performing the visit the assessor will:
audit the theme through the areas as planned. The assessor may wish to follow trails which were not identified in the original plan if they are significant to the theme.
use the assessment of the areas to confirm that the system controls are in place and are being effectively used.
determine if you are using the management system to manage and / or improve the issues related to the identified theme.
report any weaknesses in the system or its effectiveness and suggest potential improvements for you to consider.
The visit report left with you after the visit will:
contain a summary of the senior management discussions
track a sample of long term improvement projects
record the trails followed and evidence examined, along with the evaluation and conclusions
record any findings
record the overall conclusion on the effectiveness of the management system in relation to the theme and in meeting the requirements of the assessment standard
identify themes and areas for the next visit.
Feedback to senior management
In the closing meeting the assessor will:
give an overview of his findings and state his conclusions.
highlight where the management system assists you in addressing the issues related to the theme and where it is helping to drive improvement.
describe any system weaknesses related to the theme and explain how these weaknesses may impact adversely on your business.
Next steps...
Choose one of the actions below.