QUESTION:
From: Jet
Sent: May 10, 2013
To: ATCS – QBlog, Ask The Experts
Subject: ISO 9001:2008 & ISO TS29001/API Q1 – Surveillance & Re-certification Audits

Where can I find information in ISO 9001 or ISO TS29001, regarding the requirement for annual surveillance audits to be conducted?  Since our quality management system has to be re-certified every three (3) years, I don’t understand why an annual surveillance audit is required.  This seems to be an unnecessary expense that we have to pay, especially being that the same areas are audited repetitiously, during a re-certification audit and then again during annual surveillance audits.
RESPONSE:
From: Bill Aston, ATCS – QBlog, Ask The Experts
Sent: May 10, 2013
To: Jet
Subject: ISO 9001:2008 & ISO TS29001/API Q1 – Surveillance & Re-certification Audits

Hello Jet,
Thanks for contacting Aston Technical Consulting Services’ QBlog.  This is a good question.  It is important to know that neither ISO 9001 nor ISO TS29001/API Q1 make any reference to requirements for surveillance or re-certification audits.  The requirements as well as the agreement to pay for costs associated with performing annual surveillance audits, in addition to re-certification audits every three (3) years are usually contained in a contract between the Registrar and the Registrant.  ISO 17021 actually establishing this requirement and ANAB ensures that these requirements are met as a part of their re-accreditation process of their Registrars or Certification Bodies that issue QMS certifications or registration.
The benefit of conducting surveillance audits is to ensure the continued implementation of quality management system requirements.  Without this periodic evaluation, there would be a high probability that most newly registered organizations would have a difficult time of meeting QMS re-certifications requirements three years later.

I hope this help.

Best regards,
Bill Aston, Managing Director
Aston Technical Consulting Services
Kingwood, Texas