You hold the Qualiopi certification, and now you need to start preparing your surveillance audit? What are the points of vigilance and good practices? We take stock.
Summary:
- What is surveillance audit?
- When to organize it?
- How to prepare for it?
- And in case of non-compliance?
- The specificities of new entrants
- A point of vigilance: the use of the Qualiopi brand
What is surveillance audit?
Obtaining Qualiopi certification is valid for three years. However, a surveillance audit is planned in the middle of the cycle in order to verify that the certified body correctly complies with the various criteria. It must be organized between 14e and the 22nde months following the obtaining of certification. (cf. Order of July 24, 2020).
It seeks to verify, as for the initial audit, that the reference framework is still properly applied and that the procedures implemented are effective. The training actions audited will be those carried out since the previous audit. The auditor will also attach particular importance to the continuous improvement approach, to any non-conformities that were identified during the initial audit, and to administrative elements. Finally, if you had a light initial audit, the surveillance audit will focus on the indicators not assessed during the initial audit.
When to organize the surveillance audit?
The surveillance audit must take place between the 14e and 22e months following the obtaining of Qualiopi. However, if you were certified before December 31, 2020, you can organize it until the 28the months after obtaining it since your certification is valid for four years, not three.
We recommend that you schedule the surveillance audit during a quiet period for your business, so that you can fully concentrate on the preparation. Be careful, however, that the chosen date will also depend on the availability of your auditor, especially if you want to keep the same auditor as during the initial audit.
If the initial audit was carried out remotely, then the surveillance audit will necessarily be on-site. Conversely, if the initial audit was carried out on-site, the surveillance audit will be carried out remotely. In the event that you had a mixed initial audit, the surveillance audit will be on-site. In all cases, it is up to you to contact the certification body in order to organize the audit. You can of course keep the body and the auditor that you contacted for the initial audit, but it is also possible to choose a different certification body if you wish.
How to prepare for it?
You can of course start preparing for the audit before making an appointment with the certification body. To prepare well, it is important to understand its objective.
Unlike the initial audit, the auditor will not check each indicator, or even necessarily all the criteria. The key points of this monitoring audit will be continuous improvement, action plans implemented and new developments. Thus, it is your new training actions, new methods, new subcontracting contracts, etc. that will be observed. The goal is to ensure that you have perpetuated the approaches implemented during the initial audit and that you continue to comply with the benchmark. It is up to you to demonstrate that this is the case, and that your training allows trainees to achieve the objectives set.
Regarding continuous improvement, the auditor will ensure that you take into account the feedback from all stakeholders and that you put in place an action plan and corrective measures to improve your offer. The effectiveness of these measures will of course have to be proven.
Finally, if you had non-conformities during the initial audit, they will be analyzed again during the surveillance audit. Minor non-conformities must be resolved during the surveillance audit. As for major non-conformities, the auditor will be interested in the procedures put in place to resolve them. The auditor will have access to the conclusions of the initial audit, whether he carried it out himself or whether you opted for a different auditor. He will therefore come to verify that they have actually been corrected.
So, to prepare for the surveillance audit, the first thing to do is to reread your initial audit report. It will give you valuable information on the areas of vigilance that will be checked by the auditor. Then, you must focus on new developments and continuous improvement and build your evidence to demonstrate compliance with the framework and the effectiveness of your action plans.
And in case of non-conformity(ies)?
If, during the surveillance audit, the auditor notices non-conformities, he will report them. In the event of a minor non-conformity, you will then have to quickly put in place an action plan which will then be validated by the auditor. It will then be up to you to implement it within six months, and this non-conformity will be verified and analyzed during the next audit.
On the other hand, if you have a major non-conformity, the auditor may suspend your certification for three months. These three months will be used to lift the non-conformity. However, you will continue to benefit from public and mutualized funds for training already benefiting from a support agreement.
Also be careful, if you are unable to prove that you have resolved a minor non-conformity identified during the initial audit, it will be transformed into a major non-conformity.
Specificities of new entrants
Some indicators will be checked as a priority for new entrants. These are those for which only the existence of a process had been taken into account during the initial audit: indicators 2 (performance indicators), 3 (indicators linked to professional certifications), 11 (assessments), 13 (links with the company), 14 (socio-professional support), 19 (educational resources), 24 (professional monitoring), 25 (educational and technological monitoring), 26 (disability).
The implementation of these indicators will therefore be assessed during the surveillance audit. You must prepare your evidence for each of them in order to demonstrate their compliance and effectiveness.
Two other indicators were not checked at all during the initial audit. These are indicator 22 (maintenance of skills) and indicator 32 (continuous improvement). Indeed, new entrants did not have the possibility of being assessed on these indicators at the time, and their verification will therefore be done during the surveillance audit.
All these indicators must therefore be carefully prepared in order to limit the risk of non-conformities. It is possible to have support if you wish, in order to optimize their preparation.
Use of the Qualiopi brand
One last point of vigilance, but not the least: your use of the Qualiopi brand. There are many non-conformities due to improper use. We have therefore prepared a table for you to see things more clearly.
Also, remember that each time you use the logo, you must mention the category of training action for which you have been certified, otherwise you will receive a non-conformity. For example, this means mentioning next to the logo “training action and VAE” (if you do training actions and VAE, of course).
