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You’ve been awarded Qualiopi certification, and now you need to start preparing for your surveillance audit? What are your points of vigilance and best practices? We take stock.
Contents:
Qualiopi certification is valid for three years. However, a surveillance audit is scheduled in the middle of the cycle to check that the certified organization is complying with the various criteria. This audit must take place between the 14th and 22nd month following certification. (cf. order of July 24, 2020).
As with the initial audit, the focus is on checking that the standards are still being applied and that the procedures put in place are effective. The training initiatives audited will be those carried out since the previous audit. The auditor will also attach particular importance to the continuous improvement process, any non-conformities identified during the initial audit, and administrative aspects. Finally, if you had a light initial audit, the surveillance audit will focus on indicators not assessed during the initial audit.
The surveillance audit must take place between the 14th and 22nd month following Qualiopi certification. However, if you were certified before December 31, 2020, you can organize it up to the 28th month following certification, since your certification is valid for four years, not three.
We advise you to schedule the surveillance audit during a quiet period for your business, so that you can fully concentrate on preparation. Please note, however, that the date you choose will also depend on your auditor’s availability, especially if you wish to keep the same auditor as for the initial audit.
If the initial audit was carried out remotely, the surveillance audit must be carried out on site. Conversely, if the initial audit was carried out on site, the surveillance audit will be carried out remotely. If you had a mixed initial audit, the surveillance audit will be on-site. In all cases, it’s up to you to contact the certification body to organize the audit. You can, of course, keep the body and auditor you contacted for the initial audit, but you can also choose a different certification body if you wish.
Of course, you can start preparing for the audit before making an appointment with the certification body. To prepare properly, it’s important to understand the purpose of the audit.
Unlike the initial audit, the auditor will not check every indicator, or even necessarily all the criteria. The key points of this surveillance audit will be continuous improvement, action plans implemented and new developments. For example, your new training programs, new procedures, new subcontracting contracts, etc. will be observed. The aim is to ensure that you have maintained the steps taken during the initial audit, and that you continue to comply with the standards. It’s up to you to demonstrate that this is the case, and that your training courses enable trainees to achieve the objectives set.
With regard to continuous improvement, the auditor will make sure that you take into account feedback from all stakeholders, and that you put in place an action plan and corrective measures to improve your offering. The effectiveness of these measures will, of course, have to be proven.
Finally, if you had any non-conformities during the initial audit, these will be re-analyzed 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. The auditor will then check that the findings have been corrected.
So, to prepare for the surveillance audit, the first thing to do is reread your initial audit report. It will give you valuable information on the points of vigilance that will be checked by the auditor. Next, you need to focus on new developments and continuous improvement, and build up your evidence to demonstrate compliance with the standard and the effectiveness of your action plans.
If, during the surveillance audit, the auditor notices any non-conformities, he or she will report them. In the event of a minor non-conformity, you will be asked to rapidly 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 at the next audit.
On the other hand, if you have a major non-conformity, the auditor can suspend your certification for three months. These three months will be used to remove the non-conformity. However, you will continue to benefit from public and mutualized funds for training courses that have already been approved.
Please note that if you are unable to prove that you have removed a minor non-conformity identified during the initial audit, it will become a major non-conformity.
Certain 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 (business intelligence), 25 (educational and technological intelligence), 26 (disability).
The implementation of these indicators will therefore be assessed during the surveillance audit. You need to prepare your evidence for each of them to demonstrate compliance and effectiveness.
Two other indicators were not verified at all during the initial audit. These were indicator 22 (skills maintenance) and indicator 32 (continuous improvement). In fact, new entrants did not have the opportunity to be assessed on these indicators at the time, so they will be verified during the surveillance audit.
All these indicators must therefore be carefully prepared to limit the risk of non-compliance. If you wish, we can help you optimize their preparation.
Last but not least: your use of the Qualiopi trademark. There are many cases of non-compliance due to misuse. So we’ve prepared a table to give you a clearer picture.
And don’t forget that every 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. This means, for example, mentioning “training action and VAE” next to the logo (if you do training actions and VAE, of course).
