Firstly consider exactly what we mean by surveillance audits.

So to perform any audit requires a standard with which to compare or reference, in this regard, surveillance audits are no different from most other types of audit.

What is different is that surveillance audits are essentially audits without portfolios. This means they are “extra” to the audit program and provide the opportunity to provide additional oversight and confidence in the effective delivery of the compliance system.

Consider the biggest disadvantage to a planned compliance audit. The auditee being made fully aware of the impending audit will typically start to get “the house in order”.

So whilst this is good of course we do not only want “the house” to be in order at the time of the audit, we want it to be a normal occurrence to be fully compliant.

So to a degree, the preparation prior to the delivery of a compliance audit actually undermines the effectiveness of the audit.

Surveillance audits can be delivered at any time any place anywhere and look at whatever the auditor chooses to look at. In so doing it actually prevents audit preparation and you see the subject for real as it actually is.

Such behavior changes the mindset of the auditee as it is no longer worthwhile to prepare specially for an audit as we can and will be checked at any time. Therefore the culture of the organisation starts to accept that following the correct process and practice is actually the only game in town!

Hopefully, we will agree that if handled correctly then surveillance audits can be a game changer.

However, a few words of caution – We auditors are not the secret police and we should not behave as such (sneaking around, etc.) by all means perform random audits but clearly identify who you are and the purpose of the audit to the auditee.

For sure they may not be so happy to see you, even some random people believe it is not correct for you to actually be there without notice but understand and share this comment “It is far better that it is me performing this activity and not a member of the regulatory authority”.

In addition, the goal of the auditor is not to look for faults or problems but rather to validate conformity. A no-finding outcome is a happy outcome!

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