Qualiopi surveillance audit checklist: 7 criteria and evidence

A Qualiopi surveillance audit checklist helps you check, before the audit, that every indicator in the national quality framework is applied and backed by evidence. Qualiopi is the French national quality certification that training providers need to access public and mutualised training funds. The checklist on this page follows the 7 criteria and 32 indicators. For each criterion, it lists the points to check and the evidence to prepare.

The framework comes down to three facts. Certification is granted for three years (article R. 6316-3 of the French Labour Code). The surveillance audit takes place between the 14th and 22nd month after it is obtained. A lack of evidence on audit day counts as a non-conformity (ministerial order of 6 June 2019).

Qualiopi surveillance audit: what the auditor checks

The surveillance audit checks that the framework has still been applied since certification. The ministerial order of 6 June 2019 on audit procedures sets a minimum list of points to review:

the indicators that gave rise to a non-conformity at the initial audit, together with the effectiveness of the corrective actions;
the indicators that can only give rise to a major non-conformity;
indicators 1, 17 and 19, and indicator 3 if it applies to you;
all applicable indicators, if you were a “new entrant” at the initial audit;
the display of the certificate on your premises and on your website.

The surveillance audit is carried out remotely. It takes place on site in a few cases: a complaint or report, a risk analysis from the previous audit, site sampling, or a request from you. The sample of training actions to be examined is not shared with you before the opening meeting. So prepare all your programmes, not just the most successful one.

Qualiopi checklist: the 7 criteria, points to check and evidence

The examples of evidence below come from the reading guide published by the French Ministry of Labour. They are not exhaustive: the auditor assesses what is actually done, not just whether a document exists. Some indicators are specific (certifying programmes, work-study, apprentice training centres) and do not apply to everyone. For the detail, see a guide to the 7 Qualiopi criteria and a guide to the 32 indicators.

Criterion 1: information for the public (indicators 1 to 3)

To check: each programme description shows prerequisites, objectives, duration, access arrangements and lead times, prices, contacts, methods, assessment arrangements and accessibility.
To check: your results indicators are published and up to date. For a certifying programme, the pass rate, bridges to other qualifications and career outcomes are stated.
Evidence: website, brochures, commercial proposals, terms and conditions of sale, reports and survey results.

Criterion 2: objectives and design of programmes (indicators 4 to 8)

To check: each learner's needs are analysed, together with the employer or the funding body.
To check: the objectives are operational and measurable. Content and delivery methods match them.
To check: an entry assessment exists and is applied in every file.
Evidence: needs analysis forms, interview notes, session plans, assessment grids, entry tests or role plays.

Criterion 3: onboarding, follow-up and assessment (indicators 9 to 16)

To check: learners are told how the programme will run before it starts.
To check: delivery and follow-up are adapted to the audience, including people with disabilities.
To check: achievement of the objectives is assessed with formal tools (indicator 11).
To check: measures are in place to prevent drop-outs. This indicator covers programmes lasting more than two days.
Evidence: welcome booklet, joining instructions, internal rules, assessments during and at the end of the programme, self-assessments, interim reviews, follow-up procedure for absent learners.

Criterion 4: teaching, technical and supervisory resources (indicators 17 to 20)

To check: premises, equipment and staff match what is advertised.
To check: internal and external trainers are coordinated.
To check: learning resources are accessible, and learners are helped to use them.
Evidence: lease or rental agreement, public accessibility register, organisation chart, trainer schedule, meeting minutes, list of resources, records of remote support.

Criterion 5: staff competence (indicators 21 and 22)

To check: the required competences are defined before the programme, then checked for each trainer, subcontractors included.
To check: employees' competences are kept up to date. An independent trainer demonstrates their own continuing development.
Evidence: CVs, qualifications, professional reviews (the career review French employers must hold with each employee), skills development plan, peer exchanges of practice.

Criterion 6: professional environment (indicators 23 to 29)

To check: three monitoring activities are carried out and used: legal and regulatory, jobs and skills, teaching and technological innovation.
To check: a network of partners in the disability field is identified and can be called on.
To check: where you subcontract, you check that the subcontractor complies with the framework.
Evidence: subscriptions, attendance at trade fairs or conferences, sharing of monitoring findings with the team, changes made to programmes, list of partners, subcontracting agreements.

Criterion 7: feedback and complaints (indicators 30 to 32)

To check: feedback is gathered from learners, funders, teaching teams and employers.
To check: complaints, difficulties and incidents are recorded and dealt with.
To check: improvement measures follow from this analysis.
Evidence: end-of-course and follow-up surveys, complaints log, responses given, dated improvement plan.

Watch out for one point in the reading guide: assessments of learning are not valid evidence for indicator 30. You need a genuine collection of feedback.

Qualiopi evidence: documenting interpersonal skills through role play

Listening, handling disagreement or breaking bad news cannot be measured with a quiz. Yet indicator 11 requires you to assess whether the objectives have been met. The reading guide specifies that the assessment procedure must be defined and supported by tools.

For training delivered through role play, three elements are enough to build a solid file:

An assessment grid with observable criteria, linked to the programme objectives. See our interpersonal skills evaluation grid.
Records of progress: one role play at the entry assessment, one during the programme, one at the end, assessed with the same grid.
A written debrief after each scenario: objectives met or not, strengths, areas for improvement, action plan.

With Face Up, the learner practises with a persona played by an AI avatar, and each session produces this debrief. The trainer stays in control of the grid and of the final decision. To go further, read about how to measure interpersonal skills for indicator 11 and how to build the matching evidence file.

Preparing for the Qualiopi audit: a countdown at 3 months, 1 month, 1 week

Three months before

Reread the initial audit report. For each non-conformity, gather evidence that the corrective action is working.
Run the checklist on two or three recent files, chosen at random.
Note every gap between the written procedure and actual practice. Correct one or the other.

One month before

Update the organisation chart, the list of sites and the description of your activity since certification.
Prepare your latest annual educational and financial report (the bilan pédagogique et financier that French training providers file each year): the certification body asks for it before the audit.
File the evidence by criterion, then by indicator, in a shared folder.
Check that the certificate is displayed on your premises and on your website.

One week before

Run a mock audit with a colleague playing the auditor.
Reread the audit plan: scope, people to be interviewed, indicators covered.
Test the video call and screen sharing if the audit is remote.
Let the trainers who will be interviewed know.

A step-by-step Qualiopi audit preparation guide covers each stage in more detail.

Audit day: how it runs and common mistakes

The audit begins with an opening meeting, where the auditor announces the sample selected. They then proceed through interviews and document checks. Their conclusions, dated and signed, are sent to you according to your certification body's procedure.

Answer the question asked, with evidence, without adding more. If a document is missing, simply say so: “I don't have that evidence to hand, I'll show it to you before the end of the audit.” If a finding seems unclear, ask: “Which requirement of the indicator do you see as not being met?”

The mistakes we see most often:

a written procedure that nobody follows any more;
evidence that exists but cannot be found in time;
monitoring that is carried out but never used;
feedback gathered from learners only;
a corrective action decided after the initial audit, with no record of its outcome;
a certificate missing from the website.

Qualiopi non-conformity: minor or major, what to do next

According to the reading guide, a minor non-conformity means the requirement is partly met. A major non-conformity can be issued when the requirement is not met at all. Seventeen indicators can only give rise to major non-conformities, even where the gap is partial. Indicator 11 is one of them.

Minor non-conformity: you send an action plan to the certification body within the deadline it sets. You implement it within six months. It is checked at the next audit. If it is not resolved, it becomes major.
Five minor non-conformities still open when the decision is made amount to a major non-conformity.
Major non-conformity: corrective actions must be in place within three months. Otherwise, the certification is suspended. If compliance is not restored within the three months following suspension, it is withdrawn.

The way to respond is the same in both cases. Ask for the gap found to be specified. Look for the cause, not just the faulty file. Describe the action, the person responsible, the deadline and the expected evidence. Then keep evidence that the action is having an effect. The check may lead to an additional audit, remotely or on site.

Frequently asked questions

When does the Qualiopi surveillance audit take place?

Between the 14th and 22nd month after the date the certification was obtained. Your certification body proposes the date and sends you an audit plan.

Is the surveillance audit carried out remotely?

Yes, that is the rule set by the ministerial order of 6 June 2019. It takes place on site in the event of a complaint or report, a risk analysis, site sampling, or if you request it.

What happens at the end of the three years?

Renewal requires an on-site audit before the certificate's expiry date. It runs like an initial audit. It also checks the corrective actions arising from the surveillance audit.

Is a Qualiopi checklist enough to pass the audit?

No. The checklist helps you not to forget anything, but the auditor judges what is actually done. A document with no practice behind it does not protect you from a non-conformity.

From checklist to practice

Start with the criterion where your evidence is thinnest, often the assessment of learning. Test your grid on a scenario, then compare two attempts by the same learner. To see how Face Up produces these records after each role play, book a demo.