Remote auditing has been growing in popularity for many years, and the pandemic has only accelerated the trend. Remote auditing can bring significant benefits – not least convenience and efficiency. However, to make the most of the possibilities they present, forward planning is essential.
Here we provide our top tips for preparing for your first remote audit.
Preparing for the audit:
- Preparation is almost more important than the audit itself - you should devote a generous amount of time to ensuring everything is set up correctly.
- Understand each stage of the process: planning, delivery, reporting. What is your auditor’s usual approach? What will you be required to contribute in terms of time and resource?
- Set the scope and objectives of the audit. If you don’t spell out what you want the audit to cover, it could be a wasted exercise. Setting a scope and objectives will add value to the final report, which can then be used as a basis for improvement and future auditing.
- Share details of your technology infrastructure. The auditors will need to know how your tech infrastructure is put together, including the way information is stored and how they can access it. You should also agree formats for submitting material to the auditors.
- Confirm key protections such as data security. You are still responsible for handling any sensitive data correctly throughout the audit process. Check what security measures auditors put in place to reduce risk and keep your data safe.
- Schedule dates for meetings, inspections, and key milestones. An audit might seem like a huge undertaking, but once you start plotting key points and events, it will all begin to fall into place.
- Engage with training on remote auditing. BSI offers training on remote audits for any existing management system auditor, in any discipline. Find out more.
During the audit
- Embrace technology to find solutions to challenges. It might seem at first that some elements of your audit simply cannot be carried out remotely, such as site inspections. However, it’s rare to find a challenge that cannot be answered using innovative technology. From live streaming to augmented reality and smart glasses, or even drones, your auditors might have ideas about how to address these problems. Here’s how we are doing it at BSI.
- Check your equipment. It sounds basic, but if that laptop doesn’t work or a teleconferencing device is faulty, you want to know well ahead of your scheduled audit meetings. Carry out regular checks to pick up on any issues before they cause disruption.
- Communicate clearly. Using video calls and other remote communication methods means you need to be crystal clear. For example, if an auditor asks you to share particular records or a document, clarify the format required and be sure you know exactly what is being requested. Errors can take up valuable time, so it’s best to double check for misunderstandings.
- Plan in comfort breaks. Sitting in front of a screen for long periods is no good for anyone. Ensure that regular breaks are built in and, where possible, encourage employees to have a change of scene and some fresh air between screen sessions.
- Accept that you won’t get it perfect first time. There will inevitably be issues to consider– a video call that doesn’t work, a piece of broken communication equipment, or a missed meeting. Learn from your mistakes and find ways to improve next time.
Learning from the audit
- Note the auditing methods used within the report. The chosen auditing method will shape the report and may impose limitations. Ensure that the final report states the methods that were used so the report gives a full picture.
- Learn from the process so you can improve next time. Remote auditing might not be a perfect process the first time. Whether you have technical problems, misstate the objectives of the report slightly or experience challenges with scheduling, review what you did and ensure that learning is fed into future processes.
Get the most from your remote audit
More and more audits are being carried out remotely. In 2020, 63% of BSI audits were delivered remotely, compared to just 1% in 2019. Even without pandemic restrictions, BSI anticipates that 40% of audits in 2021 will be delivered remotely. That’s hardly surprising as more and more organisations discover the benefits to remote auditing, from accessing a wider range of expertise to reducing cost, cutting your travel-related carbon footprint and improving efficiency.
Why not take a look at the recent BSI webinar on remote auditing to discover more?
