Remote Audit

By Karen Ginsbury

Dos

1. Simple / Realistic Agenda

2. Plan well ahead – questionnaires ahead of time

3. Have a pre-meeting to test equipment and IT platform

4. How are we going to show the documentation – live or pdf / scan or other…Not to take huge amounts of time to scan documents – put the document under a camera – shared platform for documents but not for paper – security

5. Virtual tour – make sure camera works ahead of time – consider selfie stick to hold camera

6. Detailed plan of the rooms, machinery so you have a sense of where you are and what you are seeing

7. Operators couldn’t see the auditor / interact – get a mobile device with a reasonable sized screen so they can see them

8. Tell in advance what you want to see – be realistic

9. Be a little more selective in what you ask to see documentation wise

10. SOP list / index with date of updating / issuance

11. Try not to side-track in a remote audit…very uncomfortable – takes a lot of time esp if need to scan documents – not pleasant.

12. Be flexible and don’t expect everything to be scanned. Be specific about what you need scanned

13. Share your desktop

14. Share your SOPs – don’t try to scan them

15. When being audited – train your employees how to act: five minute e-learning esp for SMEs – which buttons to push.

16. Include pre-requisites for remote audit in technical agreement?

17. Split the audit into smaller periods. Think about breaks and be sure to take them and ask the other side if they need them.

18. Assign SMEs to talk at the different locations on the virtual tour.

Don’t’s

19. Don’t wave the camera around making the auditor seasick – hold it steady.

20. Don’t lose your cool because the internet is unstable

21. Don’t lose your cool because communications are more difficult – remember you are missing body language.

22. Don’t show you desktop – pop up messages and worse and keep your emails closed.

Do’s from 26.08.21

23. Test your set up before hand – agree that both sides will do this

24. Pre-record some of the items you are going to show videos

25. Insist on a real time facility tour

26. Pre-scan

27. Sharing documents on screen – can be easier than handing over a document – Do ask upfront to have control of the document – scrolling

28. Do agree upfront that if you ask for a downloadable copy you can have it unless there is a good reason why not

Don’ts

29. Don’t speak with the mike on if you don’t want the inspector / auditor to hear

30. IF you have the video on – watch your expressions and body language – its no different to on-site.

31. Do have an excellent internet connection

32. Pay careful attention to what the inspector is reading, when they have the scrolling function and make sure the SME is following.

33. Forbid screenshots without asking – include that in a regulatory inspection policy. Address the policy in the company presentation at the start of the audit.

34. Make sure your desktop is clean and your recycle bin is empty.

35. Do stop pop-up emails, whatsapps, whatever on your desktop

36. Consider having a company “clean” desktop which is used to share documents only

37. Check that the other party can see the document especially when switching from one to another

38. Practice and have only proficient people switching documents

39. Do make sure you have a secure platform with relevant cyber security