Issue 93 – Will Remote Auditing be the new normal?
ISO 9001:2015…
Will Remote Auditing be the new normal?
I appreciate receiving emails with questions and/or comments from readers of this Newsletter… please continue to do so since it provides me with ideas on what these publications should cover. In my last Newsletter (ISO 9001:2015 Newsletter Issue 92) we discussed the topic of “How will this recent business disruption affect my QMS?”, and now in this Newsletter we will discuss “Will remote auditing be the new normal?”.
The ISO 9001:2015 Element numbering…
Element 4 – Context of the organization
Element 5 – Leadership
Element 6 – Planning
Element 7 – Support
Element 8 – Operation
Element 9 – Performance evaluation
Element 10 – Improvement
Will Remote Auditing be the new normal?… In my last Newsletter, I ran out of space to respond to a few questions/issues that have come up during this period of widespread business interruptions, namely: “My QMS Internal Audits are getting postponed, as well as the ISO External Auditor visit is fast approaching and many Quality records will not be available.” This leads me into the topic of this Newsletter… Remote Auditing.
Let’s discuss Remote Auditing for External Audits (by the ISO CB/Registrar)… In terms of External Audits, more and more of the organizations providing this service will move towards a form of Remote Auditing, either for a portion of the audit or for the entire event. There could be an option of delaying these types of audits for 6 months to 1 year, however at the time of writing this Newsletter, no such decision had yet been made by the ISO Accreditation Bodies. My advice would be to take the extension if it’s offered, and even if it is not offered, ask for an extension anyways.
If that option is not available, then ask for details on how they intend to conduct this External Audit, both logistically and by using what type of web communication software (including what IT requirements they need for you to address). If the IT issues/challenges can be resolved, then it is a matter of agreeing on dates/times, as well as what role they expect of the Guide (you) during this external audit event. Time will tell if this approach works better or worse than having a person onsite.
I don’t really see much downside with conducting a Remote Audit with your external auditor. I do see this taking more time than normal for a variety of reasons such as: Noisy conditions causing questions and answers having to be repeated; Difficulty in finding and then reviewing documents and records, especially if only a mobile device is being used by the auditees; Internet and technology glitches that will inevitably occur; etc.
Now let’s talk about Remote Auditing for Internal Audits (by an Employee)… With Internal Audits, performing these remotely may be your only option if: a) the Employee who is acting as the internal auditor, works offsite/away from the facility; or b) the Employee that needs to be interviewed (the Auditee) works offsite; or c) you are faced with both of these scenarios.
These situations have actually occurred in some of my previous audits, especially when trying to connect with Sales people or IT people, as well as others who provide “Corporate office shared services” across multiple facilities. In these cases we simply arranged a phone conference call and I was able to interview the person and obtain the objective evidence I was seeking. Think of Remote Auditing as an “enhanced” phone conference call, with the enhancement being a “video” layer added on top. This now makes auditing remotely entirely feasible for internal audits.
If you are the QMS Management Rep (or the key person in charge of your ISO Certification) and YOU are unable to be onsite to conduct the internal audit, then I suggest you use a “hybrid” approach. What this means is you would identify one individual who works inside the facility, to be your “Guide/Coordinator”, and then use that person’s cell phone to “carry you around” to each Dept/Person that you need to visit. They will act as an additional set of eyes and ears on your behalf, as well as facilitate the obtaining of copies or samples along the way.
Of course you don’t have to use an inside person to help guide/coordinate the audit activities but it might make it easier. Either way, there will be a steep learning curve for everyone involved, and things may not go smoothly on your first try. Figuring out how to adapt in this new business operating environment needs to be your top priority, and Remote Auditing may be just the tool you need.
Be sure to watch for our next Newsletter issue where I will be answering some of the questions that I get from Readers of my Newsletters about how to implement the requirements of ISO 9001:2015 in a specific and practical way, that will also help improve business performance…
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Need Help?
ISO 9001:2015 Internal Audit Outsourcing (we can do it for you OR with you!)
For cost effectiveness, the Internal Audit function can be outsourced to an external experienced auditor on a periodic basis. This will provide an independent and objective assessment to management, of where process issues may exist, along with identifying opportunities for improvement. It will also provide the evidence needed to satisfy the Internal Audit requirements in the ISO Standards. We have used two different approaches with this service: a) We conduct the entire audit ourselves, or b) We act as the lead auditor, and along with your Team of internal auditors, we complete the entire audit together. This latter approach allows your people to receive guidance and direction from an experienced lead auditor while at the same time maintaining significant involvement in the internal audit process.
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Internal Process Auditor Training for ISO 9001:2015
The two (2) day Internal Process Auditing for ISO 9001:2015 Training Session is focused on a process approach to auditing with the objective being not only to assess conformance of the quality management system, but also to uncover process improvements during an audit. This goes hand in hand with the process auditing requirements found within ISO 19011 and the process approach covered in ISO 9001:2015, which promotes continual process improvement throughout this Standard. An enhanced checklist is developed, and there will be workshops throughout, to reinforce learning, as well as a live, practice audit. If you are looking to meet the ISO 9001:2015 internal audit requirements and to “raise the bar” for your internal audit program then this is the course you should consider.
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Until next time…
Tim Renaud
Helping Business Professionals Reduce Risk and Remove Waste!