ISO 9001:2015 – Newsletter – Issue 95

Issue 95 – Any upside to remote auditing?

ISO 9001:2015…

Any upside to remote auditing?

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 94) we discussed the topic of  “Is this your chance to go paperless?”, and now in this Newsletter we will discuss “Any upside to remote auditing?”.

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

The impact of remote audits?… Some of the feedback I’ve received so far about remote audits are that technology challenges are one of the biggest frustrations.  Whether it’s an External Audit or an Internal Audit, the internet glitches seem to occur equally in either scenario.  This is why I suggest you conduct a short 30 minute trial a week in advance to see first hand if any difficulties will arise.  Speaking of External Remote Audits, I suggest that you maintain control of setting up the meeting(s), as well as the sending out of “Invites”… as opposed to letting your ISO CB/Registrar do it.  You are the one hosting the audit and they are the guests you’ve invited.  This also means you should be choosing which software platform will be used for remote access.  It is critical to ensure that your IT security requirements are being met, and more importantly, using software that is most familiar to your employees.  Remember… you are the Customer… they are the Vendor.

A couple of other issues you may encounter are that it will probably take longer to get through the schedule (or the plan) for the audit, and that there is a general feeling of detachment from the whole process (and from the Auditor).  These are uncharted waters for most everyone who will be involved, so patience and flexibility will be tested.  On that note, make a list in advance of all the problem scenarios (risks) that could surface during a remote audit.

For each of these scenarios, develop or identify a Plan B, and then test your Plan B.  Consider situations such as: a) confusion over which remote meeting “link” to use initially and then for subsequent days of the audit; b) Inability to get an Interviewee connected into a meeting; c) difficulties with having to sign out and then back in, when switching from a desktop computer to a mobile device to go on a “tour”; d) poor internet connection causing a choppy or a very slow dialogue, or even worse, a time delay between the Question and the Answer (very frustrating); e) chaotic methods for submitting evidence (eg. obtaining example documents and example records – both electronic and hardcopy); f) sudden loss of power/electricity; g) slow or frozen computer devices; or h) complete loss of the internet connection.  These are just a few of the problems that could crop up.

I thought I had predicted all possible problems during one of my remote audits that I conducted a few months back, until I lost all of the internet connections to my whole office for 2 hours.  That was one situation that I had not contemplated properly, and have since implemented a Plan B for all of my future remote audits.

Is there an upside to remote auditing?… Yes, there is an upside to remote auditing, and here are some examples that I have experienced first hand.  One advantage with External Audits is that ISO CB/Registrars should have more flexibility in scheduling your audit dates since travel time and travel logistics for the Auditor are no longer a factor, which by the way leads to another upside since travel expenses are also eliminated.

Another plus with External Audits is that you have more control over what the External Auditor gets to look at… whether it’s a document or a record they are requesting, or their wanting to view/observe the work area… so make sure to present your QMS in the best possible light!  I’ve also noticed that some of my Clients felt more comfortable “pushing” back on External Auditor statements (or proclamations!)… it seems that it is easier to hold your ground and simply stare back into a camera lens, then it is to do that in person… I think more Auditees need to take that approach, in order to make sure that the topic being debated is based on a specific “shall” requirement in the ISO 9001:2015 Standard… and not just the “opinion” of the External Auditor.

Let’s now discuss some advantages with Internal Audits.  Again, scheduling interviews with different people should have more flexibility since there is zero travel time for either participant.  One advantage that I had not anticipated, but proves to be quite helpful, is that when viewing information being “shared” on a computer… I found it was much easier to actually study this information from the comfort of my own office chair/screen, rather then having to lean over someone’s desk, or hover behind them looking over their shoulder, in order to understand what it was they wanted to show me on their screen.

Another plus I’ve noticed is that sometimes Internal Auditors feel a bit rushed or anxious about leading the interview discussions when doing this onsite… in a remote audit setting I’ve seen a more calm and measured approach to how they ask their questions, and more importantly how they listened to the response.  Some may say that a remote audit feels more “formal”, which it does, however bringing a little more structure and formality can only help the internal audit process (…because too often it is much too informal or lackadaisical).

Finally, one of the biggest advantages that I see, with either Internal or External Audits, is the ability to “zoom-in” an Expert as needed… on-demand.  Think about it… being able to immediately bring in another person to the conversation, who is knowledgeable on a certain topic and who can directly address an issue or concern.  These “Experts” could be other employees in the company, or outside technical people at the Corporate Office, or other quality professionals at sister plants, or outside Vendors, or outside Customers… the list goes on and on.

This was something that could have been done in the past but rarely was because it is impractical to get an Expert to “travel” to your location on a moments notice… however remote auditing makes that easy to do.  The idea of “Zooming-in an Expert” could also be used by the QMS Rep, to allow them to monitor junior Auditors, to observe interview techniques, or even to assist with the internal audit process itself.  I think there are still lots of opportunities like this that have yet to be explored!