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- Herausgeber: Books on Demand
- Kategorie: Fachliteratur
- Sprache: Englisch
The Remote Audit - Virtual Remote Audits From Planning to Implementation Quality management creates trust - especially in complex and specialized economic relationships across borders. Additionally, there is a demand for adjusting organizational structures and processes fast and as needed. Therefore, quality managers who are charged with such jobs and external auditors are faced with new challenges. Remote audits - also referred to as virtual remote audits over the internet - make approaches possible that offer completely new solutions here. Particularly in light of the COVID-19 pandemic, remote audit solutions are frequently the only alternatives for handling audits within specified deadlines due to short-term travel warnings and very time-consuming quarantine requirements. Furthermore, remote audits can significantly reduce traveling expenses and efforts. On the one hand, this book is addressed to auditors who want to open up new clienteles through remote auditing. Yet on the other hand, it is likewise a good working basis for quality managers, controllers, and other decision-makers on the corporate side.
Das E-Book können Sie in Legimi-Apps oder einer beliebigen App lesen, die das folgende Format unterstützen:
Seitenzahl: 49
Veröffentlichungsjahr: 2021
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FREE DOWNLOAD
See the free download website for this book for supplemental information: Download a checklist and audit template at the following link:
www.PeRoBa.de/RemoteAuditEnglish
CONTENT
Foreword
Remote Audits
1.1. The Definition of Remote Audits & Regulations
1.2. Different Kinds of Remote Audits
1.3. Opportunities and Risks of Remote Audits
The Auditor
2.1. The Audit
2.2. Remote Auditing Principles
2.3. Remote Auditing Skills
The Remote Audit Process
3.1. The Definition of the Remote Audit
3.2. Preconditions
3.3. The Audit plan
3.4. Preparation
3.5. Performance of the Audit
3.6. Follow-up
A Practical Example of a Remote Audit Performance
Summary
List of Figures
FOREWORD
The author of this book is the Managing Director of PeRoBa Unternehmensberatung (Management Consultancy) GmbH (LLC), who has been performing audits as an auditor and consultant since the 90s. In 2005, he conducted the first “remote audit” in the form of a phone conference through a telephone conference station.
As a lecturer and coach, the author presents remote audits as another tool for performing audits. Based on plenty of discussions and conversations with auditors and users, the definition of remote audits is very important in this context.
Many solutions currently offered on the market hail from the “service” area and are now also being advertised for remote audits due to increasing demand. However, everybody needs to think their utilization over precisely as further requirements will be relevant for quality management.
The idea to write this book was conceived of at the beginning of 2014. However, the decisive moment occurred in 2017 due to an overseas auditing assignment. The return trip took approximately 40 hours because of extremely bad weather conditions that caused delays and flight cancelations. From these circumstances, the idea to make remote audits possible through an efficient tool resulted, and it was realized by an invention the author developed by himself.
In 2020, there was an unintended and inadvertent development boost due to COVID-19 since lots of companies further advanced digitalization and working from home. This edition is supposed to point out and elaborate on the significance of remote audits.
1 REMOTE AUDITS
Starting from the first lockdown in March 2020, quite a few things regarding company processes have changed due to the COVID-19 pandemic.
That impacted the area of management systems as well. Audits could not be performed any more as originally planned.
On a supplementary basis, safety and security restrictions were altered within companies, and regular audits on-site have usually become impossible or only feasible under severe limitations due to traveling restrictions.
Audits are well described in DIN EN ISO 9000:2015-11; citing subsequently from standard section 2.4.2 on developing the quality management system (QMS), 5th paragraph, page 24,
“Auditing is a means of evaluating the effectiveness of the QMS, in order to identify risks and to determine the fulfilment of requirements. In order for audits to be effective, tangible and intangible evidence needs to be collected. Actions are taken for correction and improvement based upon analysis of the evidence gathered. The knowledge gained could lead to innovation, taking QMS performance to higher levels.”1
Remote auditing is a special kind of auditing, which needs to meet all the other requirements on auditing as a matter of principle in order to generate efficient results in terms of quality management.
The performance of remote audits can also constitute a reasonable solution so that audits can still be conducted in spite of the existing restrictions.
1.1. THE DEFINITION OF REMOTE AUDITS & REGULATIONS
DIN EN ISO 190112 mentioned remote audits as such for the first time in the English version in 2011. They were further elaborated on in the version of 2018 and referred to as “virtuelle Audits” (virtual audits) or “Fernaudits” (remote audits) in the German translation. In Annex A.16 of ISO 19011, virtual or remote audits are described more precisely. It is stated there, that remote audits may be performed irrespectively of “Remote audit activities are performed at any place other than the location of the auditee, regardless of the distance.”3
In standard section 5.5.3 of ISO 19011:2018, remote audits are depicted in more detail, “Audits can be performed on-site, remotely or as a combination. The use of these methods should be suitably balanced, based on, among others, consideration of associated risks and opportunities.”4
Meanwhile, other regulations have been providing information on remote audits, too.
Figure 1: Requirements from regulations - as of December 2020
IAF MD4:20185
IAF MANDATORY DOCUMENT FOR THE USE OF INFORMATION AND COMMUNICATION TECHNOLOGY (ICT) FOR AUDITING/ASSESSMENT PURPOSES.
Requirements on remote audits are formulated in “4.1 Security and Confidentiality” and in “4.2 Process requirements”. It is mentioned here under point 4.2.5 that impacts on the auditing time may result from determining the auditing and assessment time for additional requirements.
Furthermore, in this document, reference is made to the following computer assisted auditing techniques (CAAT) as remote auditing techniques, for instance:
Telephone conferences
Sessions on the internet
Interactive web-based communication
Electronic remote access to the documentation of the management systems and / or the management system processes.
IAF MD 5:20196
IAF Mandatory Document - DETERMINATION OF AUDIT TIME OF QUALITY, ENVIRONMENTAL, AND OCCUPATIONAL HEALTH & SAFETY MANAGEMENT SYSTEMS.
In the preceding version, remote auditing activities had still been limited to 30 %. However, this restriction is no longer existing in the present version. Remote auditing techniques may be used without any time limitations now.
DIN EN ISO/IEC 17021-1:2015-117
Conformity assessment – Requirements for bodies providing audit and certification of management systems – Part 1: Requirements (ISO/IEC 17021-1:2015); German and English version EN ISO/IEC 17021-1:2015.
9.2.3.2 d) states that remote audits need to be identified in the audit plan, and the author considers this a requirement that ought to be both crucial and fundamental.
