Phillip Cranney
Having recently completed two multi-day and a single day audit, I have the following thoughts on ‘virtual auditing’.
While the novelty of the remote methods (such as video conferencing, share-screen and auditor-directed live-stream facility general inspection and ‘share-screen’) created a feeling of uncertainty leading up to the first audit, I quickly found that the method does not impact the principals of auditing –objective, evidenced-based findings to verify compliance to system requirements. I found that I achieved a level of depth in the investigation of a clause of process greater that in-person auditing, but that may be that the clients are more ‘desk bound’than was the case pre-COVID-19. I also found time management and pro-actively planning breaks was important.
I also leant something significant when I tested the ‘record’feature of the video platform during a live-stream workshop inspection: Don’t lean in to the camera to see documents being held up to the camera –it’s not a good look. Ask the client to bring the camera and the document closer together.
I still found the traffic a major inconvenience –mainly around the kettle at morning break.
Nino Capogreco
“I was initially worried that remote audits were going to be a challenge at both ends (client and mine). I have been doing them since February and from the start they have been surprisingly good. In fact, in some respects they offer distinct advantages because they require more preparation at my end with a focused interaction with the client and whilst the interaction is via phone and whatever other remote means we use, it is all the same a fruitful person to person exchange. We sort out the basics: what are we going to use? WhatsApp, Teams, Zoom etc and what do I need to see and how can I select the evidence etc.
I must say that clients have all been supportive. At the end of the day, these audits (like any physical audit) require a team effort. I am sure we have heard recently the saying “we are all in this together” and remote audits are very much part of it.
The other surprising thing (to me at least) is how good the technology is. As an example, I was able to do a remote visit to a construction site some 700kms away with the use of WhatsApp and I was able to talk to the site rep who could hear me clearly even though it was windy, I was able to see clearly things like the tag on the fire extinguisher, the signed pages of their site documents, I was able to verify that the trench was 700mm deep, and photo ID and so on. It was all very clear.
Not having to travel to and from a client is also a distinct advantage for three good reasons: 1) I can use the time saved more effectively, 2) eliminate the dangers of having a road accident (1200 people killed on Australian roads in 2019), and that is really good because for most of us it is the most dangerous thing we do and 3)) last but not least it reduces my CO2 emissions (I travel approx. 40,000kms a year and emit about 6 tonnes of CO2, I would like to have an electric car but lack of recharge points make it nearly impossible in regional trips).
On the other side of the coin, I do miss the interaction of “being there”. In the end my view is that in future (when the pandemic goes away) a blend of physical and remote auditing is the way to go.
Samantha Hamilton
It’s a great idea for our clients to organise an ‘IT check’ prior to the audit. I have had 2 audits where it took half a day to get access into their IT system. Human Services clients have been really great in responding to our request to place their audit documentation (policies, procedures, registers etc) into a shared dropbox which we advise them we sign out of once the report has been sent to them.
The IT check is the most important, it’s critical to the success of the audit we have access to their databases etc from the get go.
