On-Line (Remote) Auditing Possibilities

Colin

Quite Involved in Discussions
#1
I have been working for a few years with an organisation who have developed a 'web based' document management application (I have mentioned them previously so I won't 'advertise' them in this post).

It started life as a simple method of ensuring that everyone who has access to a computer can access the correct version of the QMS documentation. It then grew to incorporate the business documents such as tenders and process documents etc.

It now also has an internal audit module, calibration module, training module, etc. and we are just putting the finishing touches to a 'front end' which will be a 'dashboard' from which anyone can easily access summary reports for things like customer complaints.

Now, the discussion is evolving into whether an external auditor could be given secure access to this data to enable him/her to perform some of the audit functions remotely. Also, could customers be given 'real time' access to the data being produced?

Now, I am not suggesting that a whole audit could be done remotely but perhaps things such as reviewing internal audits, management review, nonconformities, complaints etc. could be. Especially in a small company where the auditor being on site is a real distraction for the business and takes up valuable resources. To say nothing of the potential for reduced travelling.

Thoughts anyone?
 
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somashekar

Staff member
Super Moderator
#2
Re: On-line auditing possibilities

I see this as a good move. However it must depend on the certification body and the confidence levels both have, based on the previous site audits and how your web based document management application has integrated all the processes and been live successfully for some continued period.
What has been the response from the certification body about it ... ?
 

Colin

Quite Involved in Discussions
#4
Re: On-line auditing possibilities

I see this as a good move. However it must depend on the certification body and the confidence levels both have, based on the previous site audits and how your web based document management application has integrated all the processes and been live successfully for some continued period.
What has been the response from the certification body about it ... ?
I agree entirely about the 'confidence level' factor - it is something they must earn I suspect.

At least 1 of the major CB's has shown great interest in the concept. It is especially appealing to very small organisations who struggle to devote someone to the audit for a day without impacting significantly on their business.
 
P

Phiobi

#6
I am working with a company that already have a system that "can" fully monitor compliance and effectiveness in real time.
The bonus is that they are also about to become a CB.... it's going to be interesting sending this system out :)
 
Q

qualityboi

#7
Wow, I never knew the CAAT standard existed. I definitely noticed the word "enhance" the audit rather than "in place of" in the standard. That said, I have been doing some portions of my audits "vitually" for years. Our registrar has never even mentioned the topic even though it is obvious in our audit folders that we are doing portions of the audit electronically. There are many audits I do where the meeting time has expired in the meeting where I ask for records via email, and many cases where some attendees teleconference in. I have been doing audits this way for the last 10 of my 13 yrs of auditing! The audits have been just as effective as them showing up in person. I realize things like body language may be missed by the auditor, but if the person on the other end of the electronic line can show an effective process via procedures and records of results what, really is the difference? All integrity aside, how would the external registrar really know the difference? I am talking of course about process audits where there is no need for a physical prescence for exmaination of artifacts. For example, documentation control. Do you really need to be there if all of your documentation is on an electronic system and you have a no paper policy anyway?

:topic:
My major complaint about my company are that the interviews I have during my audits are only a small portion of time of the audit process. However, I must still go into work as they refuse to have a work at home policy. I could easily, conveniently, and environmentally friendly be at home finishing my final reports. Nope, gotta have face time. I realize the benefits of face to face, but when there is no-one to meet and I am just pounding out an audit report there is no need to be at work where I waste 2 hours of travel time, wear and tear on a vehicle, and 6 gallons of gasoline (round trip), (I live 40 miles away and can't afford a place in the city). To make matters worse, since I travel all that way, I stay at work longer hours purposely to get overtime to compensate for the gas I use!

I realize for some people, that are old school, enjoy the face time, but I assure anyone I can be just as productive, if not more than, the face time culture where I see people continually shooting the breeze about politics or sports for half the day.
:topic:
 
D

Duke Okes

#8
Virtual audits are becoming quite commonplace, especially for administrative-type tasks where observing the process doesn't add much value.

Financial auditors even install special computer software which monitors processes on an ongoing basis and flag when something seems out of the ordinary.

Here's the LinkedIn page for someone (Shauna Wilson) who is probably on the leading edge of such virtual audits: http://www.linkedin.com/profile?goback=.con&viewProfile=&key=4301274&jsstate=
 
J

John Martinez

#9
There is a place for these audits.
1.) To review documentation/records.
2.) A remote location where travel to is not possible, such as a military facility that the auditor must have top secret clearance to gain access. Or, there are two sales people at an office in an area that has security issues.
 
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