2021 Guidelines for Conducting Remote Internal Audits

Remote auditing is increasingly common. By 2018, organizations like the International Organization for Standardization (ISO) and the International Accreditation Forum (IAF) had already released guidelines for conducting remote internal audits.

Inevitably, the COVID-19 pandemic has accelerated the adoption of remote audits (both internal and external), but they’re more than just a temporary “workaround”.

What is a remote internal audit?

A remote internal audit is conducted wholly or partially off-site.

It involves using information and communication technology (ICT) to gather information, conduct interviews and “tour” production areas to verify processes. For example, it can involve using teleconferencing, web meetings and video applications.

Information is obtained by appropriate sampling and verified to provide audit evidence.

When it’s not possible to verify the effectiveness of some processes within the quality management system (QMS) remotely, a partial on-site internal audit may be scheduled.

Guidelines for remote internal audits

These useful links provide guidance for remote audits:

Preparation is key to the success of any remote audit.

Follow these steps to simplify the process and prepare:

Collaborate with the auditor at all times during the planning phase, especially if the auditor is unfamiliar with your business.
Determine the audit schedule and be sure audit logistics and objectives can be achieved.
Carry out a risk assessment to establish what processes, activities and sites can be audited remotely.
Liaise with your auditor to determine the ICT to be used and that it meets your company’s cyber-security measures.
Test the IT platform prior to the audit.
Make sure all people involved are ready and prepared for the audit. They must know how to use the relevant technology.
Prepare all documents needed in advance of the audit.
Carry out a pre-audit walk-through of your facilities.

Pros and cons of remote internal audits

Disadvantages of remote internal audits

The single biggest disadvantage of a remote internal audit is that it’s impractical for companies using paper-based processes.

To prepare for a remote audit, volumes of documents must be scanned, filed, and stored.

With paper documents, this is likely to be time consuming. Pages may be lost and some documents may be of poor quality or hard to read. It’s also difficult to centralize a paper-based filing system.

A digital document management system large eliminates these difficulties.

Other disadvantages include:

increased security/confidentiality risk
increased doubt about the veracity and quality of the evidence collected
unreliable technology (dodgy internet can add significant delays and frustration).

Remote audits for some standards may not be sufficient to address customer expectations or requirements.

Advantages of remote internal audits

Many companies are finding that remote audits save time and money.

Conducting an internal audit remotely may also be good preparation for handling a remote, external audit.

Among the advantages of remote audits are:

greater flexibility for scheduling audits
more focused audit time
opportunity to sample more processes
limited disruption to operations and supply chains
savings on auditor travel expenses (and reduced carbon footprint)
better health and safety, especially during the COVID-19 pandemic.

isoTracker’s Auditing Management Software

Our cloud-based audit management software dramatically simplifies compliance. It helps companies conduct and pass audits.

It drives improvements through built-in features that ensure audit and compliance issues are reliably solved. What’s more, it saves hundreds of personnel hours.

Its features enable businesses to:

automate and streamline auditing processes
easily plan, conduct and review internal audits
ensure no audit issue is left unresolved, with built-in CAPA features and automated reminders
prepare for external audits and pass with flying colours
automatically generate audit reports and solicit feedback, during and after audits.

The module can stand alone or integrate with our other QMS modules.

What we offer at isoTracker

isoTracker offers modular, subscription-based quality management software that’s secure, cloud-based and affordable. It includes a document control module, as well as complaints management, audit management, and training modules, with built-in CAPA capabilities.

Digital quality management is one, straightforward way for small to medium manufacturing businesses to start realizing value from Industry 4.0 – and with isoTracker’s QMS, it’s easy and cost-effective to implement.