Here are Ivowen’s Remote Auditing Tips to help you get ready for that next audit
Remote, off-site, paper-based, desk-top auditing call it what you want, what was once always put on the long finger is now becoming the norm for certain areas of auditing.
Here are a few of our tips to help you prepare to conduct a remote audit:
- As with any audit, decide on the scope and purpose of the audit, identify the topics/areas which you wish to focus on
- Establish the lead contacts (post, during and pre audit)
- Decide on the best mode of communication for all and test it, do dry runs, establish what works best, let your IT department know of your audit date so they can be on hand to assist you with any IT issues
- Establish the time table, give yourself and the auditee a realistic timeframe to compile and review the requested documentation, remember you may have a lot more distractions working remotely
- Compile and request the list of documents (procedures, policies, training records, logs) you wish to review in advance, organise them per topic
- Ensure you and the auditee have a secure method of data transfer
- Have an internal pre-audit meeting to
- discuss your findings
- compile your questions, who will ask what, who will take the lead
- test your communication systems (again)
- establish the most relevant interviewee per topic/area
- establish a rough time line for each topic/area
- Accept that there will be glitches and issues on the day, keep calm and carry on, if they occur be prepared to take an unscheduled break and cycle back to the issue later
- Make time for the chit-chat and small talk. Communication and good relations are vital for any partnership and this aspect may be lost without the face-to-face interactions
- Discuss the inconvenience and hardship of the pandemic but also any positives that may have resulted from it
- Prepare your audit report as you proceed.
Should you need any support in conducting your remote audit just contact us and the Ivowen team will be here to help.