Is an “eAudit” in Your Company’s Future?
With the increasing use of the internet for the operation and control of management systems, first, second and third party auditors need to consider new ways to efficiently and effectively verify conformity to quality & environmental management system criteria.
The most obvious example would be multi-site organizations. Audits could include remote access to electronic documents and records to save travel time and dollars. Furthermore, the remote access can be carried out without taking the time of anyone at that remote facility.
Some organizations are already conducting remote audits using collaboration tools like Plexus Online and eAuditPack (TM). To evaluate how these e-Audits work, we can see how a remote audit would examine the four primary types of evidence: Documents, Observations, Records and Interviews:
Documents: With the proper authorization, auditors are reviewing the remote location's electronic documents while planning the audit and also see them during the execution of the audit. However, use of a collaboration tool and/or a teleconference does not allow the auditors to see if any uncontrolled or obsolete documents are in use.
Observations: Since the audit is remote and cameras are not be available for full viewing of the facility, auditors are not be able to see if the work is being done per the organization’s planned arrangements and, just as important, what’s going on around the area being audited. So, evaluating conformity is limited to what can be judged through interviews and electronic records. Auditors do not see poor housekeeping at the site or observe body language during interviews.
Records: If an organization creates electronic records and scans hardcopy records into electronic format, these records are available for remote access by the auditor. However, some companies may have a significant number of completed forms that are kept as hardcopy records. Even if the auditor requests some of these hardcopy records be scanned for the audit, the auditor would not be actually selecting the sampled records.
Interviews: In many traditional audits, the employee being interviewed can be reluctant to have their answers recorded electronically. As a result, an auditor will write an abbreviated version of the comments in the audit notes.
In the case of the remote audit I conducted from Dayton of an organization in Brazil, we used a telephone to speak to each other and electronic transmission of records. The conversation was not recorded. I captured the responses in my notes, as with a traditional audit. However, I wasn’t able to observe the body language during the interview. Even if a video feed had been available, what could have been gained through observation would have been limited.
Auditor Competence
The auditors must have the necessary competence to carry out an e-Audit. They will need time allocated to familiarize themselves with the electronic management system and collaboration tool. The auditors must be given the access instructions and security clearances needed to view the relevant documents and records. And, the auditors must be reminded of the need to protect the confidentiality of the electronic data during and after the audit (Client property!).
Third Party Audits
What about the use of e-Audits by certification bodies? Will the duration of third-party surveillance audits be reduced by, or in some cases be replaced by, remote audits? Let's look at what the ANAB accrediting body has to say on the subject:
ANAB Advisory 1
The ANSI-ASQ National Accreditation Board (ANAB) has issued an Advisory that states it supports a certification body (CB) applying the Advanced Surveillance and Reassessment Procedures (ASRP) and Computer-Assisted Audit Techniques (CAAT) described in the International Accreditation Forum (IAF) guidance documents.The Advisory explains that the application of ASRP and/or CAAT will vary for each CB and for each client depending upon the capabilities of the CB and client; therefore, each application must be reviewed and approved by the Accreditation Committee of the Accreditation Council.
1. The CB must document its proposed ASRP or CAAT audit program for the client, consistent with the applicable IAF guidance.
2. The CB must document how the audit program varies because of ASRP or CAAT (i.e., how it varies from an audit program for the same client without ASRP or CAAT).
3. The proposal must be reviewed and accepted by the ANAB executive assessment team leader prior to its submission to an Accreditation Committee of the Accreditation Council.
4. The CB and its client must make a presentation to the Accreditation Committee at a face-to face meeting or by electronic means explaining the program and answering any questions.
5. Immediately following the presentation, the CB and its client will be dismissed, and the Accreditation Committee will make its decision, which may or may not include conditions, to accept or reject the ASRP and/or CAAT program for the CB's client.
The decision and any conditions will be promptly communicated to the CB. The ASRP and/or CAAT process must not be used for any industry sector program unless the industry group has specifically stated it may be used for its program.
So, ANAB supports e-Auditing, but certification bodies have a detailed process to follow to gain approval for its use.
We can see what the International Accreditation Forum (IAF) says on the subject.
IAF GD2:2005
According to the IAF guidance document GD2:2005, if remote auditing techniques such as interactive web-based collaboration, web meetings, teleconferences and/or electronic verification of the organization's processes are used to interface with the organization, these activities should be identified in the assessment plan and may be considered as partially contributing to the total on-site auditor time.
If the certification body (CB) prepares an audit plan for which the remote auditing activities represent more than 30% of the planned on-site auditor time, the CB must justify the audit plan and obtain specific approval from their accreditation body prior to its implementation.
On-site auditor time refers to the on-site auditor time allocated for individual sites. Electronic audits of remote sites are considered to be remote audits, even if the electronic audit is physically carried out on the organization's premises. Regardless of the remote auditing techniques used, the organization must be physically visited at least annually.
Is an eAudit in your company’s future? Absolutely! However, there is still a lot of planning and thought that must go into the implementation of eAudits to ensure their effectiveness.
Labels: Audits, internal auditing, iso, Outsourced ISO Auditing, quality auditing
posted by IQC @ 5:18 PM
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