The past year has been a strange one, personally and professionally. I’ve been a 3rd party auditor for 16 years now but 2020/21 has been full of new experiences, both good and bad.
When the UK government announced a national lockdown, the first thing I did was ring my client as I had an audit due the following Monday. He was as surprised as I was. What do we do? How will this affect the certificate? Will IATF come out with some communication? Questions galore but no instant answers.
To be fair, the IATF did come out with a myriad of FAQs and directives and allowed Certification Bodies to postpone audits. In effect we closed down for 3 months.
My first audit when we ‘reopened’ was onsite and very strange. The client was not allowed to offer drinks or meals (Corporate directive !!). As well as the usual temperature checks and social distancing, it was very tough auditing using the mask. It can be extremely hot and suffocating in clean room environments. Imagine wearing an overcoat, a cap, overshoes and a mask, and trying to ask questions!!
With the facial expression hidden behind a mask, the auditees felt a bit more wary – especially for the new clients who had never seen me before. Difficult at first, it’s a lot easier now. I had a few very scary times during my onsite audits, especially when my auditees were subsequently tested positive. Scarier still was the few days waiting for your Covid test results.
Thankfully in Q3 2020, the IATF allowed remote auditing. What a relief! I ordered a big screen monitor, rejigged my desk to allow my standing or sitting down and away we went.
Remote auditing is defined as conducting the audit in real time using audio & video equipment. As part of the IATF audit preparation, the auditor and the auditee have to do a ‘trial run’ to test out the video/audio usage. The trial run should pick up on dead spots where the wifi/data connection doesn’t work, or even areas where sounds might not get picked up.
Initially it was quite difficult and exhausting – trying to listen and analyse the information, for a typical 8-hour day was not easy. We needed to have frequent breaks, for the auditee as well as the auditor. My eyesight must have deteriorated across this year – all the staring at the screen!
The success of the audits depends on the preparedness of the client in ensuring that the video links are working well, especially during manufacturing. The office-based areas are pretty non complicated as in the past few years’ organisations have started using online records and software for most processes, e.g. Production scheduling, stock control, sales.
The positive point was that I didn’t have to drive across the country for each audit – both for the environment and for my physical health. And that the auditees could see me without the mask and understand my facial expressions. Communications is verbal and non-verbal, correct?
I am now very familiar and at ease with the remote auditing (via video) format now. It feels like you are directing a movie – left a bit more, yes please zoom in, stop now – why are these products not labelled?
After 6 months of remote auditing, I think it has its place as part of IATF and ISO audit. Should it replace the onsite audit? – In my opinion, no! Can it complement the onsite audit – definitely!
But I went back onsite last week, my heart sang. To walk back into a factory, see associates and machine operations in full flow was an absolute joy. To be able to apply some of what I had learned as an auditor over the lockdown months, was an added bonus for me and I hope the client too.
My learning and opinions for Remote Audits :
Positives :
- The audits can still go ahead despite the pandemic or any other situation arising
- Remote audit teams can be from various locations. This ensures that lack of local auditors does not stop an audit.
- Audits become better focused as there is a discipline in ensuring the right people are online at the right time.
- The office-based areas are more easily audited as these processes routinely utilise online systems and records. An onsite audit would be done in a similar fashion
- Reduction of long travelling time for auditors and the associated costs involved
Negatives :
- Some areas are still best served by onsite audit e.g. Manufacturing and to a certain extent engineering. In areas such as stockyards, paint shop, stamping it can be difficult for the auditee to speak to the auditor and use ear protectors at the same time.
- It is difficult to interview personnel on the shopfloor without individual microphones – this can be costly as well as disruptive to the audit
- The essential personal interaction between the audit team and the auditees is missing
- Whilst auditing is often focused on records and interviews, it is incomplete without consideration of operational and environmental surroundings. What is the general ambiance like? What do the notice boards, floors, cleanliness tell you? To deliver a good and valuable audit you need to consider the “full picture”, a vital point lacking during a remote audit
- Physically and mentally exhausting to be staring at a screen, processing data/trail for 8 hours. I get terrible neck and shoulder strain after the audits.
What would ensure an effective remote audit:
- A good video link and good organisation between client and auditor, prior to the audit.
- Organisations should do their own trial run using the proposed video technology. Also testing of backup technology.
- Take breaks throughout the day
- Auditors need a bigger screen/monitor and if possible, use a combination of standing & sitting down.
- Preparation, preparation, preparation
Nevertheless! The whole set of experiences has been a great learning curve and I truly believe that the clients can now expect audits which are better prepared, better value, more efficient and more enjoyable.
Here are my key “take-aways”:
- Incorporate remote on-line audits as a normal feature of on-site audits, perhaps for functions such as sales, marketing, scheduling and other office based processes which are easily audited using remote audit methods.
- Build relationships through Pre-audit Planning between auditor and client to agree and prepare for those areas of business suitable for remote on-line audit.
- Reduce travel to remote support locations, but I do recommend that at least once every 3 years is an on-site audit.
- Auditor-client relationships are very important to performance, value, trust and time management. Outside of the audit schedule, hold regular on-line catch-up calls to ensure certification is proceeding well.
Happy Auditing !