[Auditor's Voice] Overcoming Difficulties to Successfully Complete Remote Audit Tasks with High Quality

Since March this year, the epidemic has continuously broken out in different regions across the country. For our certification industry, this is also a test. Enterprises need to maintain their certificates continuously, but our auditors cannot conduct on-site audits at the enterprises! The company, based on the actual situation, has formulated relevant policies for remote audits: low-risk projects implement online remote audits, and high-risk projects implement online remote audits initially, supplemented by on-site audits within three months.

Since then, from late March, most of our auditors have been assigned remote audit tasks (generally for enterprises in other regions). This not only meets customer requirements (certificate maintenance) but also completes the certificate surveillance audit within the stipulated time. For the audit team, communication is the biggest issue in remote audits. Today, I take this opportunity on the public account to talk about how we implement remote audits:

1. First, upon receiving the audit task, coordinate with the relevant contact person of the enterprise, notify the company of the audit date, and clarify that due to the epidemic, this audit will be conducted remotely. However, no part of the audit process is reduced. Before the audit, seek the enterprise's opinion. The communication channel during the audit uses WeChat video or Tencent Meeting, trying to adopt the opinions of all parties involved. A WeChat group will also be established, requiring the contact person to add relevant personnel to the group. Department heads who join the group must modify their group name (department + name) for auditors to identify department leaders. Finally, send the audit plan to the enterprise and notify all department personnel to attend on time!

2. During the first meeting, emphasize again that the remote audit process is no less than the on-site audit, and the requirements will be higher than on-site audits. For the audit site, video communication will be conducted, screenshots taken, and audit evidence extracted. At the same time, follow the on-site audit requirements for the first meeting process;

3. During the audit implementation, different auditors strictly follow company requirements: proactively add the head of the audited department as a WeChat friend for video communication and retain corresponding evidence (video and WeChat chat screenshots). It is emphasized that acceptance of the audit is mandatory; it is not enough for just one person or one department to understand, requiring full participation. Recent audits have seen audited units actively cooperate with the audit team, answering every question in detail. The biggest problem with remote audits is communication. When the audited unit does not understand the materials required by the audit team, our auditors patiently explain repeatedly in a way that enterprise personnel can understand until they fully comprehend. Meanwhile, evidence (WeChat chat screenshots) is kept in our audit records;

4. The final meeting must be conducted strictly according to the planned time, reinforcing the audited party's correct impression of the audit process. In the final meeting, the audit situation is communicated according to the normal process, affirming the good points of the audited party during the audit and pointing out deficiencies. Let the enterprise feel that remote audits are not much different from on-site audits, only the communication method is different.

The above is the implementation process of remote audits by me as an auditor during the recent epidemic period.

Overall, remote audits differ from on-site audits mainly in our sensory perception of the audited party and face-to-face interaction. I hope the epidemic will end soon, reducing remote audits, allowing audit arrangements to return to normal, and strengthening and cherishing face-to-face interactive communication with enterprises during on-site audits!

Auditor: Wang Zeyun