How to Conduct a Remote Audit: 5 Best Practices

Quality management is an important aspect of many regulated industries, and one essential component of quality management is the auditing process. Today, however, the traditional onsite audit is more frequently being replaced by a remote audit, sometimes referred to as a “virtual” audit.

In this scenario, audit evidence is collected and assessed by auditors just as it would be in a traditional onsite audit, although the work is conducted via email, phone calls, and with the help of remote technologies such as videoconferencing software and cloud-based content and data management systems.

The auditing landscape is evolving

The Covid-19 pandemic played a large role in this shift to remote auditing. Just a few years ago, a disruption of that magnitude would have meant most audits were put on hold. However, the proliferation of remote technology tools has made remote auditing a feasible solution to maintaining operational continuity during these challenging times.

It also looks like the shift from traditional onsite auditing to remote auditing is here to stay even though the pandemic is over. Like a hybrid work schedule in which employees come into the office just two or three days a week, remote auditing is here to stay for many companies.

Pros and cons of remote audits

While remote audits must necessarily follow the same standards and requirements of traditional onsite audits, the virtual nature of this type of auditing does present challenges, both technical and procedural—but there are also some concrete benefits. The pros and cons of remote audits include:

Pros of remote audits

More efficient. Time saved commuting to the audit site can be put to better use by the auditor, such as reviewing documentation or writing more thorough audit reports.
More cost-effective. Remote audits remove the need for costly travel, meals, and lodging for auditors, which normally add significant project costs.
Better auditor engagement. Conducting audits remotely helps reduce “audit burnout,” a common problem for auditors who must often spend several days onsite.

Cons of remote audits

Highly dependent on technical tools. Technical hurdles (e.g., network connection issues, problems with access to databases or other systems) can slow the process.
Lack of personal connection. Direct interaction with the auditee is lost, and the auditor is not present at the physical audit site, both of which can sometimes affect the effectiveness of the audit process.
Not always possible. Remote audits are not always possible or feasible, depending upon the circumstances.

Best practices for remote audits

To ensure your remote audit proceeds smoothly and efficiently, be sure to follow these best practices before and during the auditing process:

1. Build a foundation for success

Before your remote audit begins, make sure you have the right technology tools and processes in place:

Standardize on a high-quality collaboration platform in order to conduct effective virtual meetings throughout the audit.
Ensure you have a secure, high-bandwidth internet connection, which is critical for the safe transfer of large digital files.
Make sure a well-trained support team is in place before the audit, including an IT support team to troubleshoot any technical issues.
Implement a modern content and data management system to serve as a centralized location for documents. A cloud-based solution is ideal for remote auditing, as it allows auditors in different locations to collaborate effectively in real time from wherever they are working.

2. Allow time for a pre-audit overview

Before auditing formally begins, it’s beneficial to allow the auditors to do a general high-level review of the information. This provides them with a “big picture” view of the scope of documents and materials to be audited. This also helps to flag issues with access or other problems before auditing begins in earnest.

3. Be sure the team is comfortable with the tools they will use

Allow members of the auditing team time to practice using the technology that will be employed during the audit. Even something as seemingly straightforward as the videoconferencing solution can cause confusion and hinder communication if users don’t understand the basics: how to join meetings, mute themselves, ask questions, etc.

4. Develop a document review plan

Make sure you have a clear plan in place for what documents auditors will need access to, which systems will be used to share these documents, and how you will ensure they are shared securely. Are there some documents commonly asked for by auditors that can be shared ahead of time? Determine if, in some cases, you can show auditors direct data from training or quality event records so they are able to see the end-to-end process rather than reviewing static records, of which there could be several different versions.

5. Anticipate requests to review non-digital documents

One challenge during a remote audit is when an auditor requests a look at documents that are not maintained electronically. Be sure you have a contingency plan in place for this scenario, which can involve an onsite individual outfitted with a headset so they can communicate with the auditor in real time, allowing them to search for and speak to the documents the auditor is requesting. In addition, this person should have the ability to scan documents quickly and share them digitally with the auditor in a secure content management system.