We in Australia like the rest of the world in helping “to stop the spread” of COVID-19. Australia like many other governments have imposed various measures to flatten the curve. This means that our auditors have been restricted from visiting customer premises to conduct audits in some circumstances.
We at Sustainable Certification (SC) are here to help our customers maintain their certification validity so that they can continue to partake in jobs that may require them to be certified.
Before a planning a remote audit consideration should be given to the following:
Initial and Recertification Audits:
Avoid conducting initial & recertification audits by remote audit techniques. However, where this does occur, we shall document the planning and execution of the audit and demonstrate how we have safeguarded the integrity and robustness of the outcome.
Surveillance Audits
On-site surveillance audits may be replaced by remote audit techniques in accordance with IAF ID3:2011. Where required – however reasons must be documented and appropriate remote planning must take place and be agreed to by both parties in advance.
Verification of Corrective Actions
Provided the auditor can ensure the effectiveness of its procedures, we may use alternate audit techniques to verify and close non-conformances.
Where an open non-conformity cannot be effectively evaluated by remote audit technique then we shall evaluate the risks to continued certification and act accordingly. This may lead to escalating the non-conformity to suspension of certification, or extending the time to enable evaluation of the non-conformity (e.g. site audit once possible).
Where an open non-conformity is evaluated and it cannot be closed, the usual processes concerning non-conformity management prevail
Consequently, Sustainable Certification™ has implemented JAS-ANZ accredited processes to conduct remote audits using Information and Communications technology (ICT). Of course, these audits cannot replace the real onsite audits but are being carried out during these extraordinary circumstances. Some of the platforms our auditors have successfully used include Zoom, Skype, WhatsApp, Facetime etc. We don’t have any preference to any as long as both the auditors and customers agree on a set of tools. It is important to note it may still be necessary as soon as practicable for a site visit to confirm the findings during the remote audits.
These ICT audits may be synchronous or asynchronous by customers submitting evidences by email or other transfer methods, we acknowledge that the information is confidential in nature and will be used only in the course of the audit. It will not be used for any other purposes and auditors will destroy or remove your information from their possessions.
We have put in place many measures to ensure the current audit schedule is maintained so that certificates are current. However, we also understand that not every customer is in a position to participate in a remote audit. In such circumstances, we may be able to extend the audits by a few months. In order for this to happen, you must apply to SC for special consideration and meet the criteria for approval. If approved, we will require as a minimum the following documentary evidence upfront:
- Agenda & Minutes from Management Review meetings.
- Agenda& minutes/reports from Internal audits, clearly demonstrating with evidences of implementation.
- Updatedrisk register (including legal, regulatory recruitments) and appropriate risk treatment Plans.
We will also require 50% of audit agreed fees to be paid upfront prior to extending certificate dates. Our auditors will look at the documents provided and determine if an extension can be approved.
Once a decision is finalised we will communicate with you. We can only extend to a maximum period of 6 months and if we are unable to conduct the audit, we will have to restart the certification process starting with a stage 1 audit.
Like all other businesses impacted, we are hopeful this will be over soon as we will all be able to resume normality and carry on the business as usual.
Once a decision is finalisedwe will communicate to you. We can only extend to a maximum period of 6 months and if we are unable to conduct the audit, we will have to restart the certification process starting with a stage 1 audit.
Be safe and stay healthy.
Please see below updated process for audits:
| Document Review Audits ( Stage 1 Assessment) | Document Review audits will be completed remotely using the applicable document sharing process.
Document communication is encouraged to be via the SC portal which all clients are given access to and instruction on how to upload. Your audit plans will include details on what documents you will be required to upload prior to the audit and have available during the audit. The audit plan will also indicate individuals who will be required for video interview – please ensure all appropriate personnel also have access to the agreed video conferencing technology and are aware to be available for the time indicated in the plan. |
| Certification Audit ( Stage 2 Assessment) | Following successful completion of stage 1 audits, and based on SC’s review of organisation scope and risks a decision will be made whether an organisation qualifies for a remote stage 2 audit. Stage 2 Certification Audit may require the following ( not limited to) :
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| Surveillance Audits | With regards to surveillance assessments, the auditor and the client can mutually agree to conduct the audit via remote auditing technique.
Your audit plans will include details on what documents you will be required to upload prior to the audit and have available during the audit. The audit plan will also indicate individuals who will be required for video interview – please ensure all appropriate personnel have access to the agreed video conferencing technology and are aware to be available for the time indicated in the plan. |
| Recertification/ Triennial Audits | Re-Certification Audits will be conducted as due also using the remote audit technique.
Audit may require the following ( not limited to) :
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