QAP Straight Talk

Remote Audits— Adapting to the Times

NMEDA DIRECTOR OF QUALITY ASSURANCE & COMPLIANCE

Four years ago, we began

looking into remote auditing as a viable method for validating

dealer compliance to QAP. Looking back at that decision, boy was it was a good thing we did. There were a lot of ‘kinks’ to work out. A lot of testing to identify best methods. A lot of writing and re-writing of procedures and processes. A lot of trial-and-error. But I am proud to say, at this time, we have a remote audit process that is working, and nicely at that. I don’t think any of us could have predicted the situation we find ourselves in today. But, being able to pivot from primarily on-site audits to remote audits is paying dividends for us now as travel is not advised, social distancing is a must, and a dealer’s availability to host audits is at a premium. Frankly, I don’t know what shape we would currently be in if not for the ability to conduct QAP audits remotely.

So, what is a remote audit? A remote audit is one carried out with the auditor in a location away from the dealer’s physical location. Traditionally, and until now, all dealer QAP audits have been conducted in-person. Whereas remote audits are conducted using audio-video conferencing software with the auditor sharing a computer screen with the dealer over an internet connection. And, in case you’re by Chuck Hardy

reading this now and wondering if have brought us to this point. Why in-person audits are going away, shouldn’t we leverage these tools the answer is ‘no’. In-person audits and technological advances? I think will always be a part of QAP we would be foolish if we didn’t try auditing and will still be conducted and see if we could still provide a moving forward. In-person audits comprehensive, robust audit that lived are especially useful for initial up to the high standards of QAP. And accreditation audits where facility that’s what we did. visual inspection is mandatory. But The big question for NMEDA remote auditing will be one of the regarding remote auditing was, “Is it primary methods for auditing in possible to audit a dealer remotely the future as far as I can tell. It’s not and have the same integrity and just our industry, many industries thoroughness as an on-site audit?” I have adopted some form of remote can tell you without naming names auditing and it continues to grow that we had our share of sceptics. as an audit methodology of choice But there was only one way to find around the globe. out—we had to try it. So, in May 2015, The big question for NMEDA regarding remote auditing was, ‘Is it possible to audit a dealer remotely and have the same integrity and “

thoroughness as an on-site audit?’ ”

The strength of a remote auditing is efficiency through technology. Ten years ago, I don’t think we would have considered remote auditing for our dealers as not many people were using the technology we have today. Smart device availability, audiovideo and conferencing apps such as Facetime, Skype, and GoToMeeting, and then the enormous increases we have seen in internet speeds a remote audit task force was formed. The primary objective of the task force was to identify the hardware, software, and methods that would be required to conduct the audit, and to layout an audit process that would work for all dealers. Then finally, to run a pilot.

The first remote audit pilot was conducted at the Sidewinder facility in Chilliwack, British Columbia. We

learned a lot from that experience. Not only that they served some good burgers at the local joint in town, and that Graham had some really nice classic cars, but we found out that some things worked well, while others did not. For example, the need to have a solid internet connection, the importance of both parties using the same communication tools, and being able to share documents and images, were some of the challenges that we faced and later evaluated. Over time, and through a meticulous process of trial and error, we resolved all the issues we encountered during the first pilot.

Jump forward to today’s remote audits. We use GoToMeeting webbased conferencing software and cell or land-line phones for verbal communication. The GoToMeeting interface can share documents in real time with the dealer, make screen annotations when something needs to be pointed out, and pass the screen over to the dealer if there is anything they need to share with the auditor. We’ve come a long way and there are still improvements that we can make. We know that, and these will be realized and improved over time as we continue to exercise the system and process. Many of you have already experienced your first remote audit. As of June 25, 2020, we have completed 147 remote audits, that’s over a third of our dealers. But for everyone who has not yet experienced one, let’s walk through what the remote audit process will look like to you.

First is the scheduling call with the auditor to lock down the date. Then there will be a request from the auditor to send in documents to complete your audit as the audit is conducted in two parts. These are documents taken from customer files of completed jobs, your quality manual, insurance information and training records for the installers performing the work and lastly, the calibration records for the measuring and test equipment used to complete the installs. The most efficient way to send the files is through an email with scanned images, although some dealers have uploaded the documents to cloud drives and sent the auditor a link which works just as well. After the auditor has the requested documents, they will review them. Then the fun starts. You will receive a GoToMeeting invitation link in an email from the auditor.

You click on this link on the day of the audit and join a video conference with the auditor. Typically, you will use a phone to call into the meeting using the number provided by GoToMeeting. We have found that phones work better than voice over internet (in other words, using your computer’s microphone). The rest of the audit

QAP STRAIGHT TALK (continued)

is conducted through GoToMeeting interface. The auditor will share the results of the initial document review and then proceed to conduct the rest of the audit by interview. You will be able to see exactly what the auditor is referencing on your computer screen and ask any questions throughout.

If there are any areas of improvement or findings that take place during the audit it will be discussed and documented in real time. The auditor will share every detail and ask for your concurrence before moving on to the next item. Finally, the audit will conclude with a summary of results and you will be requested to sign off on a copy of the report to send back to the auditor. That’s it! Simple, painless, and effective.

In conclusion, remote auditing is here to stay. While during the pandemic we are relying solely on remote audits, our plans for the future are to conduct audits on an alternating cycle between on-site and remote audits in a three-year pattern (onsite-remoteremote) then repeat. Remote audits are identical to on-site audits as far as the process goes. The only difference

is the physical location of the auditor who is conducting the audit.

With that, thank you for taking the time to learn more about remote audits and I hope you have a great experience when you are called upon to have your first. When you’re done, if there is something you feel that is not up to par, please let me know. We always want to seek ways to improve and continuously adapt to the times and provide our members with an audit experience that has value.