SOCOTEC Certification Philippines, Inc

Remote / Virtual Audit Checklist

In relation to the issued SCPI Remote Audit Guidelines, below are the check items in conducting remote / virtual audit
of SCPI.

Part I: Client Information

Name of organization : ______________________________________________________________________

Address
List of sites to be audited
(specify location):
Certification standard(s)
Type of audit
: ______________________________________________________________________
:
______________________________________________________________________
: ______________________________________________________________________
: ______________________________________________________________________

Part II: Remote Audit Check Items:

Item Detail and Description Remarks

Planning: Client Communication 1. A common meeting invitation (auditees and

1. Received copy of Audit Notification and
confirmation of audit date.
2. Received copy of Audit Plan.
3. Received copy of accomplished form F401.
Confirm ICT infrastructure and application to be used and
available at client site:
Priority:
(1) MS Teams
(2) Skype for Business / Enterprise
(3) Others Please Specify: _________________
auditors) for the opening meeting and closing
meeting should be created by the client.
2. Individual meeting invitation per auditee and
auditor should be created for the individual audit
after the opening meeting.
3. Client should compartmentalize focal persons for
the audit, minimize overlap of auditee to avoid
delay.

Preparation: Advance request for necessary Maintained / Available Documented Information:

documented Information ☐ Scope and Boundaries
☐ Policy
1. Necessary documented information may be ☐ Duties and Responsibilities
requested before the audit for auditors’ review. ☐ Legal and Other Requirements
This will help during actual remote audit and may ☐ Objectives and targets
eliminate / minimized delay and have a more ☐ Others required
productive audit hour. Sample documented
Procedures related to:
information that may be requested include
☐ Processes and Service Realization
mandatory requirement of the standards but not
☐ Emergency Situations (EMS and OH&S)
limited to - see remarks portion:
☐ Methods and criteria of OH&S Risk Identification
☐ Continual Improvement

SCP Remote / Virtual Audit Checklist 01/05/2020 1/3

Note 1: May apply to different standard – ISO 9001; ISO
14001: ISO 45001, etc as applicable
Note 2: For records and documents that will be provided
during the audit, “Screen Sharing” feature of MS Teams /
Skype, may be used. If application does not support this,
other methods should be performed like:
a. Scanning and sending of the requested record thru
email or other platform/s.
Please make sure that resources for scanning
are available and will not cause significant
delay in the audit. If possible, prepare multiple
scanners if most records are hard copy and
scanning is client’s chosen method of presenting
evidences remotely.
Note 3: Client should review company file sharing
guidelines so as to enable easy file sharing.
Actual Conduct of Remote Audit
1. This shall follow the standard procedure of audit
utilizing web-based streaming and meeting tool
applications and technology.
Methodology of remote audit covers:
▪ (People) Interview of related personnel / top
management / functional managers, etc
▪ (Paper) Review of document information as
sampled and provided.
▪ (Practice) Live video sharing of identified areas
such as production / service site, internal / external
offices, perimeter and grounds, as stipulated in the
audit plan and requested by the auditor
Note: If live video is not applicable, pre-recorded video of
the identified area or site may be provided, making sure it
is at least taken a day before the audit. The auditor will
have the final decision if the video is acceptable, if not, live
shot of the area should be performed.
Issuance of Report / Findings and Response
1. Final report and findings shall be discussed and
provided to clients.
Note: If the final report cannot be provided, the finalized
“Findings Matrix” should be provided to client. Final report
should be provided within the defined timeline (ie: 10
calendar days after the audit).
SCP Remote / Virtual Audit Checklist 01/05/2020
Records related to:
☐ Context / Issues of the organization
☐ Identified risk and opportunities and controls
☐ Identified objectives and result / accomplishment
☐ Record of production (product / service realization
☐ Monitoring, measurement, analysis and evaluation
records of products / services
☐ Permits and Licenses (Legal Requirement
Compliance)
☐ Record of personnel competency and awareness
☐ Supplier Control (Selection and evaluation result)
☐ Maintenance and Calibration
☐ Internal audit activities (Audit Program, Findings and
Actions, Auditor Competency)
☐ Management Review Meeting Minutes
☐ Continual Improvements
☐ Others as requested
Normal activities include:
▪ Conduct of opening meeting
▪ Performing document review while conducting the
audit
▪ Communicating during the audit
▪ Assigning roles and responsibilities of guides and
observers
▪ Collecting and verifying information
▪ Generating audit findings
▪ Preparing audit conclusions
▪ Conduct closing meeting
1. Response to CAR shall follow the defined
timeline (ie: 30 days response to NCs, as
discussed by the auditor and defined in SCPI’s
procedure)
2. Once approved, normal process of Global
Review and recommendation for certification
/recertification or continued certification will be
issued to client.
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CONFIDENTIALITY
SCPI is responsible for ensuring that secrecy is maintained by its employees and its agents, concerning all confidential
information with which they may be acquainted as a result of their contacts with the company. Where information is

required to be disclosed to a third party, either by law or in maintenance of certification (eg: Accreditation Bodies), the
client shall be informed of the information provided as permitted by the law.

References (latest issuance):

▪ IAF MD4 - IAF Mandatory Document for the use of Information and Communication Technology (ICT) for
Auditing/Assessment Purposes
▪ IAF MD5 - Determination of Audit Time of Quality, Environmental, and Occupational Health & Safety
Management Systems
▪ SOCOTEC Guidelines for Conducting Remote Audits during COVID-19 Epidemic#2

Prepared by:

Allan CARANDANG
Operations Manager

Reviewed by:

Quinie Anne AGUINALDO-HIGGIN

Global Reviewer

Approved by:

Gilmore RIVERA
Operations Director

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