PODCAST TRANSCRIPT:

We’ve been hearing from R2 facilities and certification bodies throughout 2021, asking the same questions- how do we navigate the auditing logistical issues? We hear you, and an answer is Remote Transition Audits.

So what are remote transition audits, how can a facility qualify for one, and what do they need to do? That’s the topic of this episode of Ask The R2 Guru. I’m Roger Greive, from SERI – Champions of Electronics Sustainability.

Let’s begin with what a remote audit is. Very simply, it’s where an auditor does not physically visit your facility but instead, uses video links, uploaded documents and other electronic communications to conduct their audit. There are some major differences between a remote R2v3 audit and an onsite audit.  A remote audit has two major elements. The first element is like a traditional onsite audit, where the auditor interacts with people at the facility but in a remote audit, uses video or audio links. For the second element, the auditor works offline reviewing the documents and records that have been uploaded by the facility. And because the auditor is working offline when they review the evidence that’s been uploaded, this allows the audit to be conducted in several segments over a period of time. These segments are suited to each audit process individually. For R2 facilities that have had only on-site audits, this might take some getting used to because a remote audit is not on a continuous schedule starting in the morning and running through end of day for a few days in a row.

With the onset of the pandemic in early 2020, SERI began working with the certification bodies to develop a process for conducting remote surveillance audits at R2 facilities. We realized early on that for facilities new to R2, an auditor had to actually physically walk through a facility, so first time remote audits were not allowed. And until this new remote audit process was thoroughly tested, trialed and refined, it was not permitted for the longer recertification audits either. But now, with two years of experience in managing remote audits, we’ve announced that remote transition audits to the R2v3 standard will be allowed. There are a number of conditions and requirements that must be met, and we’ll get into those in a few minutes, but for the most part this is an advantage for R2 facilities that do qualify. It removes some logistical barriers to audits and makes audit scheduling much more flexible. And because there are no travel costs for the auditor, a remote transition audit will probably reduce your audit costs.

So with this option available, your next logical question is probably, “Can this work for my facility?” Let’s begin answering that with the basic conditions your facility needs to meet. First, your facility needs to have had no significant changes in your organization or operations since your last audit. Next, you’ll need to work with your Certification Body to determine if a stand-alone R2v3 transition audit works with your overall audit schedule. These remote transition audits are not integrated with management system audits. You’ll also need to determine whether your facility has sufficient communications technology and resources to enable an auditor to have remote video access to all parts of your facility, indoors and out, and the ability to interview selected employees, at their workstations if needed.  Once again, work with your CB to see if the remote transition audit process can work for your facility. SERI has made the remote transition audit option available, but the decision on whether you qualify is up to your certification body alone.

If you do qualify, the preparation for a remote transition audit is largely the same as the process for an R2v3 onsite audit. These are things such as completing an internal audit, a compliance audit, and a data security audit, and closure of any nonconformities found in those audits.

There are six primary activities involved in a remote audit. I just talked about the first one which is working with your certification body to see if you qualify for one. If you do, the second step is to gather all the necessary documentation and records that you need for this audit and to upload them to a secure online document sharing application for use by your certification body. We have a checklist available in the Guidance Knowledge base to help you with this.

After that, your auditor will verify that all the essential information is available for them to review, and they will schedule an opening meeting to start the audit. They will also do a virtual tour of your site and your operations.

The fourth step is for the auditor to begin the document and records review process. This is done offline and it’s likely that you will not be in constant contact with the auditor during this part of the audit. This review process allows the auditor to determine what audit trails they wish to follow and what operations they wish to inspect during the following step.

During the fifth step, the auditor conducts interviews with workers and follows up with any other questions they may have about your operations, documentation or records.

The final step is a virtual closing meeting where you will have a chance to review the audit findings and specifically any nonconformances that have been identified during the audit.

If you’re a regular listener to this podcast series you’ve heard me say this before — there are helpful resources on remote transition audits in the R2 Guidance and Knowledge Base. If you search for remote transition audit, you’ll find a checklist that takes you through every step of the process including pre audit preparations, determining the scope of your operations, establishing the proper technical connections for the remote audit, and finally a comprehensive list of the documentation you will need to upload. You’ll also find a question and answer sheet and the full text of SERI Advisory 24 that covers the remote transition audit process in detail.

Once again, these remote transition audits are not appropriate for all facilities and in all situations but if you do qualify, a remote audit offers some flexibility in your transition process to the R2V3 standard.

As always, I hope you’ve enjoyed this episode of Ask The R2 Guru and found it helpful. Thanks to Sean DeVries, Sarah Kim and Jeff Seibert for their assistance in producing this podcast series. If you have any questions or comments or want to suggest a topic for a future podcast, please use the contact us form on the SERI website. You’ll find that at SustainableElectronics.org.