Pre remote audit presentation

Subtitle
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A. DOCUMENT ADMINISTRATION
Providing guidelines for remote audit document standard on; document creation, accepted file
format, naming convention, and file/folder sharing arrangement
B. NONCONFORMITY (NCR) & AUDITOR RECOMMENDATION
Providing guidelines on closing non-conformity/minor finding, and recommendation follow up,
submitted at the previous audit
C. REMOTE COMMUNICATION INFRASTRUCTURE
Determination of minimum communication information technology standard required for
the execution of remote audit regarding;
 Hardware, Network, Software, and Digital Platform requirement
 Audit environment and contingency plan
D. TRIAL & SIMULATION
To adapt with audit method subject to conference-room, and virtual site premises
PREPARATION, TRIAL & SIMULATION OBJECTIVES
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1. FILE CREATION
 MICROSOFT OFFICE: WORD, EXCELL, POWERPOINT
 PC PDF PRINTER
 SCANNER
 MOBILE CAMERA SCANNER
2. FILE FORMAT
 EXTERNAL DOCUMENT : PDF ONLY
 INTERNAL DOCUMENT : DOCX, XLSX, PDF, PPTX, PPSX, JPG,
AVI, MPEG
A. DOCUMENT ADMINISTRATION
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3. FILENAME/GROUPING
 DOCUMENTS CLASSIFICATION
 BASIC REQUIREMENT (PERSYARATAN DASAR)
 OTHER LEGAL AND PERMITS (DOKUMEN LEGAL DAN PERIJINAN LAINNYA)
 MANAGEMENT DOCUMENTS (DOKUMEN MANAJEMEN)
 FILE NAME SHALL INCLUDE NUMBER AND CONTENT
 MULTI PAGE RECORD SHOULD BE COMBINED IN SINGLE FILE
DOCUMENT ADMINISTRATION
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FOR SECURITY REASON ALL FILES SHALL BE ENCRYPTED AND STORED IN
CLOUD DRIVE BY THE AUDITOR
DOCUMENT ADMINISTRATION
ALL RECORDS/DOCUMENT SHALL BE SHARED/SENT BY THE AUDITEE TO THE
AUDITOR AT LEAST 3 DAYS BEFORE SCHEDULED REMOTE AUDIT
4. FILE SHARING
 GOOGLE CLOUD DRIVE
 EMAIL SERVICE
 WHATSAPP DOCUMENT ATTACHMENT
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B. NONCONFORMITY & RECOMMENDATIONS
1. NONCONFORMITY SETTLEMENT
 CLARIFICATION OF ISSUES, MINOR
NONCONFORMANCES
 CORRECTIVE ACTIONS
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Audit Recommendation and Opportunity for Improvement Sheet shall be filled by the auditee. To
ensure the effectiveness of audit result, information under each column should consist as follow;
Analysis of causes of the issue (i.e. lack of supervision, unaware ..etc.), Measure or corrective
action is taken (i.e. training, repaired..etc.), Status of the issue (i.e. done, on progress, decline..etc),
PIC, and other consideration shall be noted accordingly
NONCONFORMITY & RECOMMENDATIONS
2. RECOMMENDATION FOLLOW UP
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NONCONFORMITY REPORT (NCR) AND RECOMMENDATION FOLLOW-UP
SHALL BE SENT TO THE AUDITOR AT LEAST 3 DAYS BEFORE SCHEDULED
REMOTE AUDIT
NONCONFORMITY & RECOMMENDATIONS
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1. HARDWARE REQUIREMENT
 PC/LAPTOP
 ANDROID MOBILE CELLPHONE (version 5.0 or above) & HANDSFREE
 POWER BANKS
2. NETWORK REQUIREMENT/INTERNET
 UPLOAD BANDWIDTH : 2.0 Mbps (minimum)
 DOWNLOAD BANDWIDTH : 2.0 Mbps (minimum)
 CONTINEOUS AND STABLE CONNECTIONS
C. REMOTE COMMUNICATION INFRASTUCTURE
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3. DIGITAL PLATFORM & SOFTWARE
 ZOOM MEETING – HOSTED BY LSUP ENHAII MANDIRI 186 (REGISTERED ZOOM
SOFTWARE WITH UNLIMITED DURATION)
 WHATSAPP – VIDEO CALL
 QUICKSHOT, LIGHTSHOT – IMAGE CAPTURING
 SMS TEXTING
 CONVENTIONAL VOICE CELLPHONE CALL
REMOTE COMMUNICATION INFRASTUCTURE
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4. ENVIRONMENT (Best effort practices)
 APPOINTED GUIDE SHOULD HAVE ADEQUATE I.T. LITERACY AND PRESENT DURING
WHOLE REMOTE AUDIT PROSESS
 AVAILABILITY OF AUDITEE I.T. SUPPORT ASSISTANCE
 MAINTAINING QUIET ENVIRONMENT TO AVOID INTERFERANCE AND BACKGROUND
NOISE
5. CONTIGENCY PLAN
ALTERNATE TO SMS TEXTING OR CONVENTIONAL VOICE CELLPHONE CALL
• WIFI NETWORK FAILURE
• MOBILE NETWORK FAILURE
• ELECTRICAL POWER SHUT DOWN
REMOTE COMMUNICATION INFRASTUCTURE
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1. METHOD
 CONFERENCE ROOM
DESIGNATED FOR: PRESENTATION, INTERVIEW, DOCUMENT REVIEW,
CORRECTIVE ACTIONS, COMPUTER SYSTEM
 VIRTUAL SITE BUILDING PREMISES
DESIGNATED FOR: PRODUCT INSPECTIONS, PROCESS AUDIT,
DEMONSTRATION, OBSERVATIONS, VIRTUAL
SITE INTERVIEW
 BREAKOUT ROOMS
DESIGNATED FOR: 2 OR MORE AUDITOR SIMULTANEOUSLY CONDUCTING THE
AUDIT
2. AUDIT SIMULATION SUBJECT
THE AUDIT ON COVID-19 PROTOCOLS ; DOCUMENTATION AND
D. TRIAL & SIMULATION
hn/xx 20-07

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