Guiding document or resource to process AS9100 audit findings

[Trishmag]

Trying to check NSF, OASIS, SAE etc and there isn't any info on how to process audit finding for recertification or annual survey audit. What is the timeline and actions of the whole process? Do we need to submit responses withing 30 days with CAPA? What happens if submitted responses are rejected by auditor? Is there any timeline to close the findings?

 

[Michael_M]

If I understand the question, you are asking how to process certification after the audit findings are submitted? It has been a while but if memory servers me, it took about 1 month as the audit has to be reviewed by someone else and approved. I believe this should have been discussed during the closing meeting?

 

[Trishmag]

If I understand the question, you are asking how to process certification after the audit findings are submitted? It has been a while but if memory servers me, it took about 1 month as the audit has to be reviewed by someone else and approved. I believe this should have been discussed during the closing meeting?

I updated the post. I am looking for steps to follow to close the findings. Is there any timeline? What happens if responses submitted are rejected by auditor, does that consider as part of the response cycle to close the findings?

 

[John Predmore]

Your OASIS representative should find the Nonconformity Report under the recent audit. The NCR(s) will tell what nonconformity(s) the auditor identified. The first question is whether containment is called for. If yes, there is a due date for that. In Section 2 there is a response due date. The corrections you enter have a planned and actual completion date fields and Corrective Actions have planned and actual dates. Don't forget the Cause Code, which one of 16 preset codes. Generally, they will want you to upload some Objective Evidence of the correction(s) once completed. If you modified some procedure to rev 4, then the evidence is rev 4 of the procedure. If you did a training, then a training record is objective evidence. If a finding was recorded as a Major Nonconformity, there is a higher degree of follow-up, which might involve a return visit by the auditor. In OASIS you should also find a copy of the Closing Meeting presentation (once it is uploaded) and that is another place to look for instructions. Good luck.

 

[Trishmag]

Your OASIS representative should find the Nonconformity Report under the recent audit. The NCR(s) will tell what nonconformity(s) the auditor identified. The first question is whether containment is called for. If yes, there is a due date for that. In Section 2 there is a response due date. The corrections you enter have a planned and actual completion date fields and Corrective Actions have planned and actual dates. Don't forget the Cause Code, which one of 16 preset codes. Generally, they will want you to upload some Objective Evidence of the correction(s) once completed. If you modified some procedure to rev 4, then the evidence is rev 4 of the procedure. If you did a training, then a training record is objective evidence. If a finding was recorded as a Major Nonconformity, there is a higher degree of follow-up, which might involve a return visit by the auditor. In OASIS you should also find a copy of the Closing Meeting presentation (once it is uploaded) and that is another place to look for instructions. Good luck.

Ok, thank you. Why this info isn't listed anywhere to use OASIS tool? I don't see anything even on NSF site - processing findings or appealing findings/nonconformities? Or am I looking at wrong places? New sites who go through certification need help on the process itself. Your inputs helped me to sail through I guess !

 

[Sidney Vianna]

If the Lead Auditor is not providing guidance to the registrant about responses and actions deadlines, OASIS tools, next steps, etc., s/he is NOT doing their job and the CB must be informed.

There is a LOT of HELP material from the IAQG OASIS. Check, for example, http://oasishelp.iaqg.org/wp-conten...G-NCR-Management-Process-V4.pdf?1683671295449

 

[LincolnQA]

@Trishmag, during the closing meeting, timelines should have been addressed. Having just gone through our Stage 2 certification audit in Feb, it was explained to me that you have up to 30 days to correct the discrepancy and another 30 days to identify your root cause along with your corrective action to prevent recurrence. I struggled with these timelines as it appeared my Lead Auditor and second Auditor were overtasked with other audits and to get responses from them was struggle. But, if you develop a good rapport with the auditor(s) they are more than open to you reaching out after hours to get things moving and approved. As Sidney said above, IAQG OASIS has a lot of helpful info.

 

[Randy]

@Trishmag, during the closing meeting, timelines should have been addressed. Having just gone through our Stage 2 certification audit in Feb, it was explained to me that you have up to 30 days to correct the discrepancy and another 30 days to identify your root cause along with your corrective action to prevent recurrence. I struggled with these timelines as it appeared my Lead Auditor and second Auditor were overtasked with other audits and to get responses from them was struggle. But, if you develop a good rapport with the auditor(s) they are more than open to you reaching out after hours to get things moving and approved. As Sidney said above, IAQG OASIS has a lot of helpful info.

Too bad, sorry. With us it's an automated process, we have a "Portal" you post your stuff on there, we get an email message and have a specific # of days to do the response or it triggers all kinds of stuff. One problem I've seen over the years is that after "official hours" nothing happens with a lot of auditors. Many, like myself, will be in our hotel room, TV on in the background, a cup of Earl Grey w/Orio or Chocolate chip cookies, typing away, working until time to crash (normally midnight or so @ up at 6am. Pretty much my schedule for 20 years now.).

 

[Sidney Vianna]

@Trishmag According to this document (page 16), the following applies to your concern.

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