IAQG OASIS Troubleshooting Wizard
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Question: How are multi-site assessment results added in OASIS?

Response: Click on Certificate/Assessment Add, then ... New Certificate/Assessment then... Initial or Recert (as applicable, then ... search for supplier/select, then... search for supplier again/select, continue until all sites are selected.

Question: How are multiple auditors entered for a multi-site audit in which some are achieving authentication after the audit start date but during the audits overall timeframe?

Response: OASIS is designed to validate auditor authentication dates vs. the audit start date. The lead-auditor is the auditor of record that, at a minimum, must be entered into OASIS. This auditor's authentication must be achieved prior to the audit start date. It is the CB's responsibility to identify all audit team members in the audit report and to ensure that all audit team members are authenticated prior to their involvement in the audit.

Question: Why is the Assessment Result Summary included in OASIS when completion of it is not required in 9101D?

Response: 9101D requires uploading of various Appendices (A-G) individually in accordance with applicable audit phases. In addition, OASIS asks for completion of an Assessment Result Summary (ARS) to provide a single location from which stakeholders can view an overall synopsis of the activity. (To facilitate the process, note that when completing the ARS subsequent to re-certification or surveillance audits, previously-entered data can be auto-filled, after which edits can be made as applicable.)

Question: I was trying to update our first AS9100C registration in OASIS and I noticed the sections to be completed are still the same as the AS9100B.

Response: When upgrading to AS9100C from AS9100B during a surveillance or recertification audit:
  • In the Application Section, click on Certificate/Assessment Add.
  • Click New Certificate/Assessment
  • Click Recertification or Surveillance radial button. THEN CLICK SELECT.
  • Search/find proper existing certificate
  • (If Surveillance audit, then click Edit Certification Info button)
  • At Certificate/Assessment Detail screen, use the drop down arrow to select the appropriate standard (e.g. AS9100C). THEN CLICK SELECT.

This should set up the screen properly to accept AS9100C audit results including applicable Appendix reports. Note that the Assessment Result Summary is still applicable; however the Assessment Scoring section has been removed for AS9100C applications.

Question: 9101D does not include assessment scoring. Why, then is the Assessment Results Summary (ARS) still used in OASIS for assessments that are conducted in accordance with 91xx:2009?

Response: The Assessment Results Summary (ARS) in OASIS is a summary document only - it does not include a scoring mechanism when used in conjunction with a 91xx:2009 assessment.

Question: Since 9101D did not incorporate the Assessment Results Summary (ARS) that was in 9101C, why is completion of it still required in OASIS?

Response: While the ARS is not included in 9101D, it is used in OASIS to aggregate summary data in conjunction with the ICOP oversight process (ref. 9104/2 Clause 4.5b). Note, however, that the scoring mechanism used in conjunction with 9101C assessments has been removed.

Question: If transition to 91xx:2009 was completed during the 91xx:2000 surveillance cycle, must the transition documentation include a Stage 1 Audit Report (9101D Appendix F)?

Response: 91xx:2009 transition audit activities, whether conducted in conjunction with the surveillance or recertification cycles, may need to include a Stage 1 audit (ref. 9101D Clause 4.1.1 and ISO/IEC 17021:2006 Clause 9.4.1.3). When this is the case, completion of a Stage 1 Audit Report is required (ref. 9101D Clause 4.3.2.4).

Question: (1) Is the Assessment Results Summary (ARS) in OASIS current and applicable for use with 9120A? (2) Why is the ARS information not reflected in 9101D or vice versa?

Response: (1) 9101D replaced previously-existing versions of some documents including AS9121. The ARS included in OASIS is applicable for use, however, with 9120A. During the Certificate Add function, select the assessed standard (e.g. 9120A) by clicking on the dropdown arrow. Then, click the Select button. This will reveal the proper ARS version. (2) The ARS is a summary document only. While it not included in 9101D, it is used in OASIS to aggregate summary data in conjunction with the ICOP oversight process (ref. 9104/2 Clause 4.5b).

Question: For a single assessment, if the lead auditor for a Stage 2 audit is different than the one for the Stage 1 audit, how is this reflected in OASIS?

Response: While not a requirement, it has been the intent of 9101 that each assessment (initial, surveillance and recertification) utilize a single lead auditor. Accordingly, OASIS does not provide for separate for Stage 1 and Stage 2 audit inputs, but checks to see if the (single) lead auditor is authenticated prior to the audit start date. Considering this, two options are available for documenting cases in which an assessment utilizes different lead auditors for Stage 1 and Stage 2 audits:

Option 1) Enter the Stage 1 audit start date and lead auditor in OASIS and document the Stage 2 lead auditor change in the audit report.

Option 2) Enter the Stage 2 audit start date and lead auditor in OASIS and document the Stage 1 start date, lead auditor and change notation in the audit report.

Question: If I have a question about the intent of an IAQG standard such as 9101D, etc., should I raise that question via OASIS?

Response: In accordance with IAQG Procedure 103, questions that relate to the intent of an IAQG standard should be addressed via the IDR/SDR process. To initiate this process, the requestor should submit the question in writing to their applicable sector document representative (SDR). SDR's are shown in the IAQG Standards Register which is located at the IAQG website.

Question: What is the process for publishing audit data in OASIS if NCR's from that audit will not be closed until a later date? Should the results be published and then later modified using the Assessment Modify function upon NCR closure?

Response: 9101D shows that resolving and verifying NCR closure is required prior to making a decision regarding sustaining or re-certification.
Considering that audits containing unclosed NCR's are still open, corresponding results entered into OASIS would be incomplete. There currently is no provision in OASIS for publishing partial or incomplete audits. Thus, NCR's should be closed prior to publishing assessment results in OASIS. The exception to this is in cases where an additional on-site visit was necessary to close the NCR. In those cases, the assessment can be entered and then modified upon NCR closure to reflect the results of the additional visit. Other than that, the Assessment Modify function should only be used to correct typing errors or incorrect data entries.

Question: If a certified supplier transfers from one Certification Body to another during the certification cycle, should the first CB "withdraw" their certificate?

Response: Certificates should only be modified to "Withdrawn" status when the supplier no longer fulfills AQMS requirements. There is therefore no reason to withdraw a supplier's certificate simply because that supplier transfers from one Certification Body to another. In such a case, the first CB would simply allow their certificate to expire. OASIS will reflect the "latest certificate" published which, once the transfer has been completed, would be the one issued by the second CB.

Question: Considering that 9104-001, Clause 12.8a says that "Each campus shall have a single OIN and address established", why is it necessary for each site within the campus certificate structure to have its own OIN in OASIS?

Response: There is a difference between 9104-001 and the functionality of OASIS as a database. Every entity in OASIS has an identification number (OIN) as the key relational database reference. So OASIS sets up all site locations with an OIN. That fulfils the relational database requirement. But when a CB publishes the Campus certificate in OASIS, only one OIN is publicly visible in the Certified Supplier Directory. That fulfils the 9104-001 requirement. When looking at the publicly displayed information in the Campus 'Supplier(s) on Certificate' section, the various work locations of the other work locations are shown, but the non-Central Office OIN's are not. That structure mirrors the requirement for the CB to list all work locations on the certificate. Thus, the OASIS OIN structure supports database functionality as-well-as the requirements of 9104-001.