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This training session will cover miscellaneous topics of interest to auditors, including RMS client help, outcomes matter, audit plan updates, audit program requirements, consultant guidelines, authentication renewal, and OASIS forms.
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PRI Registrar Quarterly Auditor Training August 24, 2018
Introduction • According to the recent auditor survey, which we reviewed at the on-site training in April, the auditors overwhelmingly preferred pre-recorded trainings that could be reviewed on their own schedules. • Based on this feedback, this is our first attempt at a training in this format. • Please let us know if this format is an improvement.
Format • Another item of feedback from the survey was a frequent request for more technical interpretations as part of the quarterly trainings. • To that end, we request that you submit to us any areas that you feel require clarification. • We will endeavor to acquire or create clarity. • For the current training, we will be covering a few miscellaneous topics of interest.
RMS Client Help • PRI Registrar has developed a set of RMS user guides for clients. Topics include: • Completing the application and quotation • General functionality • ISO/EMS audits • Aerospace audits • These guides are available through the RMS Help tab (Help -> RMS Client Guides). • Please be sure to mention these to clients who may be having trouble in using RMS.
Outcomes Matter • We have long discussed during the opening meeting of each audit the IAF communique for QMS Outcomes Matter, regarding third-party certification. • As of this year, IAF has come out with a new Outcomes Matter for EMS. • We are pleased to share that both are available to the client via their RMS Help Tab. Please be sure to refer them there to reference the communiques. • The opening meeting guidelines have been updated to include a reminder of this information. Please refer to the Auditor Help tab in RMS for an updated copy of the RF-20.
Audit Plan • When RMS was first implemented, functionality was included to allow the audit plan to be entered directly into the system. • Based on both an ANAB finding, as well as several internal findings, it was determined the RMS audit plan did not fulfill all ISO/IEC 17021-1 requirements. This was resolved by reintroducing the RF-12 audit plan form for use in all standards. • However, some auditors continue to utilize the RMS audit planning tool, and in some cases, blend it with the RF-12 form. • Please immediately cease use of the RMS audit planning tool. • A modification to the system is in progress to remove this functionality from RMS, but in the meantime, please do not use it. • Until the modification is completed, auditors must still click the “Submit” button on the Planning page of the audit in RMS (ISO/EMS only).
Audit Program • During PRI’s 2017 ANAB Office Audit, an NCR was written against the fact that the audit program was not, in all cases, being completed by the auditors at Stage 2 or Recertification audits. • The audit program is located on the Site Audit Program page in RMS (for ISO and EMS) and on the RF-117 for Aerospace, and refers to the three-year plan for the selection of the client’s processes to be audited. • This plan must be completed for the full three years at the start of each certification cycle; the program may be revised as necessary, but there must be a plan. • Expert reviewers will begin to reject incomplete plans.
Consultants • It’s become obvious to us this year that many of our clients have relied on consultants. • In some cases, the consultants may even be the Quality Manager or Management Rep. • PRI still holds to the interpretation that these consultants can be treated as client employees as long as the auditor can see proof of their inclusion as an employee on the company org chart. • If they’re not on the org chart, they should be considered observers on the audit plan, and should not participate directly with the auditor during the audit.
Authentication Renewal • Please be mindful of any upcoming renewals of your auditor authentication certificates; waiting until the last minute to renew can create havoc for Scheduling, and potential postponement of the audit. • This is particularly severe for Aerospace, as OASIS will not permit the office from assigning an auditor to an audit set to occur after the auditor’s expiration. • Any delays in renewing will result in delays getting audits prepared in OASIS.
OASIS Forms • We have been receiving feedback from Account Specialists, who have noticed that some auditors are neglecting to import the audit location(s) in OASIS before submitting NCRs. • Please be sure to import this information, as OASIS will not prevent you from submitting without it.
Supporting Information • We recently distributed Auditor Advisory 107, regarding use of the “All Audit Users & Audit Package Download” checkbox in the Supporting Information tab of OASIS. • As a reminder, this box is never to be checked. • Please ensure that the “CB Audit Entry Admin” and “CB Technical Review” boxes are always checked, to allow the office to see any communications or uploads.
Conclusion • Thank for your time and attention. We hope that you have found this format to be an improvement. • Please complete the acknowledgement form of your receipt and review at this link. • Please have this done no later than September 15, 2018. • If you have any questions, please don’t hesitate to contact Sam Brock or Pete Kucan.
