Registration Management Committee
AS9104/1
Certification Structures
July 22, 2015
Tim Lee
Chair - IAQG OPMT
The Boeing Company1
RMC Workshop July 22-23, 2015
Company Confidential
Registration Management Committee
Objectives
• To review the certification structures defined
within AS9104/1
– Focus on eligibility criteria
• CB & Client responsibilities
• Lessons learned
– FAQ’s
– IDR/SDR Feedback
• Adding value
RMC Workshop July 22-23, 2015
2
AS9104/1 Criteria
3.11 Certification Structure
• A term utilized to describe how the certification activities of
an aviation, space, and defense organization will be structured
and managed by the contracted CB.
8.1.1 Certification Structure Eligibility Criteria
• CBs shall assess the client’s certification structure, site
locations, and value streams.
• Both CB and client shall agree upon the type of
certification structure.
8.1.3 Certification Structure Review and Determination
• The CB shall maintain documented evidence of the review and
determination of all certification structures, including the
audit duration calculation.
RMC Workshop 16 – 17 July 2014
3
AS9104/1 Definitions
• To understand the structures more fully we need
to understand some terms from AS9104/1:
– Value Stream
(clause 3.27)
» An end-to-end business process which delivers a product or
service to a customer. The process steps along the way may
both use and produce intermediate goods, services and
information to achieve the end product or service.
– Organisation
(clause 3.22)
» Any legal entity or defined part of a legal entity owning a
single quality management system that is subject to an ICOP
audit and certification process
– Central Office (also referred to as Central Function)
(clause 3.8)
» The organisation location/activity that controls the ‘common’
quality management system for the organisation under a
single AQMS standard certificate.
RMC Workshop 16 – 17 July 2014
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AS9104/1 Cert Structures
• Certification Structures are defined in clause
3.11 of AS9104/1:
• They reflect the unique organisational
structures that exist in our industry today
• They can be any one of the following:
‒
‒
‒
‒
‒
Single Site
Multiple Site - has two sub categories Category 1 and
Category 2
Campus
Several Sites
Complex
Page 5
AS9104/1 Cert Structures
• CB and client to select and agree on the conforming
structure type
• To assess and select the correct certification structure
the CB needs to examine the clients:
‒ Site (see 3.25) location(s)
»
A permanent location where an organisation carries
out work or a service
‒ Value stream(s) (see 3.27)
»
An end-to-end business process which delivers a
product or service to a customer.
»
The process steps along the way may both use and
produce intermediate goods, services and information
to achieve the end product or service.
• Clients should review customer expectations
– OASIS linkage
Page 6
AS9104/1 Annex B
Eligibility Criteria for each structure
Type of
Certification
Description:
Single Site
 An organization that
operates at one site.
Multiple Site
 An organization having an
identified central function and a
network of sites at which
activities are fully or partially
carried out.
Campus
 An organization having an
identified central function and
a decentralized, sequential,
linked product realization
process.
 All sites must be doing
substantially the same
manufacturing and/or value
added process.
Eligibility
Criteria:
NOTE:
An organization
must meet ALL
criteria.
 Stand-alone
self-supporting
organization with no
value stream
dependencies from
related companies
operating under the
same QMS.
 One address.
Several Sites
 An organization having an
identified central function and
a network of sites that do not
meet the criteria for a multiple
site or campus organization.
 Several sites are listed on the
same certificate.
Complex Organization
 An organization having an
identified central function and
a network of locations that are
any combination of multiple
site, campus, several sites, or
more than one campus.
 All sites shall have a legal or
contractual link with the central
office.
 All sites shall have a legal or
contractual link with the
central office.
 All sites shall have a legal or
contractual link with the
central office.
 All sites shall have a legal or
contractual link with the
central office.
 One QMS with central control,
management review and
internal audit.
 One QMS with central
control, management review
and internal audit.
 One QMS with central
control, management review
and internal audit.
 One QMS with central control,
management review, and
internal audit.
 Central office can require other
sites implement corrective
action.
 Central office can require
other sites implement
corrective action.
 Central office can require
other sites implement
corrective action.
 Central office can require
other sites implement
corrective action.
 Central collection and analysis
of data and ability to initiate
organizational change.
 Central collection and
analysis of data and ability to
initiate organizational
change.
 Central collection and
analysis of data and ability to
initiate organizational change.
 Central collection and
analysis of data and ability to
initiate organizational change.
 Processes at each of the
sites is not substantially
similar (i.e., <80% similar).
 Overall structure contains
combinations of multiple site,
campus several sites or more
than one campus.
 Complies with IAF MD 1,
“Multi-site Organization”
definition and eligibility
requirements.
 All QMS processes at all sites
have to be substantially (i.e.,
>80%) the same and are
operated to the same methods
and procedures.
 Some sites may conduct fewer
processes than others.
 Sampling per IAF MD 1 will be
allowed for 9120 certifications.
 One address per site.
 The outputs from one site
are an input to another site to
realize the final product or
service. A single value
stream.
 Can be dissimilar processes
at different sites or
combination of the sites that
contribute to the same
overall product or service
being realized.
 More than one product or
service may be realized
providing they are
substantially (i.e., >80%) the
same (e.g., a family of
products) and realized
through the same methods
and procedures.
 Processes may be operated
to the same or different
methods and procedures that
are controlled through one
common management
system.
 Sites realize different
products or services.
 One address per site.
 Requires IAQG OPMT
approval of rationale,
justification, audit day
calculations, audit program,
and sampling plan (for 9120,
multiple site or campus).
 One address per site and
campus.
 One address per campus.
Audit Day
Calculations:
Initial Audit:
Surveillance:
 9104/1 Table 2 using
total number of
employees.
 9104/1 Table 2 using the
number of employees from
each site.
 No reductions allowed
unless applying ASRP or
CAAT.
 No reductions allowed unless
applying ASRP as part of
Category 2 or CAAT.
 Additions allowed.
 Additions allowed.
 9104/1 Table 2 using the
total number of employee
from all sites added together
as a starting point.
 Required 10% addition to
support communication and
other aspects of audit of a
campus.
 9104/1 Table 2 using the total
number of employees from
each site as a starting point.
 30 % maximum reduction
allowed at each site for
reduced scope complexity
(reference Table 4).
 Any combination of campus,
multiple sites, and/or several
sites. Can include more than
one campus.
 Calculate using requirements
for each type of entity within
the organization using 9104/1
Table 2.
 No reductions allowed unless
applying ASRP or CAAT.
 No other reductions allowed
unless applying ASRP or
CAAT.
 Other additions allowed.
 Additions allowed.
 All sites audited with audit
duration as defined above.
 All sites audited.
 All sites audited using 9104/1
Table 2 for surveillance
(based upon 1/3 of initial
audit duration). Up to 30%
maximum reduction per site
 Dependent on combination.
 One site with audit
duration as defined
above.
 All sites audited with audit
duration as defined above.
 All sites audited.
 Annual surveillance
using 9104/1 Table 2
(based upon 1/3 of initial
audit duration).
 Refer to 9104/1 table 3 for
frequency and table 2 for audit
day calculations.
 All sites audited using 9104/1
Table 2 for surveillance
(based upon 1/3 of initial
audit duration) plus minimum
10% addition.
 CB to allocate total time
between all sites to achieve
an effective audit.
 Requires IAQG OPMT
approval.
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Focus on Structure Eligibility
AS9104/1 - Annex B – Single Site
Single Site
Note: An organization must meet ALL criteria.
8
Focus on Structure Eligibility
AS9104/1 - Annex B - Multiple Site, Campus, Several Sites
Multiple Site
Campus
Common Criteria
Several Sites
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AS9104/1 Records
• CB to retain records of the review and
structure determination
• Must be more than just the AS9104/1 Audit
Calc Tool printout
– Evidence of the review and determination of all
certification structures (8.1.3).
• A defined certification structure will:
‒ Assist CBs with the development of a robust
and conforming audit program, and
‒ Provide industry with visibility of the
structure within the OASIS database.
Page 10
Single Site
• An organisation having one location.
• The organisation may be organised under one large
building or several buildings at one location.
• The organisation may have one or multiple products or
product families flowing though one or multiple
processes.
Example Diagram
Page 11
Multiple Site
• Example:
‒
‒
‒
‒
‒
‒
An organisation has two sites, A and B.
They make two product families X and Y.
Product family X is made the same way using the same
processes on both sites A and B.
Product family Y is only made on site A.
This organisation makes to customer specification.
The central function is located on site A.
Example Diagram
Page 12
Multiple Site
• Explanation:
‒
Site B conducts the same but fewer processes than site A
making the same product X. In this way the organisation is
eligible for a multiple site approach.
Page 13
Campus
• Example:
‒ The organisation has four sites
‒ Four buildings on site A, four buildings on site B and
one building on each site C and D.
‒ The organisation has multiple products and product
families that all flow through substantially (>=80%)
similar processes and methods i.e. one value stream
Example Diagram
Page 14
AS9104/1 Definitions
Let’s discuss Value Stream:
• Value Stream (clause 3.27)
• An end-to-end business process which delivers a
product or service to a customer. The process steps
along the way may both use and produce
intermediate goods, services and information to
achieve the end product or service.
• Why is it important?
• The previous example was a single value Stream?
• The following is an example of an organization with
multiple value streams.
• Look Familiar?
• What is this structure?
RMC Workshop 16 – 17 July 2014
15
Several Sites
Value Stream
• Example:
Stream 1
Site A
Customer
Orders
Product X
Customer
Related
Process
Design
Purchasing
Product
Realization
Product X
delivered to
Customers
Central
Function
Site A
Stream 2
Site B
Customer
Orders
Product Y
Customer
Related
Process
Design
Purchasing
Product
Realization
Stream 3
Site C
Customer
Orders
Product Z
Customer
Related
Process
Purchasing
Product Y
delivered to
Customers
Product
Realization
Product Z
delivered to
Customers
‒ This organisation has three essentially different sites
with three mainly different sets of processes and
methods.
‒ The organisation does not qualify for multiple site
because of the different processes and does not
qualify for campus as products in the value stream do
not flow from one site to another.
Example Diagram
Page 16
Complex
• An organisation having an identified central function
(the central office, but not necessarily the headquarters
of the organization) at which certain activities are
planned, controlled, or managed
• A network of locations that are any combination of
multiple site, campus, several sites, or more than one
campus
Example Diagram
Page 17
Please make it simple!
Page 18
AS9104/1 Certification Structures
- Simple Guide
• If it’s one site (one location) it’s a Single Site
structure!
– From AS9104/1 FAQ’s
» A site may have one or more addresses depending on the
nature of the site.
» There may be multiple buildings and addresses on a single
site or more than one address in single building.
» There is no relationship between site and distance.
» A single site may be small or large.
» Normally a single site is contiguous were it not for natural
or man-made features e.g. roads, rivers, canals, railroads,
that may happen to cross the site or multiple businesses in
the same building.
» Where another feature such as a building, location or site
owned or operated by another entity separates the work
locations the separated locations would not be considered a
single site.
Page 19
AS9104/1 Certification Structures
- Simple Guide
• For organisations with more than one site there are some
common features to all of the certification structures:
– All sites have a legal, organisational, or contractual
link with the central office of the organisation and
– Are subject to a common management system, which
is laid down, established, and subject to continuous
surveillance;
– The organisation’s management system is centrally
controlled and is subject to a common management
review;
– All sites are subject to the organisation’s internal audit
program, controlled by the central office;
– The central office has the authority to require that the
site(s) implement corrective action, as needed; and
Page 20
AS9104/1 Certification Structures
- Simple Guide
• The Central Office (or Central Function):
– Within AS9104/1 the Central Office has a specific
meaning:
» the organisation location/activity that controls the
‘common’ quality management system for the
organisation under a single AQMS standard certificate.
– It is not any of the following(although could be the
same site):
» The Headquarters of the organisation
» The location of centralised processes such as;
• Design
• Purchasing
• Manufacturing or Production Engineering
• Human Resources
Page 21
AS9104/1 Certification Structures
- Simple Guide
• Spotting a ‘Multiple Site’ Structure:
– All quality management system processes at all sites
have to be substantially (i.e., >80 %) the same and are
operated to the same methods and procedures.
– Some sites may conduct fewer processes than others.
– One address per site
Page 22
AS9104/1 Certification Structures –
Simple Guide
• Spotting a ‘Campus’ Structure:
– The outputs from one site are an input to another site
to realise the final product or service; a single value
stream.
– Can be dissimilar processes at different sites or
combination of sites that contribute to the same
overall product or service.
– More than one product or service may be realised
provided they are substantially (i.e., >80 %) the
same (e.g., a family of products) and realised through
the same methods and procedures.
Page 23
AS9104/1 Certification Structures
- Simple Guide
• Spotting a ‘Several Sites’ Structure:
– Processes at each of the sites are not substantially
similar (i.e., <80 % similar).
– Processes may be operated to the same or
different methods and procedures that are
controlled through one common quality
management system.
– Sites realise different products or services.
– One address per site
Value Stream
Stream 1
Site A
Customer
Orders
Product X
Customer
Related
Process
Design
Purchasing
Product
Realization
Product X
delivered to
Customers
Central
Function
Site A
Stream 2
Site B
Customer
Orders
Product Y
Customer
Related
Process
Design
Purchasing
Product
Realization
Stream 3
Site C
Customer
Orders
Product Z
Customer
Related
Process
Purchasing
Product Y
delivered to
Customers
Product
Realization
Product Z
delivered to
Customers
Page 24
AS9104/1 Certification Structures
- Simple Guide
• Spotting a ‘Complex’ Structure:
– Overall structure contains combinations of multiple
sites, campus (can be more than one campus), or
several sites.
– Requires IAQG OPMT approval of rationale,
justification, audit duration calculations, audit
program, and sampling plan (for 9120, multiple
site, or campus).
– One address per site and per campus.
Page 25
AS9104/1 Certification Structures
- Simple Guide
• In ALL cases:
– CBs shall assess the client’s certification
structure, site locations, and value streams.
» If in doubt, draw them out!
– Both the CB and client to agree upon the type of
certification structure
» Do not forget the Customer
– The CB shall maintain documented evidence of
the review and determination of all certification
structures, including the audit duration
calculation.
» This does not mean a tick box
» Nor does it mean ‘because the last auditor said so’
» Requires documentation of why the clients fits each
criteria with an explanation or evidence
Page 26
FAQ’s
• Review the AS9104/1 FAQ Log:
27
Lessons Learned
• AS9104/1 and Certification Structure Oversight
Committee (CSOC) FAQs can be accessed via the
IAQG website.
• Links:
– AS9104/1 FAQ
– CSOC FAQ
• The IAQG IDR/SDR process can be used to obtain
clarification on the intent of the standard
– Access via OASIS feedback function
– Questions asked are used to generate FAQs
• The OPMT also issues Resolutions when specific
clarification is needed for any one of the AS9104
series of standards. (Refs: AS9104/1, Section 4.16)
– Link: IAQG OPMT Resolutions
28
Registration Management Committee
Adding Value
• The correct certification structure provides customers
with a better understanding and awareness as to how
a certified organization (Supplier) functions.
– Customers need accurate site by site scope
statements and awareness of the site
dependencies.
» Supports development of value added customer
product/process surveillance plans
» Improves supplier selection process
• Incorrect structures may drive up
certification costs for CB clients
– Special Audits
– Increased audit duration at next surveillance
RMC Workshop July 22-23, 2015
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THAT WAS:
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