1. Company Confidential Registration Management Committee 1 AS9104/1 Certification Structures - Client and CB Agreement July 17, 2014 Tim Lee Chair - IAQG OPMT The Boeing Company

2. RMC Workshop 16 – 17 July 2014 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 –Certification Structure Oversight Committee (CSOC) reviews 2

3. 3 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. AS9104/1 Criteria 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. 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. RMC Workshop 16 – 17 July 2014

4. 4 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

5. 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

6. 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 Cert Structures

7. AS9104/1 Annex B Eligibility Criteria for each structure 7

8. 8 Focus on Structure Eligibility Note: An organization must meet ALL criteria. Single Site AS9104/1 - Annex B – Single Site

9. 9 Focus on Structure Eligibility Multiple SiteCampusCommon Criteria AS9104/1 - Annex B - Multiple Site, Campus, Several Sites Several Sites

10. 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 AS9104/1 Records

11. 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. Page 11 Example Diagram

12. 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. Page 12 Example Diagram

13. 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

14. 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 Page 14 Example Diagram

15. Several Sites Example: ‒ 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. Page 15 Example Diagram

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 Page 16 Example Diagram

17. Certification Structure Oversight Committee (CSOC) The CSOC has been established to support the review of complex certification structures and review of certification structure complaints Page 17 http://www.sae.org/iaqg/organization/csoc.htm CSOC website contains: Operating procedure Guidance Material Application Link to FAQ’s

18. Please make it simple! Page 18

19. 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

20. 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

21. AS9104/1 Certification Structures - Simple Guide For organisations with more than one site there are some common features to all of the certification structures: –The organization collects and analyses data from all sites, including but not limited to the listed items below. –The central office is able to demonstrate its authority and ability to initiate organisational change, as required, in regard to: »system documentation; »system changes; »management review; »complaints; »evaluation of corrective actions; »internal audit planning and evaluation of the associated audit results; and »legal requirements. Page 21

22. 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 22

23. 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 23

24. 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 24

25. 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 Page 25

26. 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 26

27. 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 27

28. 28 FAQ’s Review the AS9104/1 FAQ Log:

29. 29 Lessons Learned AS9104/1 and Certification Structure Oversight Committee (CSOC) FAQs can be accessed via the IAQG website. Links: –AS9104/1 FAQAS9104/1 FAQ –CSOC FAQCSOC 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 ResolutionsIAQG OPMT Resolutions

30. 30 THAT WAS: