1、_ SAE Technical Standards Board Rules provide that: “This report is published by SAE to advance the state of technical and engineering sciences. The use of this report is entirely voluntary, and its applicability and suitability for any particular use, including any patent infringement arising there
2、from, is the sole responsibility of the user.” SAE reviews each technical report at least every five years at which time it may be reaffirmed, revised, or cancelled. SAE invites your written comments and suggestions. Copyright 2009 SAE International All rights reserved. No part of this publication m
3、ay be reproduced, stored in a retrieval system or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of SAE. TO PLACE A DOCUMENT ORDER: Tel: 877-606-7323 (inside USA and Canada) Tel: +1 724-776-4970 (outside U
4、SA) Fax: 724-776-0790 Email: CustomerServicesae.org SAE WEB ADDRESS: http:/www.sae.org SAE values your input. To provide feedback on this Technical Report, please visit http:/www.sae.org/technical/standards/AS9016 AEROSPACE STANDARD AS9016 Issued 2009-06 Aerospace Series Notice of Change (NOC) Requi
5、rements RATIONALE This standard was created to define the process requirements and data expectations for the submission of proposed changes in design information that requires concurrent approval of the design authority when the design authority is different from the design activity. This standard p
6、rovides for the organizational requirements, definitions, and data submission, including suggested data descriptions and format (paper or electronic submission). This standard was created to provide for the uniform submittal of change notifications and/or approval when contractually invoked at any l
7、evel or as guidance within the aviation, space, and defense industries. This standard can be invoked as a stand-alone requirement or used in conjunction with AS/EN/JISQ series standards (i.e., 9100, 9110, and 9120). FOREWORD To assure customer satisfaction, aerospace industry organizations must prod
8、uce and continually improve safe, reliable products that meet or exceed customer and regulatory authority requirements. The globalization of the aerospace industry and the resulting diversity of regional/national requirements and expectations has complicated this objective. End-product organizations
9、 face the challenge of assuring the quality and integration of product purchased from suppliers throughout the world and at all levels within the supply chain. Aerospace suppliers and processors face the challenge of delivering product to multiple customers having varying quality expectations and re
10、quirements. The aerospace industry established the International Aerospace Quality Group (IAQG) for the purpose of achieving significant improvements in quality and safety, and reductions in cost throughout the value stream. This organization includes representation from aerospace companies in the A
11、mericas, Asia/Pacific, and Europe. This document standardizes requirements for Notice of Change (NOC) data definition and documentation for the aviation, space, and defense industries. The establishment of common requirements for use at all levels of the supply-chain is intended to improve quality,
12、safety, and decrease costs by the elimination or reduction of organization-unique requirements and the resultant variation inherent in these multiple expectations. SAE AS9016 Page 2 of 27 TABLE OF CONTENTS 1. SCOPE 3 1.1 General . 3 1.2 Application . 3 2. APPLICABLE DOCUMENTS 4 2.1 SAE Publications
13、. 4 2.2 ANSI Publications . 4 2.3 EIA Publications 4 2.4 ISO Publications 4 3. TERMS AND DEFINITIONS . 4 3.1 Baseline Configuration 4 3.2 Change Evaluator . 5 3.3 Deliverable 5 3.4 Design Activities 5 3.5 Design Authority 5 3.6 End Item 5 3.7 Key Characteristics . 5 3.8 Mandatory . 5 3.9 Optional .
14、5 3.10 Product 5 3.11 Source Control Drawing (SOCD) 5 3.12 Special Process 5 4. CONFIGURATION CHANGE DEFINITIONS . 6 4.1 Changes to Baseline Configurations 6 4.2 Change Types . 9 4.2.1 Changes that Require Customer Acceptance Prior to Implementation 9 4.2.2 Changes that May Require Acceptance Prior
15、to Implementation . 9 4.2.3 Changes Implemented Concurrent with Notification for Customer Acceptance 10 4.2.4 Changes Non-configuration . 10 4.3 Change Impact Analysis Tool . 11 5. REQUIREMENTS FOR ORGANIZATIONS TO OBTAIN CUSTOMER AUTHORIZATION 11 5.1 Quality System Requirements 11 5.2 Customer Agre
16、ements 12 5.3 Approval of Design Activity to Perform Change Impact Assessments . 12 5.3.1 Prerequisites for Design Activities to Perform Change Impact Assessments 12 5.3.2 Requesting and Maintaining Design Change Impact Assessment Approval . 12 5.3.3 Design Change Impact Assessment Processes and Pro
17、cedures 13 5.4 Requirements for Data Submission of Notice of Change . 13 5.5 Record Retention 14 6. NOTES 14 FIGURE 1 FLOW CHART FOR NOTICE OF CHANGE (NOC) SUBMITTAL (Design Activity is NOT Authorized to Analyze Changes on Behalf of Customer) . 7 FIGURE 2 FLOW CHART FOR NOTICE OF CHANGE (NOC) SUBMIT
18、TAL (Design Activity is Authorized to Analyze Changes on Behalf of Customer) .8 APPENDIX A SUPPLIER NOTIFICATION OF CHANGE CHANGE IMPACT ANALYSIS LOGIC TREE . 15 APPENDIX B LIST OF NOTICE OF CHANGE (NOC) DATA . 19 APPENDIX C SAMPLE NOTICE OF CHANGE (NOC) FORM . 24 SAE AS9016 Page 3 of 27 1. SCOPE 1.
19、1 General The aviation, space, and defense industries rely on the development and manufacture of complex products comprised of multiple systems, subsystems, and components each designed by individual designers (design activities) at various levels within the supply chain. Each design activity contro
20、ls various aspects of the configuration and specifications related to the product. When a change to design information is requested or required, the change has to be evaluated against the impacts to the higher-level system. Proposed changes to design information that the design activity identifies t
21、o be minor and have no effect on their product requirements or specifications have the potential to be concurrently implemented and approved, where authorized to do so. Changes that affect customer mandated requirements or specifications must be approved prior to implementation. In many cases, the d
22、esign activity is not the design approver or authority; ultimate approval may be several layers above the design activity. Supplier Integrator Design Holder Design Authority Design Activity Change Evaluator (Customer) Design Authority Submitting NOC data either electronically or conventionally on pa
23、per is subject to the terms and conditions of the customers contract. This also includes, where applicable, data access under the regulations of export control. The process of exchanging, coordinating, and approving NOC data varies with the multiple relationships and agreements among all parties con
24、cerned. The information provided by this standard forms the architecture for submitting and managing data that allows for concise and accurate communication using various methods. One objective of this standard is to provide the definition of a data set that can be integrated into any form of commun
25、ication (e.g., electronic data interchange, submission of conventional paper forms). If this standard is invoked in the contract, design activities and Technical Standard Order Approval (TSOA) holders that have responsibility for change management of products used on other higher-level designs shall
26、 use the information and processes defined in this standard for submitting change notifications to customers. 1.2 Application This standard defines the common NOC requirements for aviation, space, and defense organizations. Included are the requirements that an internal/external supplier or subcontr
27、actor shall use when submitting a NOC to the customer for either change authorization or notification. A NOC informs the customer of physical or functional (including software) changes to an established baseline configuration. Retention of the NOC establishes a means of configuration control and cap
28、tures the evolution of the part. This concept is of utmost importance in commercial/civil aviation products where changes to type certificated products is mandated by regulations. However, these same concepts are also required to some degree in defense and space applications per contractual requirem
29、ents. This standard is not applicable to products that are manufactured by a supplier to their customers designs and processing requirements (also known as build-to-print). Change requests to this type of product shall be formally submitted to the customer and approved via the customers change reque
30、st process. Additionally, this standard is not applicable to commercial parts (off-the-shelf items not specifically designed for aviation, space, or defense products) for which changes in product definition is not affected or known, but change to commercial parts that are known (i.e., change in defi
31、nition from one commercial part number to a different commercial part number) shall be processed in accordance with this standard. REQUIREMENTS SUPPLIER CHANGE NOTIFICATION SAE AS9016 Page 4 of 27 When this standard is applied to an organization that distributes product, then this standard shall be
32、a requirement from the distribution organization to the organization from which the product is procured. The distribution organization can act as a conduit for the NOC or the design activity (supplier) can work directly with the design authority (customer). The distribution organization should be co
33、mpliant with AS9120 as per customer requirements. Application or implementation of this standard in any form, either expressed or implied, is not allowed for product which has escaped the suppliers quality system. 2. APPLICABLE DOCUMENTS The following publications for a part of this document to the
34、extent specified herein. The latest issue of SAE publications shall apply. The applicable issue of the other publications shall be the issue in effect on the date of the purchase order. In the event of conflict between the text of this document and references cited herein, the text of this document
35、takes precedence. Nothing in this document, however, supersedes applicable laws and regulations unless a specific exemption has been obtained. 2.1 SAE Publications Available from SAE International, 400 Commonwealth Drive, Warrendale, PA 15096-0001, Tel: 877-606-7323 (inside USA and Canada) or 724-77
36、6-4970 (outside USA), www.sae.org. AS9100 Quality Management Systems Requirements for Aviation, Space and Defense Organizations AS9110 Quality Management Systems Aerospace - Requirements for Maintenance Organizations AS9120 Quality Management Systems Aerospace - Requirements for Stocklist Distributo
37、rs ARP9034 A Process Standard for the Storage, Retrieval and Use of Three-Dimensional Type Design Data 2.2 ANSI Publications Available from American National Standards Institute, 25 West 43rdStreet, New York, NY 10036-8002, Tel: 212-642-4900, www.ansi.org. ANSI/ASME Y14.24 Types and Applications of
38、Engineering Drawings 2.3 EIA Publications Available from Electronic Industries Alliance, 2500 Wilson Boulevard, Arlington, VA 22201-3834, Tel: 703-907-7500, www.eia.org. EIA 649 National Consensus Standard for Configuration Management 2.4 ISO Publications Available from American National Standards I
39、nstitute, 25 West 43rdStreet, New York, NY 10036-8002, Tel: 212-642-4900, www.ansi.org. ISO 9000:2005 Quality management systems Fundamentals and vocabulary 3. TERMS AND DEFINITIONS For the purposes of this document, the terms and definitions stated in ISO 9000 and the following shall apply: 3.1 Bas
40、eline Configuration The design definition for the physical product and its performance requirements from which design change control can then take place. This is determined jointly by the customer and the design activity. SAE AS9016 Page 5 of 27 3.2 Change Evaluator The person authorized on behalf o
41、f the design authority to assess the potential impact of the change(s), evaluates changes for the potential impact on the fit, form, or functionality of the part, system, or assembly and failure to meet the customer requirements. The change evaluator could also be the customer or the producer of the
42、 end item and/or the design authority. 3.3 Deliverable Any design data provided to the customer which represents the product provided. 3.4 Design Activities The supplier design activity or subcontractor that owns the design and provides a deliverable to the customer. 3.5 Design Authority An organiza
43、tion with formal authority for the design, validation, and service support of a product. NOTE: In civil aviation, this is the organization responsible for the design of articles or for changes thereto that is the holder of a design approval granted by a regulatory authority i.e., Type Certificate (T
44、C), Supplemental Type Certificate (STC), Parts Manufacturer Approval (PMA), Technical Standard Order (TSO)/Joint TSO/European TSO, European Part Approval (EPA) or equivalent. 3.6 End Item The item that is ultimately delivered to the end user (e.g., vehicle, propulsion system). 3.7 Key Characteristic
45、s An attribute or feature whose variation has a significant effect on product fit, form, function, performance, service life, or producibility that requires specific actions for the purpose of controlling variation. 3.8 Mandatory A requirement that must be fulfilled or common transferable data that
46、must be provided and systematically recorded. 3.9 Optional Any data field that is not defined as mandatory by this standard, including any special data fields requested by the customer or the originator. 3.10 Product In this document product means any aerospace vehicle, engine, propeller, airframe p
47、art or equipment (within that vehicle) to be used in operating or controlling an aerospace vehicle in flight. he result of a process, which in the context of this standard includes finished detailed parts and assemblies. It also includes forgings and castings. NOTE: Product can include software that
48、 is embedded or field loadable in the end item. 3.11 Source Control Drawing (SOCD) Source Control drawing as defined by ANSI/ASME Y14.24. 3.12 Special Process A process where the resulting output cannot be verified by subsequent monitoring or measurement and as a consequence, deficiencies become app
49、arent only after the product is in use or has been delivered. SAE AS9016 Page 6 of 27 4. CONFIGURATION CHANGE DEFINITIONS 4.1 Changes to Baseline Configurations A baseline configuration is an agreed configuration definition against which compliance was shown (e.g., certification baseline). Baseline configuration is captured by design
