SAE ARP 9114A-2014 Direct Ship Guidance for Aerospace Companies《航空航天企业直接装运导则》.pdf

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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 theref

2、rom, is the sole responsibility of the user.” SAE reviews each technical report at least every five years at which time it may be revised, reaffirmed, stabilized, or cancelled. SAE invites your written comments and suggestions.Copyright 2014 SAE International All rights reserved. No part of this pub

3、lication may 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

4、(outside USA) Fax: 724-776-0790 Email: CustomerServicesae.org SAE WEB ADDRESS: http:/www.sae.orgSAE values your input. To provide feedback on this Technical Report, please visit http:/www.sae.org/technical/standards/ARP9114AAEROSPACERECOMMENDED PRACTICEARP9114 REV. AIssued 2005-09 Revised 2014-02 Te

5、chnically equivalent writings published in all IAQG sectors Superseding ARP9114 Direct Ship Guidance for Aerospace Companies RATIONALEThis document was revised to coincide with the 14 Code of Federal Regulations (CFR) Part 21, “Certification Procedures for Products, Articles, and Parts”, re-write pu

6、blished October 16, 2009 under Docket No. FAA-2006-25877 and associated policy and guidance material made by the Federal Aviation Administration (FAA). All other changes made to the document presented herein were editorial in nature. FOREWORDTo assure customer satisfaction, the aviation, space, and

7、defense industry organizations must produce and continually improve safe, reliable products that meet or exceed customer and regulatory authority requirements. The globalization of the industry, and the resulting diversity of regional/national requirements and expectations, has complicated this obje

8、ctive. End-product organizations face the challenge of assuring the quality of, and integrating, product purchased from suppliers throughout the world and at all levels within the supply chain. Industry suppliers and processors face the challenge of delivering product to multiple customers having va

9、rying quality expectations and requirements. The aviation, space, and defense 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 incl

10、udes representation from companies in the Americas, Asia/Pacific, and Europe. This document standardizes requirements for the direct shipment of articles from a supplier of an approved manufacturer to a customer of an approved manufacturer and was originally produced as a cooperative effort between

11、the FAA and the IAQG. The establishment of common expectations, for use at all levels of the supply-chain by organizations, should result in improved quality and safety, and decreased costs, due to the elimination or reduction of organization-unique requirements and the resultant variation inherent

12、in these multiple expectations. SAE INTERNATIONAL ARP9114A Page 2 of 9 TABLE OF CONTENTS 1. SCOPE 3 1.1 General . 3 1.2 Purpose . 3 2. APPLICABLE DOCUMENTS 3 2.1 European Aviation Safety Agency Publications 3 2.2 Federal Aviation Administration Publications 4 3. TERMS AND DEFINITIONS . 4 3.1 Approve

13、d Manufacturer also known as Production Approval Holder (PAH) 4 3.2 Article 4 3.3 Customer . 4 3.4 Delegated Inspection 4 3.5 Direct Ship Authorization 4 3.6 Direct Ship Declaration . 4 3.7 Product 4 3.8 Standard Part 4 3.9 Statement of Conformance (SOC) 5 3.10 Supplier . 5 4. DIRECT SHIP REQUIREMEN

14、TS . 5 4.1 General . 5 4.2 Approved Manufacturer 5 4.2.1 Procedures 5 4.2.2 Direct Ship Authorization 5 4.2.3 Records . 5 4.2.4 Flow Down of Direct Ship Requirements to Suppliers 6 4.2.5 Special Considerations for Foreign Customers 7 4.3 Supplier . 7 4.3.1 Records . 7 4.3.2 Compliance . 7 4.4 Custom

15、er . 7 4.4.1 Examination of Direct Ship Articles . 7 4.4.2 Documentation Required with Direct Ship Articles . 7 4.4.3 Notification of Discrepancies . 8 5. NOTES 8 APPENDIX A ACRONYM LOG . 9FIGURE 1 DIRECT SHIP OVERVIEW . 3 FIGURE 2 DIRECT SHIP FLOW 6 SAE INTERNATIONAL ARP9114A Page 3 of 9 1. SCOPE 1

16、.1 General Limited to the aerospace industry, where an approved manufacturer requests a supplier to ship an article against the approved manufacturers quality system directly to a customer. The direct ship process is not required or applicable to standard parts or military parts. In this process the

17、 approved manufacturer is responsible for assurance that the article conforms to type design information. 1.2 Purpose This document provides guidance to approved manufacturers, their suppliers, and customers when an approved manufacturer requests a supplier to ship an article against the approved ma

18、nufacturers purchase document directly to a customer, commonly known as “Direct Ship” (see Figure 1). FIGURE 1 - DIRECT SHIP OVERVIEW 2. APPLICABLE DOCUMENTS These include, but are not limited to: 2.1 European Aviation Safety Agency Publications a. Commission Regulation (EC) No 748/2012 Annex l (als

19、o called Part 21)b. European Aviation Safety Agency (EASA) Annex l to Executive Director (ED) Decision 2102/020R also called Acceptable Means of Compliance (AMC) and Guidance Material (GM) to Part 21 DIRECT SHIP CUSTOMERSUPPLIERPURCHASE REQUEST PURCHASE REQUEST Statement of Conformance(SOC)The Appro

20、ved Manufacturer is Responsible for Article ConformanceAPPROVEDMANUFACTURERDIRECTSHIPSAE INTERNATIONAL ARP9114A Page 4 of 9 2.2 Federal Aviation Administration Publications a. FAA Advisory Circular (AC) 20-62, “Eligibility, Quality, and Identification of Aeronautical Replacement Parts” b. FAA AC 21-

21、29, “Detecting and Reporting Suspected Unapproved Parts”c. FAA AC 21-43, “Production Under 14 CFR Part 21, Subparts F, G, K, and O” d. 14 CFR Part 21, “Certification Procedures for Products, Articles, and Parts” 3. TERMS AND DEFINITIONS An acronym log for this standard is presented in Appendix A. Fo

22、r the purpose of this standard, the following definitions are used: 3.1 Approved Manufacturer also known as Production Approval Holder (PAH) A manufacturer that is responsible for the quality of an article and has obtained the right to use a design from the design approval holder (may be the same en

23、tity). This is the holder of a Production Certificate (PC), Parts Manufacturer Approval (PMA), Technical Standard Order (TSO) authorization, Production Organization Approval (POA), European Technical Standard Order (ETSO) authorization, or other production approval issued by any National Aviation Au

24、thority (NAA). 3.2 Article Material, part, product, component, assembly, or appliance which is listed by the approved manufacturer as eligible for installation in a type certificated product or included in the design data approved by the regulatory authority, not inclusive of standard parts. 3.3 Cus

25、tomer The recipient of a direct ship article (e.g., owner/operator, repair station, distributor). 3.4 Delegated Inspection The delegation of inspection authority to a supplier on behalf of the approved manufacturer. 3.5 Direct Ship Authorization The written authorization granted by an approved manuf

26、acturer to a supplier to ship articles directly to a customer, without the articles being processed through the approved manufacturers own facility. The direct ship authorization may be limited in scope. Some examples of limitations include part number(s), time period, and customer(s).3.6 Direct Shi

27、p Declaration A written statement from the supplier that accompanies a direct ship article stating the article was produced under the terms of the approved manufacturers production approval. 3.7 Product An aircraft, aircraft engine, or propeller. 3.8 Standard Part A part manufactured in compliance w

28、ith an established government or industry-accepted specification that contains design, manufacturing, and uniform identification requirements. The specification must include all information necessary to produce and conform the part, and must be published so that any person/organization may manufactu

29、re the part. SAE INTERNATIONAL ARP9114A Page 5 of 9 3.9 Statement of Conformance (SOC) Evidence provided by the supplier certifying the article conforms to approved data. 3.10 Supplier The furnisher of articles or related services, at any tier, to an approved manufacturer. 4. DIRECT SHIP REQUIREMENT

30、S 4.1 General The direct ship process involves an approved manufacturer, a supplier, and a customer. In a chronological flow, the customer requests an approved manufacturer to provide an article and delineates any special requirements. The approved manufacturer determines that the article is to be o

31、rdered/produced/delivered from a supplier and requests the supplier to ship the article directly to the customer. The contracts are between the customer and the approved manufacturer, and again between the approved manufacturer and the supplier (see Figure 2). In some cases, the approved manufacture

32、r allows the customer to buy directly from the supplier. In those cases, the supplier should obtain permission from the approved manufacturer for this arrangement. 4.2 Approved Manufacturer 4.2.1 Procedures An approved manufacturer that intends to issue direct ship authorization to a supplier must h

33、ave approved quality procedures that will compensate for the absence of inspections normally conducted at the approved manufacturers facility. Compensating factors shall include onsite evaluations of the supplier and the inspection of the article as either: a. Source inspection performed by the appr

34、oved manufacturer; or b. Inspection by the supplier under a delegated inspection authority from the approved manufacturer. 4.2.2 Direct Ship Authorization The approved manufacturer shall provide direct ship authorization to a supplier. 4.2.3 Records The approved manufacturer shall issue and maintain

35、 records of direct ship authorization and make them available to regulatory authorities, upon request. SAE INTERNATIONAL ARP9114A Page 6 of 9 FIGURE 2 - DIRECT SHIP FLOW 4.2.4 Flow Down of Direct Ship Requirements to Suppliers The approved manufacturer shall obligate the supplier to: a. Direct ship

36、the article. b. Meet any special customer requirements accepted by the approved manufacturer. c. Maintain evidence of direct ship authorizations granted by the approved manufacturer.d. Maintain evidence of direct shipments made on behalf of the approved manufacturer. e. Provide with the shipment a s

37、igned direct ship declaration. f. Provide with the shipment a signed/stamped SOC certifying that the article conforms to approved data. g. Provide with the shipment traceability to the customer purchase request. SAE INTERNATIONAL ARP9114A Page 7 of 9 h. Provide evidence with the shipment that accept

38、ance or inspection has been accomplished by the approved manufacturer or through a delegated inspection authority. i. When delegated inspection is used, provide with the shipment a statement that delegation of inspection authority has been granted by the approved manufacturer, and that the inspectio

39、n was performed on behalf of the approved manufacturer.4.2.5 Special Considerations for Foreign Customers An approved manufacturer must ensure the requirements of the importing country will be met, prior to authorizing direct shipment to a customer located in a foreign country. 4.3 Supplier 4.3.1 Re

40、cords The supplier shall maintain records of and make them available, upon request: a. Direct ship authorization by the approved manufacturer. b. Direct shipments made on the behalf of the approved manufacturer. 4.3.2 Compliance The supplier shall adhere to all approved manufacturer flow down requir

41、ements, including: a. Direct ship the article. b. Provide a signed direct ship declaration with the shipment. c. Provide a signed/stamped SOC certifying that the article conforms to approved data with the shipment. d. Provide evidence with the shipment that acceptance or inspection has been accompli

42、shed by the approved manufacturer or through a delegated inspection authority. When delegated inspection is used, also provide with the shipment a statement that delegation of inspection authority has been granted by the approved manufacturer and that the inspection was performed on behalf of the ap

43、proved manufacturer.e. Show traceability with the shipment to the customer purchase request.f. The requirements of the importing country will be met prior to shipment to a customer located in a foreign country. 4.4 Customer 4.4.1 Examination of Direct Ship Articles Customers who receive articles shi

44、pped under an approved manufacturers direct ship authority shall examine the articles and the accompanying documentation to ensure the airworthiness condition of the articles is adequately established. 4.4.2 Documentation Required with Direct Ship Articles Direct ship articles shall be received with

45、 one or more documents containing: a. A signed direct ship declaration. b. A signed/stamped SOC certifying that the article conforms to approved data. SAE INTERNATIONAL ARP9114A Page 8 of 9 c. Evidence that acceptance or inspection has been accomplished by the approved manufacturer or through a dele

46、gated inspection authority. When delegated inspection is used, also provide with the shipment a statement that delegation of inspection authority has been granted by the approved manufacturer, and that the inspection was performed on behalf of the approved manufacturer.d. Traceability to the custome

47、r purchase request. 4.4.3 Notification of Discrepancies Any identified nonconformance or noncompliance is to be coordinated and resolved through the approved manufacturer. In those cases in which the approved manufacturer allows the customer to buy directly from the supplier, these issues should be

48、resolved through the supplier. 5. NOTES 5.1 A change bar (l) located in the left margin is for the convenience of the user in locating areas where technical revisions, not editorial changes, have been made to the previous issue of this document. An (R) symbol to the left of the document title indica

49、tes a complete revision of the document, including technical revisions. Change bars and (R) are not used in original publications, nor in documents that contain editorial changes only. PREPARED BY SAE G-14 AMERICAS AEROSPACE QUALITY STANDARDS COMMITTEE SAE INTERNATIONAL ARP9114A Page 9 of 9 APPENDIX A - ACRONYM LOG AC Advisory Circular AMC Acceptable Means of Compliance EASA European Aviation Safety Agency ED Executive Director