SAE AS 9104 1-2012 Requirements for Aviation Space and Defense Quality Management System Certification Programs《航空 航天和国防质量管理系统认证计划要求》.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 there

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3、ublication 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: +1 724-776-497

4、0 (outside USA) 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/AS9104/1 AEROSPACE STANDARD AS9104/1 Issued 2012-01 Superseding AS9104 Technicall

5、y equivalent writings published in all IAQG sectors. Requirements for Aviation, Space, and Defense Quality Management System Certification Programs RATIONALE After the initial publication of International Aerospace Quality Group (IAQG) 9104 standard in 2004, it became evident that a single standard

6、containing all aspects of the Industry Controlled Other Party (ICOP) Aerospace Quality Management System (AQMS) was too complex. It was decided that the standard be broken into three sections: x 9104/1 Requirements for Aviation, Space, and Defense Quality Management System Certification Programs; x

7、9104/2 Requirements for Oversight of Aerospace Quality Management System Registration/Certification Programs; and x 9104/3 Requirements for Aerospace Auditor Competency and Training Courses. The requirements for oversight and AQMS auditor qualification information (9104/2 and 9104/3 respectively) we

8、re removed from the original 9104 text. This effort necessitated the total rewrite of the initial standard, now re-designated as 9104/1, which is the keystone document of the 9104-series trilogy. FOREWORD In December 1998, the aviation, space, and defense industry established the IAQG with the goal

9、of achieving significant improvements in quality and reductions in cost throughout the value stream. The IAQG developed specific requirements for aviation, space, and defense (interchangeably referred to as aerospace) quality management systems that are to be implemented and maintained throughout th

10、e supply chain for the design, manufacture, and maintenance of products used in aviation, space, and defense applications. These requirements are published simultaneously as the 9100-series standards (i.e., 9100, 9110, 9120) by SAE International in the Americas, AeroSpace and Defense Industries Asso

11、ciation of Europe - Standardization (ASD-STAN) in Europe, and Japanese Standards Association (JSA) and Society of Japanese Aerospace Companies (SJAC) in Asia/Pacific. Another initiative of the IAQG was the development of a global scheme for the acceptance and recognition of audits performed by Certi

12、fication Bodies (CBs), using the 9100-series standards, and taking into account the schemes already in use or under development in the various IAQG sectors. All these schemes have two major elements in common: x the use of a 3rd party audit certification scheme with specific aviation, space, and def

13、ense elements and requirements, under the guidance and oversight of the aviation, space, and defense industry; and x the use of a harmonized approach with the CBs for the purpose of improving the quality and process control throughout the entire supply chain. SAE AS9104/1 Page 2 of 49 This standard

14、defines the basic requirements for managing the AQMS certification scheme (commonly referred to as the ICOP scheme). Two other standards in this series (i.e., 9104/2, 9104/3) provide specific requirements for defining the oversight process, and the AQMS auditor qualification and training requirement

15、s, respectively. These three standards together are commonly referred to as the ICOP certification management system Trilogy. This standard establishes provisions for the individual IAQG sector schemes controlled use of audit results provided by CBs, based on three primary criteria: x the use of acc

16、redited CBs; x the CBs use of qualified and authenticated AQMS auditors; and x the use of international aviation, space, and defense standards for quality management systems. This standard addresses the following elements necessary for the ICOP scheme: a. the approval of Accreditation Bodies (ABs),

17、Auditor Authentication Bodies (AABs), and Training Provider Approval Bodies (TPABs); b. the qualification, accreditation, and recognition of CBs; c. the audits of quality management systems by accredited CBs; d. the criteria for determining the certification structure, content, and duration of audit

18、s; e. the recording and disposition of nonconformities generated by the audits; f. the posting of audit results, findings, and certification; g. the entry of data into the Online Aerospace Supplier Information System (OASIS) database; and h. the use of International Accreditation Forum (IAF) guidanc

19、e and mandatory documents for established processes (e.g., audit duration calculations, multiple site certifications). Additionally, this standard references the other standards in the 9104-series (i.e., 9104/2, 9104/3) that specify: i. the minimum standards of qualification and experience for AQMS

20、auditors; j. the authentication of AQMS auditors by AABs and recognition by IAQG sectors; k. the oversight of ABs, CBs, TPABs, AABs, and AQMS auditors by applicable Sector Management Structure (SMS) and IAQG Original Equipment Manufacturers (OEMs), and other organizations and their representatives w

21、ho participate in the management of the ICOP scheme; and l. the operation of the IAQG oversight function. This standard also provides guidance for the use of the required audit process reporting tools (see 9101), and provides clarifications and process improvements resulting from the lessons learned

22、 during the initial operation of the ICOP scheme. SAE AS9104/1 Page 3 of 49 TABLE OF CONTENTS 1. SCOPE 6 2. REFERENCES 6 3. TERMS AND DEFINITIONS . 7 4. REQUIREMENTS OF THE SECTOR MANAGEMENT STRUCTURE 105. REQUIREMENTS FOR ACCREDITATION BODIES . 12 5.1 General . 125.2 Organizational Requirements for

23、 Accreditation Bodies 125.3 Quality Management System Requirements for Accreditation Bodies . 125.4 Accreditation Body Personnel Requirements . 18 6. REQUIREMENTS FOR CERTIFICATION BODIES . 18 7. REQUIREMENTS FOR AEROSPACE QUALITY MANAGEMENT SYSTEM AUDITORS 21 8. REQUIREMENTS FOR AUDITS AND REPORTIN

24、G . 21 8.1 Certification Structure Requirements 218.2 Minimum Audit Duration 238.3 Aerospace Audit Teams 298.4 Nonconformities 308.5 Audit Team Conclusions and Reporting . 308.6 Issuance of Certificates . 318.7 Loss of Certification 328.8 Transfer of Certificates 328.9 Advanced Surveillance and Rece

25、rtification Procedures . 328.10 Computer Assisted Auditing Techniques 33 9. REQUIREMENTS FOR OVERSIGHT PROCESS . 33 10. REQUIREMENTS FOR AUDITOR AUTHENTICATION BODIES 33 10.1 General . 3310.2 Organizational Requirements for Auditor Authentication Bodies . 3310.3 Quality Management System Requirement

26、s for Auditor Authentication Bodies 3410.4 Aerospace Quality Management System Auditor Competency 3410.5 Use of Auditor Authentication Bodies Marks and Logos 3510.6 Maintenance, Suspension, Extension, and Withdrawal of Aerospace Quality Management System Auditor Authentication 3510.7 Aerospace Quali

27、ty Management System Auditor Authentication Record Retention 3510.8 Aerospace Quality Management System Auditor Authentication Recognition . 35 11. REQUIREMENTS FOR TRAINING PROVIDER APPROVAL BODIES . 35 11.1 General . 3511.2 Organizational Requirements for Training Provider Approval Bodies 3511.3 Q

28、uality Management System Requirements for Training Provider Approval Bodies . 36 12. ONLINE AEROSPACE SUPPLIER INFORMATION SYSTEM DATABASE 36SAE AS9104/1 Page 4 of 49 13. REQUIREMENTS OF THE OTHER PARTY MANAGEMENT TEAM 37 13.1 Procedure 3713.2 Responsibilities of the Other Party Management Team . 37

29、13.3 Composition of the Other Party Management Team 3813.4 International Aerospace Quality Group Oversight Activities . 3813.5 Certification Structure Oversight Subcommittee . 38 14. ONLINE AEROSPACE SUPPLIER INFORMATION SYSTEM DATABASE FEEDBACK PROCESS 38 14.1 Online Aerospace Supplier Information

30、System Database 3814.2 Feedback Loop A (from customer to supplier) . 3814.3 Feedback Loop B (from customer to certification body) . 3814.4 Feedback Loop C (audit activity to customer) 3914.5 Feedback to Accreditation Bodies 39 15. SECTOR MANAGEMENT STRUCTURE . 39 15.1 Organization of the Sector Mana

31、gement Structure 3915.2 Composition of the Sector Management Structure . 3915.3 Authority of the Sector Management Structure . 4015.4 Sector Management Structure Representation to the International Aerospace Quality Group Other Party Management Team 40 16. CROSS FRONTIER POLICY FOR 9104/2 OVERSIGHT

32、ACTIVITY . 41 17. RECORDS 4118. REQUIREMENTS FOR CERTIFIED ORGANIZATIONS . 4219. CONFIDENTIALITY AND CONFLICTS OF INTEREST . 4220. FEES AND FINANCIALS 4221. NOTES 43 APPENDICES APPENDIX A ACRONYM LOG . 44 APPENDIX B INDUSTRY CONTROLLED OTHER PARTY SCHEME CERTIFICATION STRUCTURES MATRIX FOR 9100/9110

33、/9120:2009 CERTIFICATION AUDITS . 46 APPENDIX C INFORMATION TO BE UPLOADED INTO THE ONLINE AEROSPACE SUPPLIER INFORMATION SYSTEM DATABASE 49 SAE AS9104/1 Page 5 of 49 FIGURES AND TABLES FIGURE 1 ILLUSTRATION OF THE CUSTOMER SUPPLIER CERTIFICATION BODY FEEDBACK LOOPS WITHIN THE ONLINE AEROSPACE SUPPL

34、IER INFORMATION SYSTEM DATABASE . 39 FIGURE 2 SECTOR MANAGEMENT STRUCTURE DIAGRAM . 40TABLE 1 ACCREDITATION BODY ASSESSMENT REQUIREMENTS OF CERTIFICATION BODIES . 15 TABLE 2 AUDIT DURATION REQUIREMENTS . 23 TABLE 3 MULTIPLE SITE ORGANIZATION AUDIT FREQUENCY . 25 TABLE 4 PERMISSIBLE REDUCTIONS FOR RE

35、DUCED SCOPE / COMPLEXITY FOR SEVERAL SITE ORGANIZATIONS 26 TABLE 5 ONLINE AEROSPACE SUPPLIER INFORMATION SYSTEM DATABASE DATA RESPONSIBILITY 37 SAE AS9104/1 Page 6 of 49 1. SCOPE The purpose of this standard is to define the requirements and industry-accepted practices for managing the ICOP scheme,

36、which provides confidence to aviation, space, and defense customers and organizations that their suppliers with certification of their quality management systems, issued by accredited CBs, meet the applicable AQMS standard requirements. The requirements established in this standard are applicable to

37、 the IAQG and its three sectors for managing AQMS certification and associated activities. The requirements are applicable to IAQG working groups e.g., SMS, Other Party Management Team (OPMT), IAQG member companies, ABs, CBs, Certification Body Management Committees (CBMCs), AABs, TPABs, Training Pr

38、oviders (TPs), and organizations seeking/obtaining AQMS standard certification. The AQMS standard adopted by the organization shall be 9100, 9110, and/or 9120, as appropriate to the organizations activities; these standards are referred to throughout this writing as AQMS standards. IAQG member compa

39、nies have committed to recognize the certification of a suppliers quality management system to all equivalent AQMS standards (e.g., AS, EN, JISQ, NBR). IAQG sectors may expand the application of the requirements defined in this standard for other standards approved by the IAQG and its three sectors

40、i.e., Americas Aerospace Quality Group (AAQG), European Aerospace Quality Group (EAQG), Asia/Pacific Aerospace Quality Group (APAQG). 2. REFERENCES Audits and assessments shall be based on the latest published versions of the following quality management systems standards, and guidance and mandatory

41、 documents, as applicable. For dated references, only the edition cited applies. When a conflict in requirements between this standard and the referenced standards and documents exist, the requirements of this standard shall take precedence. 2.1 SAE Publications Available from SAE International, 400

42、 Commonwealth Drive, Warrendale, PA 15096-0001, Tel: 877-606-7323 (inside USA and Canada) or 724-776-4970 (outside USA), www.sae.org. AS9100 Quality Management Systems Requirements for Aviation, Space and Defense Organizations AS9101 Quality Management Systems Audit Requirements for Aviation, Space,

43、 and Defense Organizations AS9104/2 Requirements for Oversight of Aerospace Quality Management System Registration/Certification Programs AS9104/3 Requirements for Aerospace Auditor Competency and Training Courses AS9110 Quality Management Systems Requirements for Aviation Maintenance Organizations

44、AS9120 Quality Management Systems Requirements for Aviation, Space and Defense Distributors NOTE: Equivalent versions (e.g., AS, EN, JISQ, SJAC, NBR) of the IAQG standards listed above are published internationally in each IAQG sector. 2.2 ISO Publications Available from American National Standards

45、Institute, 25 West 43rd Street, New York, NY 10036-8002, Tel: 212-642-4900, www.ansi.org. ISO 9000 Quality management systems Fundamentals and vocabulary ISO 9001 Quality management systems Requirements ISO/IEC 17011:2004 Conformity assessment General requirements for accreditation bodies accreditin

46、g conformity assessment bodies SAE AS9104/1 Page 7 of 49 ISO/IEC 17021:2011 Conformity assessment Requirements for bodies providing audit and certification of management systems ISO/IEC 17024:2003 Conformity assessment General requirements for bodies operating certification of persons ISO 19011:2011

47、 Guidelines for auditing management systems 2.3 IAF Publications Available from International Accreditation Forum, PO Box 819, Cherrybrook, NSW 2126, Australia, Tel: +612 9481 7343, www.iaf.nu. IAF GD 3:2003 IAF Guidance on Cross Frontier Accreditation IAF MD 1:2007 IAF Mandatory Document for the Ce

48、rtification of Multiple Sites Based on Sampling IAF MD 2:2007 IAF Mandatory Document for the Transfer of Accredited Certification of Management Systems IAF MD 3:2008 IAF Mandatory Document for Advanced Surveillance and Recertification Procedures (ASRP) IAF MD 4:2008 IAF Mandatory Document for the Use of Computer Assisted Auditing Techniques (“CAAT”) for Accredited Certification of Management Systems IAF MD 5:2009 IAF Mandatory Document for Duration of QMS and EMS Audits IAF ML 4:2011 P