SAE AS 9116-2014 Aerospace Series - Notice of Change (NOC) Requirements.pdf

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1、AEROSPACESTANDARDAS9116Technically equivalent writings published in all IAQG sectorsIssued 2014-10Aerospace Series - Notice of Change (NOC) RequirementsRATIONALEThis standard was created to define the process requirements and data expectations for the submission of proposed changes in design informa

2、tion that requires concurrent approval of the design authority, when the design authority is different from the design activity. This standard provides for the organizational requirements, definitions, and data submission, including suggested data descriptions and format (paper or electronic submiss

3、ion).This standard was created to provide for the uniform submittal of change notifications and/or approval when contractually invoked at any level 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

4、 9100-series standards (i.e., 9100, 9110, 9120).FOREWORDTo assure customer satisfaction, aviation, space, and defense industry organizations must produce and continually improve safe, reliable products that meet or exceed customer and regulatory authority requirements. The globalization of the indus

5、try and the resulting diversity of regional/national requirements and expectations have complicated this objective. End-product organizations 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.

6、 Industry suppliers and processors face the challenge of delivering product tomultiple customers having varying quality expectations and requirements.The aviation, space, and defense industry established the International Aerospace Quality Group (IAQG) for the purpose of achieving significant improv

7、ements in quality and safety, and reductions in cost throughout the value stream. This organization includes representation from companies in the Americas, Asia/Pacific, and Europe. This international standard has been prepared by the IAQG.A change process consists of design change management and/or

8、 manufacturing process change to a previously approved design (baseline configuration) of the product. This document standardizes requirements for Notice of Change (NOC) data definition and documentation for the aviation, space, and defense industries. The establishment of common requirementsfor use

9、 at all levels of the supply-chain is intended to improve quality, safety, and decrease costs by the elimination or reduction of organization-unique requirements and the resultant variation inherent in these multiple expectations._SAE Technical Standards Board Rules provide that: “This report is pub

10、lished 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 therefrom, is the sole responsibility of the user.”SAE reviews each technica

11、l 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 InternationalAll rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted,

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13、: http:/www.sae.orgSAE values your input. To provide feedbackon this Technical Report, please visithttp:/www.sae.org/technical/standards/AS9116 SAE INTERNATIONAL AS9116 Page 2 of 28TABLE OF CONTENTS1. SCOPE 3 1.1 General . 3 1.2 Application. 3 2. APPLICABLE DOCUMENTS 4 3. TERMS AND DEFINITIONS . 4 3

14、.1 Baseline Configuration 4 3.2 Change Evaluator . 5 3.3 Critical Items . 5 3.4 Deliverable 5 3.5 Design Activities 5 3.6 Design Authority 5 3.7 End Item 5 3.8 Key Characteristics . 5 3.9 Mandatory . 5 3.10 Optional. 5 3.11 Product 5 3.12 Source Control Drawing (SOCD) 6 3.13 Special Process 6 4. CON

15、FIGURATION CHANGE DEFINITIONS 6 4.1 Changes to Baseline Configuration 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 Customer Acceptance Prior to Implementation 9 4.2.3 Changes Implemented Concurrent with Notification for

16、 Customer Acceptance. 10 4.2.4 Changes - Non-configuration 10 4.3 Change Impact Analysis Tool . 11 5. REQUIREMENTS FOR ORGANIZATIONS TO OBTAIN AUTHORIZATION TO ANALYZE CHANGES ON BEHALF OF CUSTOMER . 11 5.1 Quality Management System Requirements 12 5.2 Customer Agreements 12 5.3 Approval of Design A

17、ctivity 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 13 5.3.3 Design Change Impact Assessment Processes and Procedures 13 5.4 Requirements for Data

18、 Submission of Notice of Change . 14 5.5 Record Retention 14 6. NOTES 15 APPENDIX A ACRONYM LOG . 16APPENDIX B SUPPLIER NOTIFICATION OF CHANGE (NOC) - CHANGE IMPACT ANALYSIS (CIA) LOGIC TREE 17APPENDIX C LIST OF NOTICE OF CHANGE (NOC) DATA . 22 APPENDIX D SAMPLE NOTICE OF CHANGE (NOC) FORM . 25FIGUR

19、E 1 TYPICAL DESIGN REQUIREMENTS AND CHANGE NOTIFICATION FLOW. 3 FIGURE 2 FLOW CHART FOR NOTICE OF CHANGE (NOC) SUBMITTAL (DESIGN ACTIVITY IS NOTAUTHORIZED TO ANALYZE CHANGES ON BEHALF OF CUSTOMER) 7 FIGURE 3 FLOW CHART FOR NOTICE OF CHANGE (NOC) SUBMITTAL (DESIGN ACTIVITY IS AUTHORIZED TO ANALYZE CH

20、ANGES ON BEHALF OF CUSTOMER) 8SAE INTERNATIONAL AS9116 Page 3 of 281. SCOPE1.1 GeneralThe 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 activi

21、ties) at various levels within the supply chain. Each design activity controls 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.P

22、roposed changes to design information that the design activity identifies to 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 sp

23、ecifications shall be approved prior to implementation. In many cases, the design activity is not the design approver or authority; ultimate approval may be several layers above the design activity. The typical flow of design requirements to the supplier, from the design authority, and the change no

24、tification flow is presented in Figure 1.FIGURE 1 - TYPICAL DESIGN REQUIREMENTS AND CHANGE NOTIFICATION FLOWSubmitting NOC data either electronically or conventionally on paper is subject to the terms and conditions of the customerscontract. This also includes, where applicable, data access under th

25、e regulations of export control.The process of exchanging, coordinating, and approving NOC data varies with the multiple relationships and agreements among all organizations concerned. The information provided by this standard forms the architecture for submitting and managing data that allows for c

26、oncise 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 communication (e.g., electronic data interchange, submission of conventional paper forms).If all or part of this standard is invo

27、ked in the contract, design activities and design holders (i.e., the organization responsible for the design) that have responsibility for change management of products used on other higher-level designs shall use the information and processes defined in this standard, and in accordance with the con

28、tract, for submitting change notifications to customers.1.2 ApplicationThis standard defines the common NOC requirements for aviation, space, and defense organizations. Included are the requirements that an internal/external supplier or subcontractor shall use when submitting a NOC to the customer f

29、or 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 captures the evolution of the part. This requirement is of

30、 utmost importance in commercial/civil aviation products where changes to type certificated products are mandated by regulations. However, these same concepts are also required to some degree in defense and space applications per contractual requirements.SAE INTERNATIONAL AS9116 Page 4 of 28This sta

31、ndard 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 request process. Ad

32、ditionally, 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 definition from on

33、e commercial part number to a different commercial part number) shall be processed in accordance with this standard.When this standard is applied to an organization that distributes product, then this standard shall be a requirement from the distribution organization to the organization from which t

34、he product is procured. The distribution organization may act as a conduit for the NOC or the design activity (supplier) may work directly with the design authority (customer). The distributor should be compliant with the 9120 standard, as defined by customer requirements.Application or implementati

35、on of this standard in any form, either expressed or implied, is not allowed for product which has escaped the suppliers quality system.2. APPLICABLE DOCUMENTSThe following publications form a part of this document to the extent specified herein. For dated references, only the edition cited applies.

36、 For undated references, the latest edition (including any amendments) applies. When a conflict in requirements between this document and referenced standards exists, the requirements of this document shall take precedence. Nothing in this document, however, supersedes applicable laws and regulation

37、s, unless a specific exemption has been obtained.9100 Quality Management Systems - Requirements for Aviation, Space, and Defense Organizations9110 Quality Management Systems - Requirements for Aviation Maintenance Organizations 9120 Quality Management Systems - Requirements for Aviation, Space, and

38、Defense DistributorsNOTE: Equivalent versions (e.g., AS, EN, JISQ, SJAC, NBR) of the IAQG standards listed above are published internationally in each sector.ANSI/ASME Y14.24 Types and Applications of Engineering Drawingsdocument available from American National Standards Institute (ANSI); www.ansi.

39、orgARP9034 A Process Standard for the Storage, Retrieval and Use of Three-Dimensional Type Design DataEIA - 649 National Consensus Standard for Configuration Managementdocument available from Electronic Industries Alliance (EIA) Publications; www.eia.orgISO 9000:2005 Quality management systems - Fun

40、damentals and vocabularyRTCA/DO-254 Design Assurance Guide for Airborne Electronic Hardware(EUROCAE ED-80) document available from Radio Technical Commission for Aeronautics Inc., www.rtca.org3. TERMS AND DEFINITIONSDefinitions for general terms can be found in ISO 9000 and the IAQG Dictionary, whic

41、h is located on the IAQG website. An acronym log for this standard is presented in Appendix A. For the purpose of this standard, the following shall apply:3.1 Baseline ConfigurationThe design definition for the physical product and its performance requirements from which design change control can th

42、en take place. This is determined jointly by the customer and the design activity.SAE INTERNATIONAL AS9116 Page 5 of 283.2 Change EvaluatorThe person authorized on behalf of the design authority to assess the potential impact of the change(s), evaluates changes for the potential impact on the fit, f

43、orm, or functionality of the part, system, or assembly and failure to meet the customerrequirements. The change evaluator could also be the customer or the producer of the end item and/or the design authority.3.3 Critical ItemsThose items (e.g., functions, parts, software, characteristics, processes

44、) having significant effect on the product realization and use of the product; including safety, performance, form, fit, function, producibility, service life, etc.; that require specific actions to ensure they are adequately managed. Examples of critical items include safety critical items, fractur

45、e critical items, mission critical items, key characteristics, etc.3.4 DeliverableAny design data provided to the customer which represents the product provided.3.5 Design ActivitiesThe supplier design activity or subcontractor that owns the design and provides a deliverable to the customer.3.6 Desi

46、gn AuthorityAn organization 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

47、., Type Certificate (TC); Supplemental Type Certificate (STC); Parts Manufacturer Approval (PMA); Technical Standard Order (TSO)/European Technical Standard Order (ETSO); European Part Approval (EPA); European Aviation Safety Agency (EASA) Part 21 - “Design Organization Approval Holder”, or equivale

48、nt.3.7 End ItemThe item that is ultimately delivered to the end user (e.g., vehicle, propulsion system).3.8 Key CharacteristicsAn attribute or feature whose variation has a significant effect on product fit, form, function, performance, service life, or producibility that requires specific actions f

49、or the purpose of controlling variation (refer to 3.3).3.9 MandatoryA requirement that shall be fulfilled or common transferable data that shall be provided and systematically recorded.3.10 OptionalAny data field that is not defined as mandatory by this standard, including any special data fields requested by the customeror the originator.3.11 ProductAny