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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
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 2007 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: 724-776-4970 (outside USA)
4、 Fax: 724-776-0790 Email: CustomerServicesae.org SAE WEB ADDRESS: http:/www.sae.org AS9104/2 AEROSPACE STANDARD Issued 2007-03 Requirements for Oversight of Aerospace Quality Management System Registration/Certification Programs RATIONALE This document is written to define a robust shared oversight
5、process to ensure conformance to established aerospace industry 9100-series accreditation/certification requirements. FOREWORD In December 1998, the Aerospace Industry established the International Aerospace Quality Group (IAQG) with the purpose of achieving significant improvements in quality and r
6、eductions in cost throughout the value stream. This document details the operating processes of the IAQG Other Party Management Team (OPMT) that monitors and reviews the Aerospace Supplier Quality System Accreditation/Certification Schemes of each Sector Management Structure (SMS). This document pro
7、vides requirements for a shared oversight process based on: - the establishment of oversight committees at the international and global sector levels. - use of joint team assessments. - the use of qualified and approved IAQG member Other Party (OP) assessors. - the use of common assessment tools. -
8、the reporting of oversight results. This document addresses the following issues: a. Establishment of standard oversight processes in all three global sectors (Europe, Asia Pacific and the Americas). The management of these global sector schemes is referred to as SMS. b. Oversight of SMS, Certificat
9、ion Body Management Committees (CBMCs), Accreditation Bodies (ABs), Certification Bodies (CBs), Auditor Authentication Bodies (AABs), Training Provider Approval Bodies (TPABs) and training providers. Copyright SAE International Provided by IHS under license with SAELicensee=Defense Supply Ctr/591397
10、7001 Not for Resale, 12/04/2007 19:48:36 MSTNo reproduction or networking permitted without license from IHS -,-,- SAE AS9104/2 - 2 - TABLE OF CONTENTS 1. SCOPE4 1.1 Purpose.4 2. REFERENCES4 3. DEFINITIONS .5 3.1 Accreditation Body (AB)5 3.2 Aerospace.5 3.3 Aerospace Experience Auditor (AEA).5 3.4 A
11、uditor Authentication Body (AAB).5 3.5 Certification Body (CB) .5 3.6 Certification Body Management Committee (CBMC).5 3.7 International Aerospace Quality Group (IAQG)5 3.8 International Aerospace Quality Group (IAQG) Sector or Sector.6 3.9 Joint Team Assessment6 3.10 Nonconformity.6 3.11 Office Ass
12、essment6 3.12 Other Party (OP) Assessor.6 3.13 Sector Management Structure (SMS).6 3.14 Training Provider.6 3.15 Training Provider Approval Body (TPAB) .6 3.16 Witness Assessment.6 4. GENERAL.7 5. REQUIREMENTS FOR PARTICIPATING INTERNATIONAL AEROSPACE QUALITY GROUP MEMBER COMPANIES .8 5.1 Other Part
13、y Assessor8 5.2 Supplemental International Aerospace Quality Group Member Oversight:9 6. REQUIREMENTS FOR INTERNATIONAL AEROSPACE QUALITY GROUP OTHER PARTY MANAGEMENT TEAM .9 6.1 Responsibilities of the Other Party Management Team.9 6.2 Other Party Management Team Actions Required to Fulfill the Res
14、ponsibilities Defined in 9104 10 6.3 Oversight of the On-line Aerospace Supplier Information System Database.10 6.4 Oversight of Sector Management Structure .10 6.5 International Aerospace Quality Group Reporting Requirements 11 7. REQUIREMENTS FOR THE SECTOR MANAGEMENT STRUCTURE12 7.1 General .12 7
15、.2 Responsibilities of the Sector Management Structure12 7.3 Sector Management Structure Oversight of Certification Body Management Committees .12 7.4 Oversight Scheduling13 7.5 Sector Management Structure Approval of Training Courses14 7.6 Reporting Requirements for the International Aerospace Qual
16、ity Group Other Party Management Team.14 8. REQUIREMENTS FOR INTERNATIONAL AEROSPACE QUALITY GROUP MEMBER SHARED OVERSIGHT.14 8.1 General .14 8.2 Accreditation Body/Certification Body Witness Assessments14 8.3 Accreditation Body Assessments .15 8.4 Auditor Authentication Body Assessments.16 8.5 Trai
17、ning Provider Approval Body Assessments16 8.6 Certification Body Office Assessments.16 9. ROLES AND RESPONSIBILITIES.17 9.1 General .17 9.2 Oversight Assessment Team Leader .17 9.3 Other Party Assessor18 9.4 Sector Management Structure/Certification Body Management Committee Oversight Chair18 9.5 In
18、ternational Aerospace Quality Group Other Party Management Team Oversight Chair 18 10. CONFIDENTIALITY AND CONFLICT OF INTEREST .19 10.1 General .19 Copyright SAE International Provided by IHS under license with SAELicensee=Defense Supply Ctr/5913977001 Not for Resale, 12/04/2007 19:48:36 MSTNo repr
19、oduction or networking permitted without license from IHS -,-,- SAE AS9104/2 - 3 - 10.2 Confidentiality19 10.3 Conflicts of Interest .19 11. COMPLAINT RESOLUTION PROCESS20 12. RECORDS20 APPENDIX A INTERNATIONAL AEROSPACE QUALITY GROUP (AAQG) INDUSTRY CONTROLLED OTHER PARTY (ICOP) SECTOR MANAGEMENT S
20、TRUCTURE 9SMS) DIAGRAM responsible for 9104 conformance in their respective countries. They perform the same functions as the SMS under the control of their global SMS. 3.7 International Aerospace Quality Group (IAQG) A body of prime aerospace Original Equipment Manufacturers (OEMs). This group is c
21、hartered to develop and implement common requirements and guidelines for use by the space, aviation, and defense industry for quality improvement. Copyright SAE International Provided by IHS under license with SAELicensee=Defense Supply Ctr/5913977001 Not for Resale, 12/04/2007 19:48:36 MSTNo reprod
22、uction or networking permitted without license from IHS -,-,- SAE AS9104/2 - 6 - 3.8 International Aerospace Quality Group (IAQG) Sector or Sector A sub-structure of the IAQG, consisting of the members in a specific area, such as the Americas, Europe, and Asia/Pacific. 3.9 Joint Team Assessment An o
23、versight assessment conducted in accordance with the requirements of this standard by a team of representatives, which may be comprised of AB assessors, OP assessors, and observers. 3.10 Nonconformity A non-fulfillment of a requirement (see ISO 9000). Major nonconformity - The absence of, or the fai
24、lure to implement and maintain, one or more requirements which would, on the basis of available objective evidence raise significant doubt as to the credibility of conformance; or a number of minor nonconformities against one or more requirements, which when combined, can represent a breakdown of th
25、e system or process. Minor nonconformity - An observed lapse in conformance to a requirement. 3.11 Office Assessment An on-site evaluation of an AB, CB, AAB, or TPAB at the management office, to the applicable aerospace requirements, using the evaluation tools and methods contained in this standard.
26、 3.12 Other Party (OP) Assessor An IAQG member representative that has been qualified and approved in accordance with this standard, and supports a joint team assessment or conducts supplementary IAQG member oversight activity in accordance with this standard. 3.13 Sector Management Structure (SMS)
27、The organization established in a sector that manages the application of the sector scheme based on 9104. Each sector may use a different name for this organization (i.e., Registration Management Committee in the Americas and Asia Pacific, OPMT in Europe within the AeroSpace Assessment Team Role, Or
28、ganization Name Submitted by Name Date Submitted Day/Month/Year Item Reference Assessment Results Assessment Evidence / Comments 9104 Section (Unless Otherwise Noted) A - Acceptable X - Issue Identified NA - Not Applicable NE - Not Evaluated Briefly note observed objective evidence, including streng
29、ths and issues identified during the assessment. Ensure supporting documentation exists for all identified issues. OASIS Management System 1. Does SAE establish and maintain the operation procedure for the OASIS database in accordance with the requirement or enhancement requirement decided by IAQG?
30、Review the operation procedure and its implementation status. 14.2; 9104-2, 6.3.4 2. Does SAE ensure that necessary information shall be provided to applicable database administrator of AB, CB and the registered organization? Review the record of the distribution. 3. Does SAE database administrator
31、keep the report of rejections of any input data? Review the applicable report. Appendix B, B.3; 9104-2, 6.3.4 4. Does each SMS have a process of assuring the accuracy of data being generated and maintained in their sector? Check sample of data from each sector to validate the data entry requirements
32、. 6.4.h; 8.4; Appendix B, B.3; 9104-2, 6.3.4 5. Does SAE monitor feedback from IAQG members, registrars, and suppliers as to the effectiveness and accessibility of the database? Review the monitoring method and associated records. 14.2.c; Appendix B, B.3; 9104-2, 6.3.4 Copyright SAE International Pr
33、ovided by IHS under license with SAELicensee=Defense Supply Ctr/5913977001 Not for Resale, 12/04/2007 19:48:36 MSTNo reproduction or networking permitted without license from IHS -,-,- SAE AS9104/2 - 24 - Item Reference Assessment Results Assessment Evidence / Comments 6. Does SAE keep backup data a
34、nd provide data security? Review the status of data backup and data security methods, including review of any applicable process documentation. 9104-2, 6.3.4 7. Does review of OASIS financial data how it is in “Good Health” in accordance with the decision by IAQG? Review the OASIS financial report.
35、9104-2, 6.3.4 8. 9. Copyright SAE International Provided by IHS under license with SAELicensee=Defense Supply Ctr/5913977001 Not for Resale, 12/04/2007 19:48:36 MSTNo reproduction or networking permitted without license from IHS -,-,- SAE AS9104/2 - 25 - APPENDIX C - SECTOR MANAGEMENT STRUCTURE (SMS
36、) ASSESSMENT CHECK SHEET (To be used with Appendix D for Certification Body Management Committee CBMC Assessments, as appropriate) SMS/CBMC Name Sector/ Country SMS/CBMC Contact Name Assessment Date(s) Day(s)/Month/Year OP Assessor(s) First Name, Last Name; Assessment Team Role, Organization Name Su
37、bmitted by Name Date Submitted Day/Month/Year Item Reference Assessment Results Assessment Evidence / Comments 9104 Section (Unless Otherwise Noted) A - Acceptable X - Issue Identified NA - Not Applicable NE - Not Evaluated Briefly note observed objective evidence, including strengths and issues ide
38、ntified during the assessment. Ensure supporting Documentation exists for all identified issues. SMS/CBMC Documentation 1. Does the sector/national scheme documentation comply with AS/EN/SJAC 9104, in respect of the following key criteria: Industry control? Aerospace auditor qualifications and train
39、ing? AB requirements and approval? CB requirements and approval? Use of Aerospace Assessment Reports and Questionnaires? Duration of assessments and composition of assessment team? Management of nonconformities? Relationship with ABs? Rights of access for Industry and Authorities? 2. Has the sector/
40、national scheme documented their auditor authentication process and is it consistent with AS/EN/SJAC 9104? 7; 11 3. Has the sector/national scheme documented auditor training scheme requirements and are they consistent with AS/EN/SJAC 9104? 6.4.b; 6.4.c SMS/CBMC Deployment 4. Is the sector/national
41、management committee scheme functioning satisfactorily? Frequency of meetings? Attendance of relevant members? 4; 6; 7; 15.2 Copyright SAE International Provided by IHS under license with SAELicensee=Defense Supply Ctr/5913977001 Not for Resale, 12/04/2007 19:48:36 MSTNo reproduction or networking p
42、ermitted without license from IHS -,-,- SAE AS9104/2 - 26 - Item Reference Assessment Results Assessment Evidence / Comments 5. Are ABs/CBs qualified and accredited in accordance with AS/EN/SJAC 9104? Evaluate the following criteria: ISO/IEC Guide 62. Advisory group experience. Certification functio
43、n. Training programs. Auditor records. Assessment process documentation. Surveillance and witness audits by ABs and/or SMS/CBMC. 5; 6; 7; 8 6. Is auditor authentication performed? Evaluate the following: Basic auditor capability. Aerospace experience validation. Endorsement by SMS/CBMC. 7; 11 7. Are
44、 training organizations and training courses qualified and approved by SMS/CBMC or AB? Evaluate the following: Auditor training. In-depth aerospace industry competency course. 7.1.b; 7.2.2.1; 7.3.2.1; 7.4.2.1 9104-2, 7.5.1 8. Have the ABs in the sector/nation been approved? Are approved ABs identifi
45、ed in the OASIS database? 9.1 9. Are annual reviews of CBs performed by the SMS/CBMC? Oversight to include the following activities: Annual review of AB oversight activity of CBs. Annual onsite office assessment of AB. Annual witness audit of at least one AQMS accreditation or surveillance audit of
46、a CB. 9.2; 10 10. Are the declaration forms managed and OP assessors properly designated? 9104-2, 10 CBs Audits Conduct and Reporting 11. Does the SMS/CBMC review audit reports? 8; 10 12. Does evidence exist that CBs are complying with the requirements of AS/EN/SJAC 9104? 10 Records/Database 13. Are
47、 summary results of assessments made globally accessible? 6.4.h; 8.4 14. Are integrity checks on data entry conducted? Evaluate their effectiveness. 5; 6.4; 8.4 Monitoring of Feedback and Complaint Handling 15. Has the SMS/CBMC managed feedback or complaints in accordance with AS/EN/SJAC 9104? 10.7;
48、 9104-2, 11 Copyright SAE International Provided by IHS under license with SAELicensee=Defense Supply Ctr/5913977001 Not for Resale, 12/04/2007 19:48:36 MSTNo reproduction or networking permitted without license from IHS -,-,- SAE AS9104/2 - 27 - Item Reference Assessment Results Assessment Evidence / Comments Other 16. Has the SMS/CBM