Supplier Quality Requirements...If sampling is authorized by SNC the sampling plan shall be statistically valid. It is recommended that ANSI/ASQ Z1.4 - Sampling Procedures and Tables

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© 2019 Sierra Nevada Corporation. Page 1 of 21

INTRODUCTION: This document relates the requirements of the International Aerospace Quality Group (IAQG) AS/EN 9100 - Quality Management Systems – Requirements for Aviation, Space and Defense Organizations.

The requirements contained herein are applicable for Suppliers providing goods service to SNC.

Note: For guidelines on implementing supply chain best practices, reference the IAQG Supply Chain Management Handbook (SCMH).

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1 SCOPE .................................................................................................................................................................................. 4

2 TERMS AND DEFINITIONS .................................................................................................................................................... 4

3 QMS Requirements .............................................................................................................................................................. 5

4 Process Type Requirements ............................................................................................................................................... 10

5 FAA Requirements ............................................................................................................................................................. 17

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6 SNC / Regulatory Authority Specific Requirements ............................................................................................................ 20

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1 SCOPE

The requirements of this document apply to all Suppliers that provide direct materials, processes, or services that will either be incorporated into SNC’s products and services or that may be provided directly to a customer on behalf of SNC. Each Supplier will need to review the document and comply with the sections that are applicable to the products and services that they provide. In addition to this document some products and services will have more specific requirements flowed down through Statements of Work or similar documents provided by SNC.

2 TERMS AND DEFINITIONS

• For normative references the following verbiage that is used:

o “Shall” indicates a requirement. o “Should” indicates a recommendation. o “May” indicates a permission. o “Can” indicates a possibility or a capability.

• Product Related Services: Any action that includes services, events, or persons that enhance or add value to the end product.

• ANSI: American National Standards Institute • ASQ: American Society for Quality • ASTM: American Society for Testing and Materials • CAGE: Commercial and Government Entity Program • Certificate of Compliance, Certificate of Conformance • CFR: Code of Federal Regulations • EASA: European Aviation Safety Agency • ERP: Enterprise Resource Planning • ESD: Electrostatic Discharge • FAA: Federal Aviation Administration • FSDO: Flight Standards District Offices • Goods: A product to be bought and/or sold • MIL: MIL-Standards or MIL-Specifications • Mission Critical Item: Those items (e.g., functions, parts, software, characteristics, processes) having significant effect on

the provision and use of the products and services; 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, fracture critical items, mission critical items, key characteristics, etc.

• Non Conformance Classifications for Material Review Board (Major/Minor): o Major: Material or product found to not conform to one or multiple specified design or procurement

requirements. Materials or products not conforming to requirements will either negatively impact form, fit, function, performance, or safety and may result in a contractual noncompliance or product failure.

o Minor: Material or product found to not conform to a specified design or procurement requirement or requirements that will not negatively impact form, fit, function, performance, or safety that will not result in a contractual noncompliance or product failure and may be corrected prior to use.

• OCM: Original Component Manufacturer • ODA: Organization Designation Authorization • OEM: Original Equipment Manufacturer • Purchase Order (PO): A buyer generated document that authorizes a purchase transaction or supply agreement • PMA: Pacific Maritime Association • RF: Radio Frequency

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• SQAR: Supplier Quality Assurance Requirements Document • SQXR: Supplier Quality Excellence Representative • Product Assurance: SNC Program or Business Area assigned Quality Engineer • Supplier: Organization, either external or a subsidiary, that provides a product or service

3 QMS Requirements

Quality Management System or Certification

Suppliers shall maintain a Quality system that is acceptable to SNC. Acceptable systems include, but are not limited to:

• AS/EN 9100, Quality Management Systems – Requirements for Aviation, Space, and Defense Organizations • AS/EN 9110, Quality Management Systems – Requirements for Aviation Maintenance Organizations • AS/EN 9120, Quality Management Systems – Requirements for Aviation, Space, and Defense Distributors • ISO 9001, Quality Management System – Requirements • ISO 13485, Medical Devices – Quality Management Systems – Requirements for Regulatory Purposes

Competence Requirements

Suppliers shall ensure that its organization and personnel are qualified to perform the work for the products and services it provides. Supplier shall also ensure that its personnel are aware of their contribution to conformity of the product, service, product safety, and ethical behavior.

Sub-Tier Selection, Evaluation and Management

Suppliers shall control and document the selection, evaluation, and management of sub-tier Suppliers. Records shall be kept for these activities.

Design & Development Control

Suppliers that perform design or development work for SNC shall demonstrate the ability to control design and document development efforts.

Notification of Changes1 / Change Authority

The Supplier shall provide in writing advance notification to SNC of any change(s) to design, tooling, facilities, materials, processes for fabrication, assembly, handling, testing, change of designate/Key Personnel, or introduction of a new-sub-tier Supplier for any of the above mentioned items that have been previously approved by SNC. For certification changes, the Supplier shall notify SNC immediately upon notification.

Supplier shall notify Buyer and SQXR, in writing, at least 180 days in advance of any sale, relocation (including internal special process equipment re-locations), or transfer of Supplier’s processing operations. Supplier shall include the following, as a minimum, in the written notification:

• Purpose of the relocation • Address of the new location(s) • Assessment of actual or potential impact to current POs

1 With the exception of sale, relocation, or transfer this section does not apply to commercial off the shelf (COTS) goods or when the Supplier maintains/hold design authority.

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• Risk management plan to ensure compliance to existing requirements • Master schedule and timeline of relocation

Production Control

Suppliers shall demonstrate a controlled environment for production to include but not limited to:

• Configuration Control • Calibration Control • Control of Work In Progress (WIP) • Foreign Object Damage Prevention

• Inventory Control • Manufacturing Control • Process Documentation • Shelf Life Control

Additionally the documentation for production of processes and services should include, as applicable, the availability of documented information that defines:

1. The characteristics of the products to be produced, the services to be provided, or the activities to be performed. 2. The results to be achieved. 3. The availability and use of suitable monitoring and measuring resources. 4. The implementation of monitoring and measurement activities at appropriate stages to verify that criteria for control of

processes or outputs, and acceptance criteria for products and services, have been met. 5. The use of suitable infrastructure and environment for the operation of processes. 6. The appointment of competent persons, including any required qualification. 7. The validation, and periodic revalidation, of the ability to achieve planned results of the processes for production and

service provision, where the resulting output cannot be verified by subsequent monitoring or measurement. 8. The implementation of preventive action to prevent human error. 9. The implementation of release, delivery, and post-delivery activities. 10. The establishment of criteria for workmanship. 11. The accountability for all products during production. 12. The control and monitoring of identified critical items, including key characteristics, in accordance with established

processes. 13. The determination of methods to measure variable data. 14. The identification of in-process inspection/verification points when adequate verification of conformity cannot be

performed at later stages. 15. The availability of evidence that all production and inspection/verification operations have been completed as planned, or

as otherwise documented and authorized. 16. The identification and recording of products released for subsequent production use pending completion of all required

measuring and monitoring activities, to allow recall and replacement if it is later found that the product does not meet requirements.

Test, Inspection, Verification, and Release of Products

Suppliers shall ensure the ability to meet the Purchase Order requirements related to applicable test, inspection and verification activities required to deliver conforming product.

The Supplier shall inspect and ensure conformity for all parts to be delivered to SNC.

If sampling is authorized by SNC the sampling plan shall be statistically valid. It is recommended that ANSI/ASQ Z1.4 - Sampling Procedures and Tables for Inspection by Attributes, or ANSI/ASQ Z1.9 – Sampling Procedures and Tables for Inspection by Variables for Percent Nonconforming be used. Suppliers shall use sampling procedures and tables indicated in product definition of items procured. Prior to use, the sampling plan shall be submitted and approved by SNC Product Assurance. The use of a sampling plan in no way affects SNC right to reject any unit(s) of product found defective.

For Test, Inspection, Verification, and Release of FAA Products, see Section 5.

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Calibration

The Supplier should have a documented calibration system that meets the requirements of ISO 10012 - Measurement Management Systems – Requirements for Processes and Measuring Equipment, or the American National Standard Institute (ANSI)/National Conference of Standards Laboratories (NCSL) Z540.3 - Requirements for the Calibration of Measuring and Test Equipment. Traceability to International System of Units (SI) is required.

For outsourced calibration of equipment, it is required that the third party calibration Supplier maintain accreditation to ISO/IEC 17025, current revision.

Configuration Management

Supplier shall be responsible for controlling/tracking changes to parts and components manufactured to ensure that the end product or deliverable meets specified functional and physical requirements of the Purchase Order. This includes any part or component manufactured to SNC or Supplier drawings, specifications, or special process procedures. The Supplier and SNC shall document agreements as to the extent of SNC’s involvement in configuration management to be applied to Purchase Orders. At a minimum, with each shipment, Supplier should submit “configuration documents”, which define the requirements, designs, build/production and verification for a configuration controlled item which may be included as part of a Certificate of Compliance. This record shall be signed and dated by a representative of the Supplier’s Quality department. In addition to the above mentioned information, the documentation shall include the following:

• SNC’s Purchase Order number • Line item number (if applicable) • Part number (of deliverable item and all traceable/repairable sub-tiered parts) • Serial number (Traceability as required per Purchase Order) • Lot number (Traceability as required per Purchase Order) • Drawing number (for Drawings related to deliverable item and all traceable/repairable sub-tiered parts) • Revision level (baseline configuration of drawing to which hardware was built) • Engineering order(s) (or equivalent drawing changes as applicable) • SNC approved deviations and waivers (as applicable)

Nonconformance Control, Documentation, & Reporting

For SNC controlled designs unless otherwise agreed in contractual requirements or Statements of Work, per this requirement SNC grants no authority for Suppliers to perform final disposition of product or process nonconformance(s), except items that are reworked to conformance to print, drawing, or specification. This includes disposition of nonconformance identified at sub-tier Suppliers. Repair and Use-As-Is are not allowed under this section, final disposition of nonconformance is at the discretion of SNC.

The controls and related responsibilities for dealing with nonconforming product shall be defined in a documented procedure. The Supplier’s documented procedure shall also define the responsibility for review and authority for the disposition of nonconforming product and the process for approving personnel making these decisions.

When a nonconformance is discovered, a review process shall be initiated with the identification and documentation of the nonconformance. This review shall be the initial step performed by the Supplier to determine if the nonconformance needs to be reported to SNC (see below), and to determine if the nonconformance is minor and can be re-worked to a condition that completely conforms to the drawing or specification requirements.

This review does not negate the requirement to identify (red tag), segregate, document, and report and disposition nonconformance(s).

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Nonconformance(s) shall be reported to SNC as soon as it is detected and determined not to be re-workable and may be salvageable. When notification is required, notification shall be within 3 working days after the nonconformance is discovered. This requirement applies to all Purchase Orders.

Any nonconformance discovered by the Supplier, on products in their control, shall be documented by the Supplier on their approved method of nonconformance reporting and submitted to SNC. This shall include a detailed description of the nonconformance; location (by drawing reference point, hardware reference point, clock location, etc.); and exact callout of the violation by drawing or specification requirement (including sub-paragraph or illustration number). It shall also list what type of inspection revealed the discrepant condition, and what, if any, subsequent actions were taken prior to disclosure. Out of specification violations shall include “should be” and “is” dimensions, and tool(s) calibration traceability numbers.

The Supplier shall ensure that product, which does not conform to product requirements, is identified and controlled to prevent its unintended use or delivery until dispositioned or scrapped after review.

Corrective Action (Internal) & Management / Response to Supplier Corrective Action Requests

When a nonconformity or noncompliance occurs internally, including any arising from complaints from SNC as noted from a Supplier Corrective Action (SCAR), the Supplier shall perform one or more of the following:

1. React to the nonconformity or noncompliance and, as applicable: a. Take action to control and correct it. b. Deal with the consequences.

2. Evaluate the need for action to eliminate the cause(s) of the nonconformity or noncompliance, in order that it does not recur or occur elsewhere (systemic or related process impact), by:

a. Reviewing and analyzing the nonconformity or noncompliance. b. Determining the causes of the nonconformity or noncompliance. c. Determining if similar nonconformities or noncompliance exist, or could potentially occur.

3. Implement any action(s) needed, including training or re-training of personnel to the updated processes. 4. Review the effectiveness of any corrective action taken. 5. Update risks and opportunities determined during planning, if necessary. 6. Make changes to the quality management system, if necessary.

Corrective actions and SCARs should be appropriate to the effects of the nonconformities or noncompliance encountered. Responses to SCARs shall be approved/disapproved by SNC stakeholders and the SQXR.

Material Review Board (MRB) Authority

Supplier is not authorized for MRB Authority for any product where supplier does not hold Design Authority. Supplier also does not have authorization from SNC for MRB authority to disposition for “Use-As-Is”, “Repair”, or any change to form, fit, or function (Major or Minor) without written authorization from SNC. Only shipments of supplies and/or services that conform to all of the requirements should be accepted unless authorized in writing by the Buyer. The Supplier shall document the nonconformance on the Supplier’s nonconformance reporting document. The Supplier shall forward nonconformance documentation to SNC for disposition. As requested from SNC, if it is determined that Supplier is responsible for the nonconformance, corrective action shall be documented and accomplished in a timely manner. SNC will provide documentation to be sent in with the deliverable in the form of a Nonconformance Document, waiver or variance, and/or a copy of the written authorization.

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Failure Analysis, Rework, Replacement, or Upgrade (Returned or RMA Material)

Failure Analysis Report

The Supplier shall submit to SNC a failure analysis report for each item repaired. The following information shall be included in the report: Part number, Description, Serial Number, Revision and Quantity. The failure analysis shall identify the cause of failure, rework performed, list of components replaced, and suggested preventative actions to prevent recurrence.

Rework, Replacement, or Upgrade

Materials returned for Rework, Replacement, or Upgrade as result of defect or engineering change are to be supported by sufficient details describing the extent of the work performed, materials and equipment used, and validate its acceptance. The Supplier shall provide updated documentation to SNC signifying that the reworked or upgraded product is now conforming to requirements. Replacement product shall meet the requirements for new product as defined in this document. If replacement material is sent, the original item may need to be retained or returned to SNC. The suppler shall request direction on how to disposition the original material if it has been authorized through SNC MRB processing.

Notice of Quality Escape

When a nonconformance is determined to exist or is suspected to exist on goods and/or services provided to SNC under any Purchase Order, Supplier shall provide a written Post Delivery Notification Letter of Disclosure [Notification of Escape (NOE)] to an SNC’s Buyer and SQXR.

Supplier shall notify SNC immediately upon identification of the nonconformance and provide all available information. SNC will then identify and notify the Suppler if the nonconformance affects Safety of Flight2 or is a mission critical item. If the item is a Safety of Flight or Mission Critical the Suppler shall continue to update SNC until a full NOE can be completed.

At minimum, Supplier shall include the following NOE information:

1. Date(s) goods and/or services were shipped under this Purchase Order 2. SNC’s Purchase Order number and line item number 3. Part number(s) and when applicable, the associated serial number(s) and / or lot number(s) 4. Quantity 5. Date of manufacture and any other pertinent information including but not limited to:

a. How the discrepancy was identified b. Actions taken if the escape was due to the Supplier’s design.

6. Specific description of nonconformance (i.e., “should be” and “is” condition) with reference to applicable engineering documentation

7. Statement declaring whether the nonconformance was determined to exist or suspected to exist 8. Preliminary root cause and root cause corrective action

2 Safety of Flight Categories

• Category 1: A part, the failure of which could prevent continued safe flight and landing; resulting consequences could reduce safety margins, degrade performance, or cause loss of capability to conduct certain flight operations.

• Category 2: A part, the failure of which would not prevent continued safe flight and landing, but would reduce the capability of the aircraft or the ability of the flight crew to cope with adverse operating conditions or subsequent failures.

• Category 3: A part, the failure of which would have no effect on the continued safe flight and landing of the aircraft

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9. Name of the Supplier’s Quality personnel and contact information involved in the collection and reporting of the NOE information.

Flow Down Requirements

Applicable requirements including End Customer requirements that are invoked or applied to Supplier’s Purchase Order, including this clause, shall be passed down to Supplier’s sub-tiers. Supplier may communicate these requirements in a format of their choice that captures the intent of the flow down requirements.

Record Retention

In addition to any SNC Terms and Conditions requirements Supplier and sub-tier shall maintain verifiable objective evidence of all Quality Documents including but not limited to inspections and tests performed, results obtained, dispositions of non-conforming articles, and information of approved maintenance capabilities or ratings of sub-tier(s). These records shall be identified to associated articles, including heat and lot number of materials, unit or lot serialization. These records shall be made available to SNC and/or government representatives upon request and shall be retained in a safe, accessible location for a period of 10 years after date of delivery or as defined in the Purchase Order.

The Supplier's records associated with the manufacture of serialized or lot controlled articles shall provide for continued traceability of serial numbers or lot number identification through all phases of manufacturing, commencing with the raw material and continuing through final acceptance of the end item.

Records held for the required retention period shall not be destroyed without SNC's written concurrence. This includes if the suppler is dissolved or sold.

Material Obsolescence

Obsolescence occurs when a component or material is no longer in production by the original manufacturer. If an obsolescence issue occurs or is expected to occur, the Supplier shall notify SNC of this condition upon identification. The Supplier assumes responsibility for identification, notification, and resolution of obsolescence issues to SNC.

1. The Supplier shall immediately define the shortage by providing SNC with the component or material manufacturer number (OEM), affected end item part number, affected end item nomenclature, and quantity per unit deliverable.

2. The Supplier shall provide satisfactory evidence that a prudent effort was made to identify and implement an alternate part (i.e. parts that are technically and physically compatible with hardware design.). Before alternate part is implemented, the Supplier shall provide the alternate manufacturer part number (OEM) to SNC for approval.

3. If an alternate part was not identified, the Supplier shall determine whether there is an opportunity for a last time buy. The Supplier shall provide the last time buy date and notification, attrition rate of indentured electronic component, replacements to date of indentured electronic component, and SPEC mean time between failures of indentured electronic component to SNC.

4 Process Type Requirements

ESD & Moisture Sensitive Products

If the Supplier is providing ESD sensitive electrical piece parts or Moisture Sensitive Devices (MSD), Supplier shall document and implement an ESD and MSD Control Program in accordance with ANSI/ESD S20.20, ESD Association Standard for the Development of an Electrostatic Discharge Control Program for Protection of Electrical and Electronic Parts, Assemblies and Equipment (Excluding Electrically Initiated Explosive Devices) and IPC/JEDEC J-STD-033 current revision, Standard for Handling, Packing, Shipping and Use of Moisture, Reflow, and Process Sensitive Devices. Parts shall be properly packaged and identified as required in ANSI/ESD-S20.20

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and IPC/JEDEC J-STD- 033. All goods shall be placed in conductive or static-dissipative packages, tubes, carriers, conductive bags, moisture barrier bags, etc. for shipment. The packaging shall be clearly labeled to indicate that it contains electrostatic or moisture sensitive goods. Electrical parts that may be used or shipped in conjunction with ESD sensitive parts shall be treated as ESD sensitive. Use of Pink Poly packaging material as the primary protective method of material for shipment of product to SNC is strictly prohibited.

Foreign Object Debris/Damage (FOD)

For articles, particularly components and assemblies susceptible to foreign object damage, the Supplier shall ensure articles are free from FOD and damage from debris resulting from processing or assembly and packaging operations.

The Supplier shall establish, document and maintain a program to control and eliminate FOD and/or contamination during the Supplier’s manufacturing, assembly, test, inspection, packaging and shipping operations. When applicable, the Supplier’s FOD control program shall include controls to preclude FOD or contamination at the Supplier’s sub-tier sources. The following basic elements shall be included in the Supplier’s FOD control program.

• FOD prevention training • Manufacturing planning consideration for FOD prevention • Work sequencing • Cleanliness of work area • Control of tools, personal items, fasteners, scrap, etc. • Protection from FOD during handling, packaging and shipping • Periodic (annually, or more often by Supplier internal controls) evaluation of the FOD control program for effectiveness

The Supplier’s FOD control program is subject to on-site review and approval by SNC’s SQXR.

Silicone Processing

All silicone processing, including the use of curing ovens, tools, equipment, fixtures, the supplies, and garments used in the operations, shall be segregated from other polymeric material operations to preclude contamination of assemblies, tools, workspaces, and equipment not intended for use with silicone materials.

Packaging, Handling, Labeling, etc.

The Supplier shall be responsible for ensuring that items provided under SNC Purchase Orders are packaged in such a manner that the dimensional integrity is preserved, contamination and corrosion are prevented, and no physical damage occurs. Packaging when specified shall be in accordance with the drawing, appropriate ASTM, MIL, or other applicable End Customer specified requirement and prevents damage, deterioration, substitution or loss in transit. The Supplier shall label the exterior of the package to ensure adequate identification of precautions needed to ensure the integrity of the product being shipped. The Supplier shall specify the handling and shipping methods that ensure proper and on-time delivery without damage to the product. The Supplier shall ensure that special labeling requirements are listed in the appropriate shipping documents and on each package according to SNC drawings, Statements of Work (SOW), or through the Purchase Order.

Counterfeit Materials Management

The Supplier shall maintain a Counterfeit Part risk mitigation process internally, and with its Suppliers, using SAE AS5553, AS6174 or other industry standards as applicable. Unless approved in writing by the Buyer, Supplier shall use only Original Equipment Manufacturers or Original Component Manufacturers (OEM/OCM) or an OEM/OCM Authorized Distributor.

Supplier shall verify all documents that provide chain of custody to the original manufacturer for each lot in a shipment. Upon request from Buyer, these documents shall be provided to SNC.

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Government-Industry Data Exchange Program (GIDEP)

Suppliers shall participate in the Government-Industry Data Exchange Program (GIDEP) in accordance with requirements of the GIDEP S0300-BT-PRO-0101 and SO300-BU-GYD-010, available from the GIDEP Operations Center, PO Box 8000, Corona, California 91718-8000. The Supplier shall review all GIDEP ALERTS, GIDEP SAFE-ALERTS, GIDEP Problem Advisories and GIDEP Agency Action Notices to determine if they affect the Supplier’s products / services provided to SNC. For those that affect SNC and its programs, the Supplier shall take action to eliminate or mitigate any negative effect to an acceptable level, as agreed with SNC. The Supplier shall generate the appropriate failure experience data report(s) (e.g. GIDEP alert, GIDEP SAFE-ALERT, GIDEP Problem Advisory) whenever failed or nonconforming items, available to other buyers, are discovered during the course of fulfilling SNC Purchase Order and/or contract requirements.

First Article Inspection Report (FAIR)

The Supplier shall perform a FAIR on new product representative of the first production run when required by SNC drawing, documentation or Purchase Order. Exceptions to this are those items that are Standard Catalog Items, Raw Materials, and product covered by Industry or Military Standards.

A new full FAIR shall be performed when any of the following events occur:

1. A change in design, manufacturing source(s), process(es), inspection method(s), location of manufacture, tooling, or materials that does affect form, fit or function.

2. A change in part number, revision, or process control changes that can potentially affect form, fit, or function. 3. A lapse in production for two years or as specified by the Buyer.

A Partial / Delta FAIR shall be performed when any of the following events occur:

1. A change in design, manufacturing source(s), process(es), inspection method(s), location of manufacture, tooling, or materials that does not affect form, fit or function.

2. A change in Special Process Supplier.

The inspection records and data should be per AS9102 (acceptable form can be found at: http://www.sae.org/aaqg/publications/as9102a-faq.htm) and shall identify each characteristic, features, and drawing notes required by design data, the allowable tolerance limits, and the actual dimension measured as objective evidence that each characteristic and feature has been inspected and accepted by the Supplier’s quality and/or inspection function. When testing is required, the parameters and results of the test shall be recorded in the same manner.

When a FAIR is required by Purchase Order the SNC Buyer shall define in writing one of the following methods for review of the FAIR:

Default – DELIVERY OF FIRST ARTICLE INSPECTION RECORDS w/ ALL MATERIAL:

The Supplier shall provide 1 reproducible copy of the first article records and first article report accompanied by variables data with the initial shipment.

Option 1 – (defined by written Purchase Order), SOURCE INSPECTION OF FIRST ARTICLE:

SNC’s source inspection to verify conformance and witness the first article inspection, or specific details of the first article inspection, as necessary. Prior to commencing work, promptly notify SNC’s Supplier Quality Assurance Representative (SQXR) or designee assigned, assigned to the Supplier’s facility so the appropriate inspection plan can be coordinated 2 weeks prior to the completion of the FAIR. In the event that a SQXR does not normally service the Supplier’s facility, immediately notify the SNC Buyer to obtain a point of contact for the appropriate SQXR assignment. If the FAIR is accepted it shall be signed by SNC’s SQXR or designee and a copy sent to the Supplier’s facility for retention

http://www.sae.org/aaqg/publications/as9102a-faq.htm

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Option 2 – (defined by written Purchase Order), DELIVERY OF FIRST ARTICLE and FAIR Report:

The Supplier is required to identify and deliver the first article item and report to SNC for verification, as part of the Purchase Order, prior to the shipment of any balance of said Purchase Order.

Special Process Certification

A ‘Special Process’ is defined as any process for production and service provision where subsequent monitoring or measurement cannot verify the resulting output. This includes any process where deficiencies become apparent only after the product is in use or the service has been delivered. Examples may include, but are not limited to:

1. Chemical Processing a. Anodizing b. Chemical Cleaning c. Chemical Milling d. Conversion / Phosphate Coatings e. Paint / Dry Film Coatings f. Plating g. Stripping h. Surface Treatment / Passivation i. Etching

2. Coatings a. Thermal Spray b. Diffusion Coatings c. Vapor Deposition d. Coating Evaluation Laboratory e. Stripping of Coatings f. Heat Treating of Coated Parts g. Dry Film Lubrication of Coated Parts h. Plating of Coated Parts

3. Composites a. Compression Molding (CMP) b. Core Processing (CP) c. Liquid Resin Processing (LRP) d. Metal Bonding (MB) e. Prepreg/Adhesive Bonding/Resin Film Infusion (PAR)

4. Heat Treating a. Metal Systems (Carbon & Alloy Steel / Tool Steel / Stainless Steel / pH Steel Cast Iron / Aluminum Alloys / Titanium

Alloys / Heat Resisting Alloys / Other Nonferrous Metals) b. Heat Treating Processes (Normalizing / Annealing / Hardening & Tempering / Solution Heat Treating / Aging /

Carburizing / Nitriding / Stress Relieving) c. Heat Treating Equipment (Furnace / Pyrometry / Instrumentation / Atmospheric Control) d. Brazing (Vacuum Brazing / Induction Brazing) e. Hot Forming

5. Materials Testing Laboratories a. Chemical Analysis b. Mechanical Testing c. Metallography (Micro & Macro) d. Micro-Indentation Hardness Vickers, Knoop e. Macro-hardness Brinell, Rockwell, Vickers f. Corrosion g. Mechanical Test Specimen Preparation h. Differential Thermal Analysis (DTA) i. Specimen Response/Capability to Heat Treat j. Fastener Testing

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6. Nondestructive Testing a. Liquid Penetrant Testing b. Magnetic Particle Testing c. Ultrasonic Testing d. Radiographic Testing e. Eddy Current Testing f. Digital Radiographic Testing (DDA)

7. Welding a. Torch / Induction Brazing b. Flash Welding c. Electron Beam Welding d. Resistance Welding e. Fusion Welding f. Laser Welding g. Friction / Inertia Welding h. Diffusion Welding i. Percussion Stud Welding

Special processes should be performed only by sources that have been surveyed and qualified/approved, by NADCAP (National Aerospace and Defense Contractors Accreditation Program) or equivalent accreditations. The Supplier shall provide to SNC upon request all documentation showing evidence of qualification of use of approved special processes. In the case that a Supplier or sub-tier is not accredited by NADCAP or equivalent accreditations, the Supplier is to immediately request approval from SNC for written approval for use of the special processesor. Approval without certification does not allow variance from the standards, form, fit, or function of any of the special processes to meeting and exceeding the minimum requirements of the end item or the Supplier’s responsibility to meet the Purchase Order or documented requirements.

A special process certification shall be provided with each shipment of item(s) delivered on the Purchase Order. Special Process Certifications of Compliance may be in Supplier format and should include the following:

• SNC’s Purchase Order number • Part number(s) • Serial and/or lot numbers, of the hardware processed (if applicable) • Special process specification and revision • Objective evidence demonstrating compliance with the applicable process (i.e. Temperature charts, hardness test

results for heat treatment, destructive test results, etc.) • A certification stating the special process was performed per the applicable drawing/specification requirements

including type, class, etc. for each process performed. • NADCAP or equivalent certification approval or last approval date if verified by SNC for use of special processes • Supplier’s name and address • When special process is performed by a sub-tier, the Suppler shall provide a certification of compliance from the

special processor stating the special process was performed per the applicable drawing/specification requirements. Certifications shall include the processor’s name, address, certification approval, and be signed and dated by a company official.

• Each certification shall be signed (digital signatures are acceptable) and dated by a company official of the Supplier and/or Processor attesting to the acceptance of the processes performed to the required specification(s).

The Supplier shall retain all records associated with the selection and approval of Supplier sub-tier approved special process providers. Per the Purchase Order or regulatory agency requirements, these records shall be made available to the SNC and/or regulatory agencies upon request. The Supplier shall notify SNC prior to destruction of records relative to the Purchase Order.

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Shipping Documents & Certificate of Compliance

Shipping Documents

Suppliers shall furnish Commercial Shipping Documents/Packing List, capable of being photographically reproducible through two additional reproductions, showing the following (as applicable):

• P.O. Number • Part Number(s) with revision(s) as applicable • Description/Part Name • Name of Suppler • Supplier’s CAGE code • Quantity ordered • Quantity shipped • Lot/Date Code/serialization (as applicable) • Any handling constraints or cautions such as, but not limited to:

o Optics; open only in clean room environments. o ESD sensitive items, open only at approved ESD workstation. o Moisture sensitive components, open/store only in humidity controlled area. o Shock sensitive components

Certificate of Compliance for Products

Suppliers shall provide a certification with each shipment to attest that the parts, assemblies, subassemblies, or detail parts conform to the order requirements.

When applicable, the manufacturers, lot, heat, batch, date code, and/or serial number shall appear on the certification.

Certification shall contain the following as applicable:

• SNC’s Purchase Order number • Line number • Part number • Part number revision • Supplier’s name • Suppliers or original manufacturers: lot, control, heat, batch, date code, serial number and/or work order number • Quantity and unit of measurement (each, box, case, gallons, etc.) • Be signed and dated by an official of the company. (Digital Signatures are acceptable) (not required for COTS or authorized

distribution)

The following statement, or similar containing all the elements below, shall be included on the certificate:

“The applicable material test results, process certifications and inspection records are available upon SNC’s request. Inspections necessary to determine the acceptability of all articles under this order were completed and the items in the shipment meet all requirements. All articles submitted in this order are subject to final acceptance by SNC.”

Certificate of Compliance for Raw Materials

Suppliers shall include with each shipment the raw material manufacturer's test report (e.g., mill test report) that states that the lot of material furnished has been tested, inspected, and found to be in compliance with the applicable material specifications. The test report shall list the specifications, including revision numbers or letters, to which the material has been tested and/or inspected and the identification of the material lot to which it applies.

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When the material specification requires quantitative limits for chemical, mechanical, or physical properties, the test report shall contain the actual test and/or inspection values obtained. For aluminum mill products (except castings), certifications for chemistry may indicate compliance within the allowed tolerance. Certifications for physical properties shall show actual values.

When Suppliers provides converted material produced by a raw material manufacturer, the Supplier shall submit all pre and post conversion chemical/physical tests reports.

When the material is proprietary or trademarked, the Supplier is to include a copy of the original manufacturer’s material Certificate of Compliance for the material used to produce the product which identifies traceability to origin.

Limited Life & Age Controlled (Shelf Life) Item Documentation

Products on SNC Purchase Orders that require submittal of date of manufacture when shelf life is based on date of manufacture, or date of shipment from the manufacturer when shelf life is based on date of shipment.

Upon shipment, shelf life remaining shall meet the minimum shelf life specified on the Purchase Order. If no shelf life minimum is specified, 75% of the shelf life, or greater shall be remaining on products at the time of shipment.

If the material is temperature sensitive it shall be shipped by the manufacturer’s recommendations. The package shall also be sent by next day express with a temperature recorder in the shipment. Packaging shall be clearly marked for identification and processing by SNC.

Certification shall contain the following: • SNC’s Purchase Order number • Part number • Manufacturer’s name, lot, heat, batch, date code, and/or serial number (as applicable) • Date of manufacture • Date of expiration under normal material storage conditions • Supplier’s name, and Supplier’s point of contact

Electrical Wire & Cable Test Report

Supplier shall provide certification that each shipment of electrical wire or cable furnished under Purchase Order conforms to the applicable specifications on SNC’s documentation and/or per IPC/WHAM-A-620, current revision.

If specified on the Purchase Order, for each lot or cable in each shipment, a certified test report or copy thereof shall be included with the packing sheet. The test report shall, at a minimum, include a record of the physical, chemical, or electrical (and in the case of RF cable, electronic) inspections and tests conducted to satisfy the acceptance requirements of applicable specifications, and shall include numerical results when applicable. For cable shipments, these requirements apply to both basic and finished cable.

When the specification requires additional inspection or test data to be reported, it shall be included in the test report.

Reports shall provide the Supplier’s name, the specification number and revision date or change letter, and other data required by the specification, and shall be identified to or correlated with the lot shipped.

EEE Parts – Lot / Date Code Documentation

The full quantity of date code controlled Electrical, Electronic, and Electromechanical (EEE) parts, each part number, provided under SNC Purchase Orders shall have a single lot-date code. The Supplier shall obtain the written approval of SNC’s Buyer prior to shipping goods that do not meet this single lot/date code requirement.

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In the event that SNC’s Buyer provides said authorization to ship mixed lot/date codes, the Supplier shall provide a copy of the written authorization with the shipping document.

When mixed lot/date codes are authorized, the shipping document shall list individual lot/date codes and quantity. Multiple lot/date codes shall not be co-mingled. In addition, the individual part containers shall be marked with the quantity and lot/date code.

Solvent Containers Documentation

All solvents shall be supplied only in new containers that have not been previously used to prevent contamination by residual material. Safety Data Sheets (SDS) shall be sent with each shipment.

5 FAA Requirements

Contract Services

Contract Service: When SNC outsources a repair station function (e.g. parts fabrication or aviation service) to a Supplier, and the Supplier’s Repair Station inspects and approves the Supplier’s work.

The Supplier’s work is inspected and approved for return to service under the Supplier’s certificate, so there is no action required by SNC’s Repair Station to approve the Supplier’s work.

Prior to Order: SNC shall verify the Supplier is appropriately certificated and holds appropriate ratings prior to placing an order for Contract Services. Copies of the Supplier’s current Repair Station Certificate, FAA Operations Specifications, and Capability List (if used) should be maintained on file. The Order shall clearly identify the Supplier’s responsibility to approve their work for return to service in accordance with 14 CFR Part 43. (Note: other rules may apply if a foreign Supplier is used.) When a Supplier issues an authorized release document for the purpose of export, the Supplier shall comply with the procedures applicable to the export of new and used aircraft engines, propellers, and articles specified in 14 CFR 21.331 and the responsibilities of exporters specified in 14 CFR 21.335 or in accordance with applicable bilateral agreements. SNC’s Repair Station should be consulted prior to placing the order to ensure necessary regulatory and quality requirements are properly identified up front.

Quality Acceptance: SNC shall verify the work is in a condition for safe operation, and verify the Supplier provides documented approval for return to service. SNC’s Repair Station should be consulted when acceptance of the Supplier’s work is needed, to ensure the Supplier’s Repair Station meets SNC expectations.

Contractor Maintenance

Contractor Maintenance: When SNC’s FAA/EASA Repair Station outsources a repair station function to a Supplier, (e.g. parts fabrication in support of maintainer produced parts, special processes, and other aviation services) and the SNC Repair Station inspects and approves the Supplier’s work.

14 CFR §145.217 A certificated repair station may contract a maintenance function pertaining to an article to an outside source provided —

(1) The FAA approves the maintenance function to be contracted to the outside source (Ref. SNC’s Contracted Maintenance Functions List); and

(2) The repair station maintains and makes available to its FAA FSDO, in a format acceptable to the FAA, the following information (Ref. SNC’s Contracted Maintenance Provider List):

• The maintenance functions contracted to each outside facility; and • The name of each outside facility to whom the repair station contracts maintenance functions,

and the type of certificate and ratings, if any, held by each facility.

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NOTE: The Supplier shall allow the FAA and SNC’s Repair Station to witness/inspect all work being performed for SNC’s Repair Station.

If the Supplier IS properly certificated with appropriate ratings. Requirements:

1. Copies of the Supplier’s current certificate(s), OpSpecs, and Capability List (if used) are on file; and 2. SNC performs inspection and/or test to verify airworthiness and approves the Supplier’s work for return to service.

If the Supplier is NOT properly certificated. Requirements:

1. Procurement shall coordinate with the SNC Repair Station Chief Inspector in advance of order, to ensure compliance with 14CFR 145.217.

2. An SNC Repair Station inspector shall remain directly in charge of the Supplier’s work, because the Supplier is performing work as part of SNC’s Repair Station. (The inspector directly in charge does not need to physically observe and direct each worker constantly but shall be available for consultation on matters requiring instruction or decision from higher authority.)

3. SNC Repair Station verifies, by test and/or inspection, that the work has been performed satisfactorily by the non-certificated Supplier and that the article is airworthy before approving it for return to service.

4. The Supplier shall follow a quality control system equivalent to the system followed by the certificated repair station, including:

a. Inspecting incoming raw materials to ensure acceptable quality. b. Performing preliminary inspection of all articles that shall be maintained. c. Inspecting all articles that have been involved in an accident for hidden damage before maintenance, preventive

maintenance, or alteration is performed. d. Establishing and maintaining proficiency of inspection personnel. e. Establishing and maintaining current technical data for maintaining articles. f. Qualifying and surveilling non-certificated persons who perform maintenance, prevention maintenance, or

alterations for the repair station. g. Performing final inspection of maintained articles. h. Calibrating measuring and test equipment used in maintaining articles, including the intervals at which the

equipment shall be calibrated. i. Taking corrective action on deficiencies.

Note: the requirement is for the Supplier to follow an equivalent quality system, not necessarily to have an equivalent quality system. If a non-certificated Supplier does NOT have a quality system equivalent to SNC’s Repair Station system, then the SNC Repair Station Chief Inspector shall develop a plan to allow the Supplier to use SNC’s Repair Station system, or implement another solution.

If there are any questions regarding Supplier qualification, Supplier surveillance, or FAA requirement, contact the Chief Inspector.

FAA Parts Manufacturer Approval (PMA)

Parts produced under an FAA PMA are FAA-approved and can be installed on any eligible aircraft (no limitations).

Options:

1. Parts can be purchased from a Supplier under the Supplier’s PMA system. These parts come in the door as FAA approved.

a. Supplier approves the Supplier’s parts. b. Request FAA Form 8130-3 for each part purchased. c. If Supplier won’t provide, then require evidence of FAA PMA approval for each part purchased (e.g. “FAA-PMA”

marking on parts or packaging, or identification as an FAA PMA part on the shipping documentation.) d. If the Supplier is building FAA PMA parts using SNC’s FAA approved design, SNC should provide a PMA Assist Letter

(license agreement) allowing the Supplier to use our FAA-approved data to build PMA parts for us. The Supplier

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shall submit this PMA Assist Letter to their FAA office, who shall then add the design data to the Supplier’s FAA PMA Supplement (authorization to build our parts).

2. Parts can be purchased from a Supplier and approved under SNC’s FAA PMA system. These parts are FAA approved after the come in the door.

a. SNC approves the Supplier’s parts. b. Ensure the Supplier has current FAA-approved date to produce the parts. c. Require copies of material and process certifications. d. Require copies of inspection records that demonstrate conformity to approved design. e. SNC QA shall determine the parts are airworthy and that the parts are eligible for FAA PMA prior to applying FAA

approval to the parts. f. Supplier shall immediately report to the SNC PMA Quality Manager or Airworthiness Manager – whenever

• Nonconforming product is determined to have left the Supplier’s quality system. • Supplier system changes in any way that could adversely impact the quality of the deliverables. • Service difficulties.

3. Parts can be purchased from a Supplier and approved under Direct Ship Authority granted to the Supplier through SNC’s FAA PMA system. These parts come in the door as FAA approved.

a. Supplier approves the Supplier’s parts, under SNC’s PMA system. b. RISK – the Supplier applies FAA approval to their parts, using SNC’s FAA PMA authority, without SNC QA being

directly involved. This option is normally used as a temporary bridge until the Supplier obtains their own FAA PMA.

c. SNC’s FAA PMA system shall qualify and train the Supplier PRIOR to granting Direct Ship Authority, and PRIOR to placing an order under this option.

d. Contact the SNC Quality Manager or Airworthiness Manager whenever PMA Direct Ship Authority is desired. e. Supplier shall immediately report to the SNC PMA Quality Manager or Airworthiness Manager – whenever

• Nonconforming product is determined to have left the Supplier’s quality system. • Supplier system changes in any way that could adversely impact the quality of the deliverables. • Service difficulties.

FAA Conformity Inspection

FAA Conformity Inspection is FAA verification that the manufacturer has satisfactorily completed a 100% first article inspection (FAI). The manufacturer is the applicant for FAA approval, which is normally SNC.

Orders for parts that will undergo FAA Conformity Inspection shall include requirements for:

1. Evidence of the drawing number and revision used. 2. Evidence of 100% first article inspection. 3. Evidence of material and process certifications. 4. Evidence of traceability of all parts. 5. Evidence of all deviations from design data, and FAA approval of all deviations from design data (no matter how minor). 6. Allow the FAA to perform its Conformity Inspection at the Supplier’s location.

The FAA will issue FAA Form 8130-3 as identification prior to releasing the part(s) from the Supplier.

Whenever FAA Conformity Inspection is performed, the manufacturer (SNC) shall submit to the FAA a signed FAA Form 8130-9 Statement of Conformity that identifies the item that received the first article inspection, and certifying the manufacturer’s compliance with 14 CFR 21.33.

The manufacturer (SNC) may delegate this first article inspection and signing of the FAA Form 8130-9 to the Supplier, by issuing an 8130-9 Agent Letter to the Supplier. This letter normally comes from the Quality Manager or Airworthiness Manager, but sometimes comes from the 3S Certification ODA Administrator in Wichita. Suppliers that hold 8130-9 Agent Letters are trained and specially authorized to perform these functions on behalf of SNC, and should be the first option for Procurement.

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FAA Conformity Inspection is normally performed at the Supplier (Ref. 6.1.2). FAA Conformity Inspection shall be carefully coordinated with SNC Certification Office, Airworthiness, and the Supplier prior to placing the order to ensure compliance with FAA regulations, policies, and procedures.

CAUTION: If FAA procedures are not properly planned for and met, the order may not be eligible for FAA conformity inspection or installation, and another order may be required to be placed.

6 SNC / Regulatory Authority Specific Requirements

Right of access

Right of Access:

Work under the Purchase Order is subject to government and/or SNC surveillance/inspection at the Supplier’s facilities and sub-tier’s facility. If surveillance/inspection is to be conducted by the government or SNC, the Supplier will be notified prior to this event.

SNC reserves the right to conduct inspection and/or audit as necessary to confirm conformance to Purchase Order requirements.

Government Source Inspection (GSI):

Work on SNC Purchase Orders may be subject to inspection and test by the government at any time and any place. When Government Source Inspection is required it will be noted on SNC’s Purchase Order. If Government inspection is required on an order prior to shipment from Supplier’s facility, notification shall be sent to the GSI point of contact prior to this event. Government inspections to be performed will be determined by the delegated Government inspection representative and may be conducted during processing, fabrication, or final inspection. If Government inspection is required on an SNC Purchase Order, promptly, and no less than seven (7) working days in advance, notify the Government representative who normally services your plant so that appropriate Government inspection planning can be accomplished. If the Government inspection representative does not service your facility for inspection and/or the area government inspection representative or agency cannot be located, immediately notify SNC.

NOTE: ONLY IF GOVERNMENT INSPECTION IS REQUIRED: Do not proceed with fabrication/manufacture processing until Government Mandatory Inspection Points (GMIPs) are added to Supplier’s manufacturing planning. GMIPs shall not be by-passed unless authorized in writing by the Government inspection representative. Suppliers shall request and include the documents specified in the Government delegation, in the shipment. The Government’s request for source inspection shall specify the period and method for the advance notification and the Government representative to whom it shall be furnished. Request shall not require more than 2 workdays of advance notification if the Government representative is resident in the Supplier’s plant, nor more than 7 workdays in other instances.

The Supplier, without additional charge, shall provide all reasonably required facilities and assistance (applicable drawings, specifications, change orders, inspection and/or test equipment) for the U.S. Government representative to perform their duties.

The Suppler shall ensure that Government inspection acceptance is evident for every individual GMIP and that completion of Government inspection is evident on the Supplier’s shipping document/packing list. Evidence may be the signature of Government inspection representative with printed name and office, or application of the representative's stamp, or digital signature.

The Government shall accept or reject supplies as promptly as practical after delivery, unless otherwise provided in the Purchase Order. Government failure to inspect and accept or reject the supplies shall not relieve the Supplier from responsibility, nor impose liability on the Government, for nonconforming supplies.

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When manufacturing processing affected by GMIPs is subcontracted by Suppliers, the provisions of this clause shall be included in the Supplier’s Purchase Order verbatim.

Customer Source Inspection (CSI):

SNC source inspection may be required prior to shipment of articles from the Supplier’s facility under SNC Purchase Order. If CSI is required in writing from SNC Buyer, and upon receipt of this order and prior to commencing work, promptly notify the SNC’s SQXR assigned to the Supplier’s facility, or a delegate, so the appropriate inspection plan can be coordinated.

In the event that a SQXR does not normally service the Supplier’s facility, immediately notify SNC’s Buyer to obtain a point of contact for the appropriate SQXR assignment.

Source inspection shall be conducted by SNC’s SQXR or delegated personnel at the Supplier’s facility or where designated in the order. The Supplier shall notify SQXR office a minimum of 7 working days in advance of the time the articles or materials are ready for inspection or test.

The Supplier shall make available to the SQXR, or a delegate, all applicable drawings, specifications, procedures, statement of work, Purchase Order, test software, records, facilities, equipment, personnel and changes thereto, related inspection and/or test equipment, and such other information as may be required to satisfactorily perform the inspections and tests required under an SNC Purchase Order.

Material Identification, Damage, & Count

Each Product delivered under any Purchase Order shall be identified with a part number or other identification in agreement with the Product Purchase Ordered. All purchased Products and any services provided under the Purchase Orders are subject to inspection for compliance to the Purchase Order and all applicable quality clauses. No material or process substitutions, quantity variations or splits from the Purchase Order may be made without prior written authorization from SNC.