1、AECMA STANDARD NORME AECMA AECMA NORM prEN 9134 Edition P 1 April 2004 PUBLISHED BY THE EUROPEAN ASSOCIATION OF AEROSPACE INDUSTRIES - STANDARDIZATION Gulledelle 94 - B-1200 Brussels - Tel. + 32 2 775 8110 - Fax. + 32 2 775 8111 - www.aecma-stan.orgICS: Descriptors: ENGLISH VERSION Aerospace series
2、Quality systems Supply chain risk management guideline Srie arospatiale Systmes qualit Line conductrices pour le management du risque concernant la chane des fournisseurs Luft- und Raumfahrt Qualittsmanagement Richtlinie zum Risikomanagement der Zulieferkette This “Aerospace Series“ Prestandard has
3、been drawn up under the responsibility of AECMA-STAN (The European Association of Aerospace Industries - Standardization). It is published for the needs of the European Aerospace Industry. It has been technically approved by the experts of the concerned Domain following member comments. Subsequent t
4、o the publication of this Prestandard, the technical content shall not be changed to an extent that interchangeability is affected, physically or functionally, without re-identification of the standard. After examination and review by users and formal agreement of AECMA-STAN, it will be submitted as
5、 a draft European Standard (prEN) to CEN (European Committee for Standardization) for formal vote and transformation to full European Standard (EN). The CEN national members have then to implement the EN at national level by giving the EN the status of a national standard and by withdrawing any nati
6、onal standards conflicting with the EN. Edition approved for publication 30 April 2004 Comments should be sent within six months after the date of publication to AECMA-STAN Quality Domain Copyright 2004 by AECMA-STAN Page 2 prEN 9134:2004 Foreword In December 1998, the Aerospace Industry established
7、 the International Aerospace Quality Group (IAQG) with the purpose of achieving significant improvements in quality and reductions in cost throughout the value stream. The IAQG has developed specific requirements for quality systems that are to be implemented and maintained throughout the supply cha
8、in in the design, manufacture and maintenance of products used in aviation and space applications. These requirements are published simultaneously as AS/EN/JISQ 9100-series by SAE in the Americas, AECMA-STAN in Europe and JISQ in Asia/Pacific. Other countries will follow with technical identical nat
9、ional standards. This standard was reviewed by the Domain Technical Coordinator of AECMA-STANs Quality Domain. After inquiries and votes carried out in accordance with the rules of AECMA-STAN defined in AECMA-STANs General Process Manual, this standard has received approval for Publication. Page 3 p
10、rEN 9134:2004Contents Page 1 Introduction4 1.1 Purpose 4 1.2 Scope of the document.4 1.3 Guideline of the document .6 2 Normative references6 3 Risk factor definition.7 3.1 Supplier risk.7 3.2 Product risk8 4 Process steps to apply the guideline8 5 Supplier risk tables for guidance.9 6 Product risk
11、tables for guidance .15 7 Model for supplier/product risk merger 17 8 Risk reduction/control activities17 Annex A (normative) Risk assessment scoring charts 18 A.1 Supplier risk assessment .19 A.2 Product risk assessment22 Annex B (normative) Risk register form.24 B.1 Risk Register Form25 B.2 The Ri
12、sk Register 26 B.3 Risk Register Field Descriptions .26 Page 4 prEN 9134:20041 Introduction 1.1 Purpose Aerospace businesses depend upon a complex network of suppliers, each one exposed to a different assortment of risks that could jeopardise supply businesses. Because supplier networks are becoming
13、 increasingly wide-spread as more suppliers across the world become available to the industry (some in countries that are not covered by recognised national and inter-national aviation authorisation), early identification and management of those supply chain risks that could affect product / service
14、 quality becomes increasingly necessary. The application of supply chain risk management provides business protection by ensuring the continued success of the customers supply base in delivering products / services in accordance with programme and quality requirements. Supply chain risk awareness sh
15、ould be part of an integrated business culture. This document may be used as an “aide memoire” to supplement the existing risk management philosophy of the user. As such, each user of the guideline is free to apply it to its own selected/ categorized suppliers, and to select, according to their need
16、s, the risk factors and associated elements to be assessed. Documented risk factors and elements to be assessed are not exhaustive and may be enlarged by the respective risk factor owner. The frequency of reassessment is the responsibility of each user of the guideline (e.g.: 6 months; 12 months; 2
17、years etc.) 1.2 Scope of the document Supply Chain Risk Management (SCRM), defined in this guideline, can be applied proactively for the protection of all procured products and services; both flying and non-flying through all levels of the supply chain. The guideline focuses on Quality as a key risk
18、 assessment factor taking into account elements from all aspects of the business having a direct link to global quality management. This concept/model is shown below: Page 5 prEN 9134:2004Quality risk assessment model Global Quality Quality Work Environment Geographical, Political & Ethical Environm
19、ent & Safety Financial Final customer Satisfaction Human Resources Improvement Activities On Time Delivery Manufacturing Capability & Capacity Sub-tier Chain Control Design Capability & Capacity Supplier related Risks Manufacturing Complexity Design complexity Special Process Involvement Safety Clas
20、sification Product related Risks While traditional “small q” Quality is a key element to be assessed, from a company business point of view, other elements play an important part in minimising risk. This guideline defines such risk factors for consideration. SCRM as a business protection tool will b
21、e most effective when used to identify, and reduce risks when generating new business with new and existing suppliers. However the tools and techniques described hereafter can also be applied to evaluate the existing supply chain network and determine the level of control required. The SCRM can be a
22、pplied by merging identified risk factors associated with procured products or services and the supplier itself with the target for overall supplier quality risk management (see clause 6). This guideline is recommended to be cascaded to sub-tier suppliers in the supply chain. Page 6 prEN 9134:20041.
23、3 Guideline of the document Quality risk identification and recording is the responsibility of everybody associated with Customer procured products and services. This may also include Purchasing, Contractual Logistics, Finance, Cost Estimating, Engineering (all design and manufacturing disciplines),
24、 Configuration control, Project, Operations and Business Management etc. Having identified and recorded a risk that could affect quality, it is essential that the risk is managed effectively through a designated person / department. As a means of managing the risk process it is recommended to use th
25、e “risk register form” (Annex B) and the “risk assessment scoring chart” (Annex A) 2 Normative references This European Standard incorporates by dated or undated reference, provisions from other publications. These normative references are cited at the appropriate places in the text and the publicat
26、ions are listed hereafter. For dated references, subsequent amendments to or revisions of any of these publications apply to this European Standard only when incorporated in it by amendment or revision. For undated references the latest edition of the publication referred to applies (including amend
27、ments). EN 9100, Aerospace series - Quality management systems - Requirements (based on ISO 9001:2000) and Quality systems - Model for quality assurance in design, development, production, installation and servicing (based on ISO 9001:1994). 1)EN 9101, Aerospace series - Quality management systems -
28、 Assessment (based on ISO 9001: 2000). 1) 2)EN 9102, Aerospace series - Quality systems - First article inspection.1)2)EN 9103, Aerospace series - Quality management systems - Variation management of key characteristics 1)2)ISO 14001, Environmental management systems - Specification with guidance fo
29、r use. ILO C182, Worst forms of child labour convention.3)1) Or the corresponding AS or JISQ standards 2) Published as AECMA Prestandard at the date of publication of this standard 3) Published by: International Labour Office, 4, route des Morillons, CH-1211 Geneva 22, Switzerland Page 7 prEN 9134:2
30、0043 Risk factor definition 3.1 Supplier risk The following table provides a list of factors, which if not met, lead to supplier related risks Quality Capability to deliver products and/or services to the Customersquality requirement Environment & Safety Capability to manage environmental, health an
31、d safety factors which may affect the project / program Work Environment Capability to manage work environment factors such as temperature, humidity, lighting, cleanliness, protection fromelectrostatic discharge etc. according to EN 9100:2001 that may affect the conformity of the product Geographica
32、l, Political & Ethical Capability to manage social, geographical, political, economical & ethical factors which may affect the project / program Financial Capability to manage financial factors which may affect the project / program Final customer satisfaction Factors that affect customers expectati
33、ons Human resources Human resources factors which affect the quality andconfidence of the customer Improvement activities Capability for continuous improvement On time Delivery Capability to deliver products and/or services to the Customersscheduled requirement Manufacturing Capability and Capacity
34、Capability to provide manufacturing services in accordance with the contract requirements Sub-tier chain control Capability to manage and control all sub-tier suppliers in the supply chain. Design Capability and Capacity Capability to provide design services in accordance with thecontract requiremen
35、ts Page 8 prEN 9134:2004 3.2 Product risk The following table provides a list of factors, which if not met, lead to product related risks Safety Classification In accordance with regulatory authority requirements Special Process Involvement Those processes where the parameters are directly influence
36、d by component, geometry and/or the results can not beconfirmed by inspection Design Complexity Capability to design innovative solutions that meet customer requirements Manufacturing Complexity Capability to manufacture components to meet the design intent4 Process steps to apply the guideline Use
37、risk register form in Annex B and risk assessment scoring chart in Annex A Follow up the consequences of risks that where accepted without action Monitor the effectiveness of action plan Decide if the risks may be accepted without action Define action plan to reduce unacceptable risk Assess, identif
38、y and report the risks Evaluate the risk For risk identification it is recommended to use checklists Define risk management process including risk factors and risk factor owner ship Identify Functions involved Step 4 Monitor Risk Step 3 Mitigate RiskStep 2 Identify Risk Step 1 Define Risk Management
39、 5 Supplier risk tables for guidance Page 9prEN 9134:2004See Table 1. Table 1 Supplier risk tables for guidance Risk factors Element for assessment Risk identification tools Risk reduction control tools Quality Quality System Approvals/certification - Aerospace (EN 9100 series, regulatory authority
40、requirements etc.) - Non Aerospace Customer Special processes approval/certification (customers, NADCAP, etc.) Previous supplier experiences on similar products to be identified Current Aerospace Customers references Contract review process Quality performance indicators (e.g. scrap, concession rate
41、, quality system scoring result, Customers audit results, etc.) Checklists covering elements to assess risk e.g. : - Quality System assessment per EN 9101 with scoring results - Supplemental checklist for other elements Continuous Improvement plan agreed by suppliers with suppliers mandatory indicat
42、ors and corrective action request Quality Assurance Plan Specific training on identified weaknesses and specific requirements Selection of relevant parts Increased products receiving inspection Identify frozen process parameters Assistance on site (including people on site for a limited time) Mandat
43、ory FAI per EN 9102 Management of process variation (SPC) Unscheduled requirements delivery versus MRP Dual source Buffer stock Environment safety ISO 14001 certification Hazardous products involved Safety plant classification (if any) Accident rating in the past years with trend Safety policy (e.g.
44、 equipment availability, fire escape) Training for health & safety Specific checklist depending of nature of supply Analysis of safety rules/controls implemented by supplier Supplier action plan overview Mitigation plan Dual source Buffer Stock Work environment EN 9100 requirements (subclause 6.4) S
45、pecific checklist depending on nature of supply Quality system assessment per EN 9101 Preventive and/or corrective action plan Part/process specific work environment plan continued Page 10 prEN 9134:2004Table 1 Supplier risk tables for guidance (continued) Risk factors Element for assessment Risk id
46、entification tools Risk reduction control tools Geographical, political & ethical Political regime Restriction on government funded design and manufacturing technology transfer to specific nations Government export and import restrictions Export credits, support & guarantees government handling Tax
47、& customs rules Government policy for counter trade and off set Potential for natural disasters Country economical aspects (inflation, gross national product per habitant, average wages, economical growth, export level, import level, external debt, interest rate, Energy cost, etc.) in relation to de
48、veloped countries. Visit of plant for ethic aspect in compliance with ILO C182 clauses (child employment) Specific checklist covering element to assess Various web and government sources Mitigation plan Dual source Buffer Stock On Site surveillance assistance Translator for Primes language Specific
49、clauses on the purchase contract for child care Supplier stoppage with recovery plan (child care) Financial Date of foundation & history Major shareholders Contract connection (Holding, merging) Capital evolution/breakdown Turnover Ratio of Capital/Turnover Results Earning before interest & tax Investment Self financing capacity % of turnover for the resea
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