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AEROSPACE AS9163™

STANDARD Issued 2022-12

Aerospace Series - Certificate of Conformity Requirements

RATIONALE

Aviation, space, and defense organizations (customers) throughout the world receive products (e.g., assemblies,
sub-assemblies, equipment and systems, parts, material, software) or services that are produced by other external providers
(suppliers).

Before using these products or services to either manufacture their own products or integrate them into their own products,
these organizations need confirmation from their external providers that these products comply with the relevant design
data and purchase order (PO) requirements. This is commonly done via an attestation—i.e., Certificate of Conformity
(CoC)—from the external provider.

Due to the high number of organizations and external providers, this may result in multiple CoC templates and associated
requirements. The objective of this standard is to provide requirements for issuing a CoC, harmonize its content to satisfy
a broad range of organizations and external providers, and provide consistent process and documentation requirements for
verification of aviation, space, and defense products.

FOREWORD

Industry established the International Aerospace Quality Group (IAQG), with representatives from aviat\ion, space, and
defense companies in the Americas, Asia/Pacific, and Europe, to implement initiatives that make significant improvements
in quality and reductions in cost throughout the value stream. The IAQG benchmarked industry best practices and
supporting guidance to develop this standard to satisfy associated requirements of Aerospace Quality Management System
(AQMS) standards (i.e., AS9100, AS9110, AS9120).

TABLE OF CONTENTS

1. SCOPE ....................................................................................................................................................... 3

2. REFERENCES........................................................................................................................................... 3
2.1 Applicable Documents ............................................................................................................................... 3
2.1.1 SAE Publications........................................................................................................................................ 3
2.1.2 ISO Publications......................................................................................................................................... 3
2.2 Terms and Definitions ................................................................................................................................ 3
2.3 Abbreviations ............................................................................................................................................. 4

3. MINIMUM INFORMATION REQUIRED IN A CERTIFICATE OF CONFORMITY .................................... 4

4. ADDITIONAL REQUIREMENTS FOR THE COMPLETION OF THE CERTIFICATE OF

5. NOTES ....................................................................................................................................................... 7
5.1 Revision Indicator....................................................................................................................................... 7

__________________________________________________________________________________________________________________________________________
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APPENDIX A CERTIFICATE OF CONFORMITY TEMPLATE ........................................................................................ 8

APPENDIX B INSTRUCTIONS FOR THE COMPLETION OF THE CERTIFICATE OF CONFORMITY (CoC) ............. 9
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1. SCOPE

This SAE Aerospace Standard (AS) provides a harmonized process and documentation requirements for the establishment
of CoCs used to attest the conformity of aviation, space, and defense products (e.g., assemblies, sub-assemblies,
equipment and systems, parts, material, software) or services. It includes a CoC template and supporting instructions on
how to complete it.

When quoted by the customer in a contractual requirement, application of this document is mandatory. In other cases, its
use is recommended, but if there is a conflict between the requirements of this standard and customer or applicable
statutory/regulatory requirements, the latter shall take precedence.

NOTE: This standard can be used by other industries that require the use/application of a CoC.

Requirements for the establishment of Authorized Release Certificates (ARCs)—e.g., European Union Aviation Safety
Agency (EASA) Form 1, Federal Aviation Administration (FAA) 8130-3 tag, Civil Aviation Administration of China (CAAC)
Form 038—by an external provider holding a production approval (for new aviation products, production, or spares) or
maintenance approval (i.e., for in service repairs, modifications, after sales maintenance, overhaul activities, inspections)
are not covered by this standard, as applicable rules are defined by the aviation authorities having granted these approvals.

2. REFERENCES

2.1 Applicable Documents

The following publications form a part of this document to the extent specified herein. The latest issue of SAE publications
shall apply. The applicable issue of other publications shall be the issue in effect on the date of the purchase order. In the
event of conflict between the text of this document and references cited herein, the text of this document takes precedence.
Nothing in this document, however, supersedes applicable laws and regulations unless a specific exemption has been
obtained.

2.1.1 SAE Publications

Available from SAE International, 400 Commonwealth Drive, Warrendale, PA 15096-0001, Tel: 877-606-7323 (inside USA
and Canada) or +1 724-776-4970 (outside USA), www.sae.org.

AS9100* Quality Management Systems - Requirements for Aviation, Space, and Defense Organizations

AS9110* Quality Management Systems - Requirements for Aviation Maintenance Organizations

AS9120* Quality Management Systems - Requirements for Aviation, Space, and Defense Distributors

*As developed under the auspices of the IAQG and published by various standards bodies—e.g., ASD-STAN, SAE
International, European Committee for Standardization (CEN), Japanese Standards Association (JSA)/Society of Japanese
Aerospace Companies (SJAC), Brazilian Association for Technical Norms (ABNT).

2.1.2 ISO Publications

Copies of these documents are available online at http://webstore.ansi.org/.

ISO 9000 Quality Management Systems - Fundamentals and Vocabulary

2.2 Terms and Definitions

Definitions for general terms can be found in ISO 9000 and the IAQG International Dictionary (located on the IAQG website,
https://iaqg.org). An acronym list for this standard is presented in 2.3. For the purposes of this standard, the following
definitions apply.
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2.2.1 CERTIFICATE OF CONFORMITY (CoC)

Documented information that attests product or service conformity to defined process, design, specification, PO, and
contractual requirements.

NOTE 1: “Product” includes assemblies, sub-assemblies, equipment and systems, parts, material, and software that are
produced, repaired, maintained, modified, overhauled, or inspected.

NOTE 2: “Service” includes all activities performed by external providers which impact the fit, form, or function of a product
and its operations (e.g., installation, removal, rigging, documentation).

NOTE 3: When required to deliver a product with an Authorized Release Certificate (ARC), the ARC cannot be substituted
with a CoC.

2.2.2 CONFORMITY

Fulfilment of a requirement.

2.2.3 WAIVER/CONCESSION

Written authorization from the customer to the internal/external supplier to use or release a product that does not conform
to the specified requirements.

2.3 Abbreviations

ABNT Brazilian Association for Technical Norms

AQMS Aerospace Quality Management System

ARC Authorized Release Certificate

CAAC Civil Aviation Administration of China

CEN European Committee for Standardization

CoC Certificate of Conformity

EASA European Union Aviation Safety Agency

FAA Federal Aviation Administration

FAI First Article Inspection

IAQG International Aerospace Quality Group

JSA Japanese Standards Association

PO Purchase Order

SJAC Society of Japanese Aerospace Companies

3. MINIMUM INFORMATION REQUIRED IN A CERTIFICATE OF CONFORMITY

3.1 The minimum information required in a CoC (see Appendices A and B for further details) includes the following:

a. Title - CERTIFICATE OF CONFORMITY (in accordance with IAQG standard 9163);

b. Page number;
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c. Certificate number;

d. Date;

e. Organization (external provider) name and address;

f. Customer name and address;

g. PO number;

h. Item number;

i. Quantity;

j. Description;

k. Revision;

l. Traceability;

m. Remarks;

n. Conformity details;

o. Statement of conformity;

p. Name and signature of the individual authorized to release products or services to the customer.

3.2 The statement of conformity shall indicate or be equivalent to the following:

It is hereby certified that apart from the deviations, concessions, or waivers noted in “Conformity Details,” the
product(s)/(service(s) detailed above has (have) been manufactured/maintained/reworked/performed/inspected/tested and
conform to the applicable specifications, drawings, and purchase order and contract requirements.

3.3 Typical CoC template, including the information identified in 3.1 and 3.2, is depicted in Appendix A; instructions for
the completion of the CoC are provided in Appendix B.

a. Different templates can be used, especially when specified by the customer, as long as they contain the minimum data
fields and descriptions (see 3.1 and Appendix B) and a statement of conformity (see 3.2 and Appendix B).

b. When necessary, use of CoC appendices is acceptable as long as these appendices and relevant cells are linked to
each other through a unique identifier or tracking number.
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3.4 The CoC shall be written in English. Any other language specified by the customer is acceptable.

4. ADDITIONAL REQUIREMENTS FOR THE COMPLETION OF THE CERTIFICATE OF CONFORMITY

4.1 There can be multiple items (i.e., products or services) listed on a CoC, unless specified differently by the customer.
In such case, linkage between each of the items and the corresponding lines of the PO(s) shall be established without
ambiguity.

4.2 If a data field (cell) is not applicable, the space shall be completed by entering “N/A” or “None.”

4.3 When the released product or service is impacted by a nonconformity, the external provider shall provide reference
to the customer’s acknowledgement (data field #13).

4.4 The organization shall have a process ensuring proper release of the CoC guaranteeing that only authorized
personnel can generate, sign, and issue CoCs.

a. The organization shall retain documented information verifying traceability to authorized personnel, and to their relevant
skills and competences (e.g., training completed, experience in the conformity attestation process and customer
requirements).

b. The organization shall ensure that authorized personnel are aware of their level of responsibilities and the impact of
possible noncompliant actions (e.g., mistakes, fraudulent actions).

c. The authorization rules must be documented and managed by the organization’s quality management system.

4.5 The name/signature of the individual signing the CoC (see Appendix A; data field #14) shall be legible. Alternatively,
the name may be replaced by a specific signatory code provided it is individual, unambiguous, and traceable to the
individual without any risk of confusion.

NOTE: A specific signatory code can be a series of letters and/or numbers assigned to an authorized individual (e.g.,
AB12345).

4.6 The signatory code of an individual having changed position or left the organization shall not be used during a period
of time sufficient to ensure no confusion exists between the former and new code holder.

NOTE: The IAQG recommends at least six months prior to reissuing the signatory code.

4.7 Electronically generated CoCs are acceptable, provided they are compliant with all other appropriate elements of this
standard and customer specific requirements, if applicable.

a. Process rules shall be in place to ensure that only authorized personnel can generate and validate a CoC in the
corresponding information technology tool.

b. The following or similar statement shall be included in the CoC (see Appendix A; data field #14): “Document
electronically generated and validated.”

NOTE: An electronic representation of the authorized individual’s signature may also be shown, but is not mandatory.

4.8 Copies of the CoC may be retained in their original paper format or in a secured database, provided that the database
contains all of the information required on the CoC, and they are completed and secured in line with customer and
regulatory requirements (e.g., back-up/dual archiving, storage duration, protection against fire and water).

4.9 The CoC shall be retained/archived for traceability in accordance with the conditions and retention periods defined
by applicable customer and regulatory requirements.

NOTE: These conditions and periods may differ from one product or service to another, or from one regulatory authority or
customer to another. It is recommended to apply the most stringent requirements to all products, unless an effective
system is in place to manage the differences.
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4.10 Distributors shall specify the manufacturer’s CoC as well as the manufacturer’s identification in data field #13.

4.11 When there is a need to revise the CoC, the updated CoC shall be issued with:

a. A certificate number distinguishable from the previous CoC;

NOTE: The new certificate number can be built from the original certificate number by including a supporting revision
level.

b. The reason for the CoC revision documented in data field #13; and

c. A new release date.

5. NOTES

5.1 Revision Indicator

A change bar (I) located in the left margin is for the convenience of the user in locating areas where technical revisions, not
editorial changes, have been made to the previous issue of this document. An (R) symbol to the left of the document title
indicates a complete revision of the document, including technical revisions. Change bars and (R) are not used in original
publications, nor in documents that contain editorial changes only.

PREPARED BY SAE G-14 AMERICAS AEROSPACE QUALITY STANDARDS COMMITTEE (AAQSC)

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APPENDIX A - CERTIFICATE OF CONFORMITY TEMPLATE

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APPENDIX B - INSTRUCTIONS FOR THE COMPLETION OF THE CERTIFICATE OF CONFORMITY (CoC)