Aerospace series - Quality Management Systems - Nonconformance Data Definition and Documentation

This European Standard defines the common nonconformance data definition and documentation that shall be exchanged between an internal/external supplier or sub-tier supplier, and the customer when informing about a nonconformity requiring formal decision. The requirements are applicable, partly or totally, when reporting a product nonconformity to the owner or operator, as user of the end item (e.g., engine, aircraft, spacecraft, helicopter), if specified by contract.
The process of exchanging, coordinating, and approving nonconformance data varies with the multiple relationships and agreements among all parties concerned. The information provided by this European Standard forms guidelines for submitting and managing of data through accurate communication. The main objective is to provide the definition of a data set that can be integrated into any form of communication (e.g., electronic data interchange, submission of conventional paper forms).
Reporting of nonconformance data, either electronically or conventionally on paper, is subject to the terms and conditions of the contract. This also includes, where applicable, data access under export control regulations.

Luft- und Raumfahrt - Qualitätsmanagementsysteme - Nichtkonformitäts Dokumentation

Série aérospatiale - Systèmes de management de la qualité - Documentation des non-conformités

Aeronavtika - Sistemi vodenja kakovosti - Definicija podatkov o neskladnosti in dokumentacija

Ta evropski standard opredeljuje splošno definicijo in dokumentacijo podatkov o neskladnosti, ki si jih izmenjata notranji/zunanji dobavitelj ali dobavitelj na nižji ravni v verigi in stranka v okviru obveščanja o neskladnosti, ki zahteva uradni sklep. Zahteve se delno ali v celoti uporabijo za poročanje o neskladnosti izdelka njegovemu lastniku ali upravljavcu kot uporabniku končnega izdelka (npr. motorja, zračnega ali vesoljskega plovila, helikopterja), če je v pogodbi to določeno.
Proces izmenjave, usklajevanja in odobritve podatkov o neskladnosti se razlikuje glede na mnoga razmerja in pogodbe med zadevnimi strankami. Informacije, ki jih zagotavlja ta evropski standard, predstavljajo smernice za predložitev in upravljanje podatkov prek natančne komunikacije. Glavni cilj je opredeliti nabor podatkov, ki ga je mogoče integrirati v katero koli obliko komunikacije (npr. elektronska izmenjava podatkov, predložitev običajnih papirnih obrazcev).
Elektronsko ali običajno papirno poročanje o neskladnosti podatkov urejajo pogoji in določila zadevne pogodbe. To prav tako vključuje, kjer je to primerno, dostop do podatkov v okviru predpisov za nadzor izvoza.

General Information

Status
Withdrawn
Publication Date
05-Jan-2016
Technical Committee
Drafting Committee
Current Stage
9960 - Withdrawal effective - Withdrawal
Completion Date
08-Jul-2020

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SLOVENSKI STANDARD
SIST EN 9131:2016
01-marec-2016
1DGRPHãþD
SIST EN 9131:2009
Aeronavtika - Sistemi vodenja kakovosti - Definicija podatkov o neskladnosti in
dokumentacija

Aerospace series - Quality Management Systems - Nonconformance Data Definition and

Documentation

Luft- und Raumfahrt - Qualitätsmanagementsystems - Nichtkonformitäts Dokumentation

Série aérospatiale - Systèmes de management de la qualité - Documentation des non-

conformités
Ta slovenski standard je istoveten z: EN 9131:2016
ICS:
03.120.10 Vodenje in zagotavljanje Quality management and
kakovosti quality assurance
49.020 Letala in vesoljska vozila na Aircraft and space vehicles in
splošno general
SIST EN 9131:2016 en,fr,de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST EN 9131:2016
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SIST EN 9131:2016
EN 9131
EUROPEAN STANDARD
NORME EUROPÉENNE
January 2016
EUROPÄISCHE NORM
ICS 03.120.10; 49.020 Supersedes EN 9131:2009
English Version
Aerospace series - Quality Management Systems -
Nonconformance Data Definition and Documentation

Série aérospatiale - Systèmes de management de la Luft- und Raumfahrt - Qualitätsmanagementsystems -

qualité - Documentation des non-conformités Nichtkonformitäts Dokumentation
This European Standard was approved by CEN on 22 August 2015.

CEN members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this

European Standard the status of a national standard without any alteration. Up-to-date lists and bibliographical references

concerning such national standards may be obtained on application to the CEN-CENELEC Management Centre or to any CEN

member.

This European Standard exists in three official versions (English, French, German). A version in any other language made by

translation under the responsibility of a CEN member into its own language and notified to the CEN-CENELEC Management

Centre has the same status as the official versions.

CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,

Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania,

Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and

United Kingdom.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG
CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels

© 2016 CEN All rights of exploitation in any form and by any means reserved Ref. No. EN 9131:2016 E

worldwide for CEN national Members.
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SIST EN 9131:2016
EN 9131:2016 (E)
Contents Page

European foreword ....................................................................................................................................................... 3

Rationale ........................................................................................................................................................................... 4

1 Scope .................................................................................................................................................................... 5

2 Normative References ................................................................................................................................... 5

3 Terms and Definitions ................................................................................................................................... 5

3.1 Customer ............................................................................................................................................................ 5

3.2 Mandatory Data ............................................................................................................................................... 5

3.3 Optional Data .................................................................................................................................................... 5

3.4 Product ................................................................................................................................................................ 5

3.5 Product Quality Escape ................................................................................................................................. 6

3.6 Waiver/Concession ........................................................................................................................................ 6

4 Requirements ................................................................................................................................................... 6

5 Code Catalog ...................................................................................................................................................... 7

5.1 Nonconformance Process Codes ................................................................................................................ 7

5.2 Nonconformance Cause Codes .................................................................................................................... 7

5.3 Nonconformance Corrective Action Codes ............................................................................................ 7

6 Notes ................................................................................................................................................................. 12

Annex A (normative) List of Nonconformance Documentation Data

(mandatory data fields bolded with *) ................................................................................................. 13

Annex B (normative) Nonconformance Form (layout example) ............................................................... 18

Tables Page

Table 1 — Nonconformance process codes ......................................................................................................... 8

Table 2 — Nonconformance cause codes .............................................................................................................. 9

Table 3 — Nonconformance corrective action codes .................................................................................... 11

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SIST EN 9131:2016
EN 9131:2016 (E)
European foreword

This document (EN 9131:2016) has been prepared by the Aerospace and Defence Industries

Association of Europe - Standardization (ASD-STAN).

After enquiries and votes carried out in accordance with the rules of this Association, this European

Standard has received the approval of the National Associations and the Official Services of the member

countries of ASD, prior to its presentation to CEN.

This European Standard shall be given the status of a national standard, either by publication of an

identical text or by endorsement, at the latest by July 2016, and conflicting national standards shall be

withdrawn at the latest by July 2016.

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. CEN [and/or CENELEC] shall not be held responsible for identifying any or all such patent

rights.
This document supersedes EN 9131:2009.

According to the CEN-CENELEC Internal Regulations, the national standards organizations of the

following countries are bound to implement this European Standard: Austria, Belgium, Bulgaria, Croatia,

Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France,

Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands,

Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the

United Kingdom.
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SIST EN 9131:2016
EN 9131:2016 (E)
Rationale

This European Standard has been significantly revised further defining process requirements and data

expectations; restructuring the nonconformity documentation data and providing further definition of

data descriptions; and providing process defect, cause, and corrective action codes.

This European Standard was created to provide for the uniform submittal of nonconformance

information for notification and/or approval when contractually invoked at any level or as guidance

within the aviation, space, and defence industry. This European Standard can be invoked as a stand-

alone requirement or used in conjunction with 9100-series standards (i.e., 9100, 9110, 9120).

To assure customer satisfaction, aviation, space, and defence industry organizations must produce, and

continually improve, safe, reliable products that meet or exceed customer and regulatory authority

requirements. The globalization of the industry, and the resulting diversity of regional/national

requirements and expectations, has complicated this objective. End-product organizations face the

challenge of assuring the quality of, and integrating, product purchased from suppliers throughout the

world and at all levels within the supply chain. Industry suppliers and processors face the challenge of

delivering product to multiple customers having varying quality expectations and requirements.

The aviation, space, and defence industry established the International Aerospace Quality Group (IAQG)

for the purpose of achieving significant improvements in quality and safety, and reductions in cost,

throughout the value stream. This organization includes representation from companies in the

Americas, Asia/Pacific, and Europe.

This document standardizes requirements for nonconformance data definition and documentation for

the industry. The establishment of common requirements, for use at all levels of the supply-chain by

organizations, should result in improved quality and safety, and decreased costs, due to the elimination

or reduction of organization-unique requirements and the resultant variation inherent in these multiple

expectations.
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SIST EN 9131:2016
EN 9131:2016 (E)
1 Scope

This European Standard defines the common nonconformance data definition and documentation that

shall be exchanged between an internal/external supplier or sub-tier supplier, and the customer when

informing about a nonconformity requiring formal decision. The requirements are applicable, partly or

totally, when reporting a product nonconformity to the owner or operator, as user of the end item (e.g.,

engine, aircraft, spacecraft, helicopter), if specified by contract.

The process of exchanging, coordinating, and approving nonconformance data varies with the multiple

relationships and agreements among all parties concerned. The information provided by this European

Standard forms guidelines for submitting and managing of data through accurate communication. The

main objective is to provide the definition of a data set that can be integrated into any form of

communication (e.g., electronic data interchange, submission of conventional paper forms).

Reporting of nonconformance data, either electronically or conventionally on paper, is subject to the

terms and conditions of the contract. This also includes, where applicable, data access under export

control regulations.
2 Normative References

The following documents, in whole or in part, are normatively referenced in this document and are

indispensable for its application. For dated references, only the edition cited applies. For undated

references, the latest edition of the referenced document (including any amendments) applies.

EN 9100, Quality Management Systems — Requirements for Aviation, Space and Defence Organizations

EN 9110, Quality Management Systems — Requirements for Aviation Maintenance Organizations

EN 9120, Quality Management Systems — Requirements for Aviation, Space and Defence Distributors

ISO 9000:2005, Quality management systems — Fundamentals and vocabulary
3 Terms and Definitions

For the purposes of this document, the terms and definitions given in ISO 9000 and the following apply.

3.1 Customer

The recipient of a product provided by an internal/external supplier or sub-tier supplier

3.2 Mandatory Data

Common and transferable data systematically filled in and provided. The data field must be printed out

on the paper form.
3.3 Optional Data

All data fields that are not defined as mandatory by this European Standard. These fields may be

requested by a customer or needed by the originator for their own purposes.
3.4 Product

Any vehicle, engine, equipment, component, deliverable software, or parts and materials thereof

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SIST EN 9131:2016
EN 9131:2016 (E)
3.5 Product Quality Escape

Any product released by an internal/external supplier or sub-tier supplier that is subsequently

determined to be nonconforming to contract and/or product specification requirements

3.6 Waiver/Concession

Written authorization from the customer to the internal/external supplier to use or release a product

which does not conform to the specified requirements

Note 1 to entry: Waiver/concession and product quality escape differ with respect to the point in time

when a nonconformance is detected during the product life cycle. Waiver/concession is evident before

delivery to the customer, while a product quality escape is identified after delivery to the customer.

4 Requirements

4.1 Data related to the description of a nonconformity (i.e., content, format, size) shall be in

accordance with the complete set defined in Annex A and the contractual requirements.

a. Mandatory data fields, identified in bold text and marked with an asterisk (*) shall be

systematically recorded and reported to the customer.

b. Optional data fields shall be recorded, when required, provided that it is not in contradiction

with contractual requirements.

NOTE 1 For any data field, whether mandatory or optional data, recorded and reported to the customer

that is not applicable shall have N/A entered in the field, prior to final approval/signature.

NOTE 2 Customers may require different optional data fields be recorded and reported. It is therefore

recommended to ensure the Information Technology System is capable of modifying the

optional data fields and inactivating those not being used to be able to fulfil new customer’s

requirements and where existing customers change their requirements. This includes the

capability of the Information Technology System to process with data types and data sizes

specified in this standard.

4.2 Nonconformity data recording and approval shall be in accordance with contractual and

regulatory requirements.

4.3 Attached files should be in a protected format (e.g., pdf, tif, jpg), whenever possible. Where this is

not practical, appropriate precautions shall be taken to prevent inadvertent changes.

4.4 Where file sizes are constrained, file size optimization tool shall be used. If a file compression is

not capable of meeting file size constraints, the data exchange has to be agreed upon between

both parties [e.g., via compact disk, USB flash drive, e-mail correspondence, direct access to data

system].

4.5 A nonconformance form shall contain, at a minimum, the fields defined in Annex A and depicted

in the example provided (see Annex B). However, the size and order of the fields may be changed

to suit the individual application provided that:

a. The contents of the boxes specified in this European Standard are maintained; alternatively a

cross reference can be used.
b. The form is identified as a nonconformance record.
c. Complies with contractual/regulatory requirements.
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SIST EN 9131:2016
EN 9131:2016 (E)

4.6 When required, continuation/additional sheets and attachments shall include the same reference

number as the original document.

NOTE Reference Annex A, the data fields ‘Nonconformance Description’ (see No. 19) and ‘Disposition’

(see No. 25) may be presented either as a summary or in a clearly defined sub-structure (see No.

19 a-i and No. 25 a-e).

4.7 The forms may be pre-printed, computer generated, or accessed via a net-based system

(intranet/internet), but in all cases, the printing of lines and characters shall be clear and legible.

The details entered on the forms shall preferably be machine/computer printed, but may be

handwritten as long as capital letters are used and the document remains legible.

NOTE The use of abbreviations should be kept at a minimum.

4.8 The information shall be in English, but other languages are acceptable (e.g., bilingual: English and

native) when specified in the contract.
NOTE The use of abbreviations should be kept to a minimum.
5 Code Catalog

The following codes are recommended for codifying affected processes, causes of process deviations,

and corrections made to remedy the nonconformity. If codes are defined by a contract and/or the

originators already have codes defined that satisfy their needs, these codes shall take precedence over

the following.

NOTE The following codes represent a minimum selection of possible variances. In case of needing additional

code definitions (e.g., software, electronic, composites, structures), the tables can be enhanced by using

the existing structure.
5.1 Nonconformance Process Codes

A product nonconformance is typically associated with a process deviation. See Table 1 for a selection

processes.
5.2 Nonconformance Cause Codes

The causes of process deviations are defined in Table 2. In order to assist categorization, the list is set

up to facilitate the use of process improvement tools (e.g., cause and effect diagram). The ‘Main Term’

code can be used as the cause code, if appropriate, or further definition may be provided.

NOTE 1 One or more cause codes may be used to define the cause(s) for a product nonconformity.

NOTE 2 The allocation of a cause code could be either apparent (preliminary/initial) or final, depending on the

...

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