SIST EN 9131:2016
(Main)Aerospace series - Quality Management Systems - Nonconformance Data Definition and Documentation
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 - Qualitätsmanagementsystems - 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
Relations
Standards Content (Sample)
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
2
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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.
3
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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.
4
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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
5
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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.
6
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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
...
SLOVENSKI STANDARD
kSIST FprEN 9131:2015
01-julij-2015
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: FprEN 9131
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
kSIST FprEN 9131:2015 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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kSIST FprEN 9131:2015
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kSIST FprEN 9131:2015
EUROPEAN STANDARD
FINAL DRAFT
FprEN 9131
NORME EUROPÉENNE
EUROPÄISCHE NORM
May 2015
ICS Will supersede EN 9131:2009
English Version
Aerospace series - Quality Management Systems -
Nonconformance Data Definition and Documentation
Série aérospatiale - Systèmes de management de la qualité Luft- und Raumfahrt - Qualitätsmanagementsystems -
- Documentation des non-conformités Nichtkonformitäts Dokumentation
This draft European Standard is submitted to CEN members for formal vote. It has been drawn up by the Technical Committee ASD-STAN.
If this draft becomes a European Standard, 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.
This draft European Standard was established by CEN 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.
Recipients of this draft are invited to submit, with their comments, notification of any relevant patent rights of which they are aware and to
provide supporting documentation.
Warning : This document is not a European Standard. It is distributed for review and comments. It is subject to change without notice and
shall not be referred to as a European Standard.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG
CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels
© 2015 CEN All rights of exploitation in any form and by any means reserved Ref. No. FprEN 9131:2015 E
worldwide for CEN national Members.
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kSIST FprEN 9131:2015
FprEN 9131:2015 (E)
Contents Page
Foreword .2
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 .5
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 . 10
Appendix A (normative) List of Nonconformance Documentation Data
(mandatory data fields bolded with *) . 11
Appendix B (normative) Nonconformance Form (layout example) . 16
Tables Page
Table 1 — Nonconformance process codes .8
Table 2 — Nonconformance cause codes.9
Table 3 — Nonconformance corrective action codes . 10
2
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kSIST FprEN 9131:2015
FprEN 9131:2015 (E)
Foreword
This document (FprEN 9131:2015) 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 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 document is currently submitted to the Formal Vote.
This document will supersede EN 9131:2009.
3
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kSIST FprEN 9131:2015
FprEN 9131:2015 (E)
Rationale
This 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 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 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.
4
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kSIST FprEN 9131:2015
FprEN 9131:2015 (E)
1 Scope
This 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 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 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
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
5
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kSIST FprEN 9131:2015
FprEN 9131:2015 (E)
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 Appendix 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 Appendix A and depicted in
the example provided (see Appendix B). However, the size and order of the fields may be changed to
suit the individual application provided that:
c. The contents of the boxes specified in this standard are maintained; alternatively a cross reference
can be used.
d. The form is identified as a nonconformance record.
e. Complies with contractual/regulatory requirements.
4.6 When required, continuation/additional sheets and attachments shall include the same reference
number as the original document.
NOTE Reference Appendix 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).
6
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kSIST FprEN 9131:2015
FprEN 9131:2015 (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 status of
root cause analysis. For further support see Supply Chain Management Handbook (SCMH); “Root Cause
Analysis and Problem Solving” Chapter – www.iaqg.org/scmh.
5.3 Nonconformance Corrective Action Codes
Common corrective action codes are defined in Table 3; intended to correspond directly to the cause codes
identified in Table 2, as
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