EN 9131-2009 3125 Aerospace series - Quality management systems - Nonconformance documentation《航空航天系列 质量管理系统 不符合项文件材料》.pdf

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1、BS EN 9131:2009ICS 03.120.10; 49.020NO COPYING WITHOUT BSI PERMISSION EXCEPT AS PERMITTED BY COPYRIGHT LAWBRITISH STANDARDAerospace series Quality managementsystems NonconformancedocumentationCopyright European Committee for Standardization Provided by IHS under license with CENNot for ResaleNo repr

2、oduction or networking permitted without license from IHS-,-,-This British Standardwas published under theauthority of the StandardsPolicy and StrategyCommittee on 30 June 2009 BSI 2009ISBN 978 0 580 53170 5Amendments/corrigenda issued since publicationDate CommentsBS EN 9131:2009National forewordTh

3、is British Standard is the UK implementation of EN 9131:2009.The UK participation in its preparation was entrusted to TechnicalCommittee ACE/1, International and European aerospace policy andprocesses.A list of organizations represented on this committee can be obtained onrequest to its secretary.Th

4、is publication does not purport to include all the necessary provisionsof a contract. Users are responsible for its correct application.Compliance with a British Standard cannot confer immunityfrom legal obligations.Copyright European Committee for Standardization Provided by IHS under license with

5、CENNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-BS EN 9131:2009EUROPEAN STANDARDNORME EUROPENNEEUROPISCHE NORMEN 9131April 2009ICS 03.120.10; 49.020English VersionAerospace series - Quality management systems -Nonconformance documentationSrie arospatiale - Systm

6、es de management de laqualit - Documentation des non-conformitsLuft- und Raumfahrt - Qualittsmanagementsystems -Nichtkonformitts DokumentationThis European Standard was approved by CEN on 18 October 2008.CEN members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the co

7、nditions for giving this EuropeanStandard the status of a national standard without any alteration. Up-to-date lists and bibliographical references concerning such nationalstandards may be obtained on application to the CEN Management Centre or to any CEN member.This European Standard exists in thre

8、e official versions (English, French, German). A version in any other language made by translationunder the responsibility of a CEN member into its own language and notified to the CEN Management Centre has the same status as theofficial versions.CEN members are the national standards bodies of Aust

9、ria, Belgium, Bulgaria, Cyprus, Czech Republic, Denmark, Estonia, Finland,France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal,Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland and United Kingdom.EUROPEAN COMMITT

10、EE FOR STANDARDIZATIONCOMIT EUROPEN DE NORMALISATIONEUROPISCHES KOMITEE FR NORMUNGManagement Centre: Avenue Marnix 17, B-1000 Brussels 2009 CEN All rights of exploitation in any form and by any means reservedworldwide for CEN national Members.Ref. No. EN 9131:2009: ECopyright European Committee for

11、Standardization Provided by IHS under license with CENNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-BS EN 9131:2009EN 9131:2009 (E) 2 Contents Page Foreword 31 Scope 41.1 Application .41.2 Purpose .42 Normative references 43 Terms and definitions .44 Requirements

12、 .55 Code catalog 65.1 Process codes 65.2 Cause codes .65.3 Corrective action codes 66 NOTES .9Annex A (normative) List of nonconformance documentation data (Mandatory fields bolded with *) . 10Annex B (normative) Form layout example . 16Bibliography . 17Table 1 Nonconformance process codes 7Table 2

13、 Nonconformance cause codes8Table 3 Nonconformance corrective action codes .9Copyright European Committee for Standardization Provided by IHS under license with CENNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-BS EN 9131:2009EN 9131:2009 (E) 3 Foreword This docum

14、ent (EN 9131:2009) 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 Offici

15、al 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 October 2009, and conflicting national standards shall be withdrawn at

16、 the latest by October 2009. 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. According to the CEN/CENELEC Internal Regulations, the na

17、tional standards organizations of the following countries are bound to implement this European Standard: Austria, Belgium, Bulgaria, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway

18、, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland and the United Kingdom. This standard was reviewed by the Domain Technical Coordinator of ASD-STANs Quality Domain. After enquiries and votes carried out in accordance with the rules of this Association, this Standard has re

19、ceived the approval of the National Associations and the Official Services of the member countries of ASD, prior to its presentation to CEN. This standard has been significantly revised further defining process requirements and data expectations; restructuring the nonconformity documentation data an

20、d 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

21、within the aviation, space, and defence industries. This standard can be invoked as a stand alone requirement or used in conjunction with AS/EN/JISQ series standards (i.e., 9100, 9110, 9120). To assure customer satisfaction, aerospace industry organizations must produce, and continually improve, saf

22、e, reliable products that meet or exceed customer and regulatory authority requirements. The globalization of the aerospace industry, and the resulting diversity of regional/national requirements and expectations, has complicated this objective. End-product organizations face the challenge of assuri

23、ng the quality of, and integrating, product purchased from suppliers throughout the world and at all levels within the supply chain. Aerospace suppliers and processors face the challenge of delivering product to multiple customers having varying quality expectations and requirements. The aerospace i

24、ndustry 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 aerospace companies in the Americas, Asia/Pacific, and

25、 Europe. This document standardizes requirements for nonconformance data definition and documentation for the aerospace 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,

26、due to the elimination or reduction of organization-unique requirements and the resultant variation inherent in these multiple expectations. Copyright European Committee for Standardization Provided by IHS under license with CENNot for ResaleNo reproduction or networking permitted without license fr

27、om IHS-,-,-BS EN 9131:2009EN 9131:2009 (E) 4 1 Scope 1.1 Application This standard defines the common nonconformance data definition and documentation that must be exchanged between an internal or external supplier or sub-tier supplier and the customer when informing about a nonconformity requiring

28、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 etc.), if specified by contract. Reporting of nonconformance data, either electronically or co

29、nventionally on paper, is subject to the terms and conditions of the contract. This also includes, where applicable, data access under export control regulations. 1.2 Purpose The process of exchanging coordinating and approving nonconformance data via waiver/concession or product quality escape vari

30、es with the multiple relationships and agreements among all parties concerned. The information provided by this standard forms an architecture for submitting and managing data that allows for concise and accurate communication using various methods. The main objective of this standard is to provide

31、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). 2 Normative references The following referenced documents are indispensable for the application of this document. For dated references, only

32、 the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. 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 I

33、SO 9000 and the following apply. 3.1 customer recipient of a product provided by an internal/external supplier or subcontractor 3.2 mandatory common and transferable data systematically filled in and provided The data field must be printed out on the paper form. 3.3 optional all data fields that are

34、 not defined as mandatory by this standard These fields may be requested by a customer or need by the originator for their own purposes. 3.4 product any vehicle, engine, equipment, component, deliverable software or parts and materials thereof Copyright European Committee for Standardization Provide

35、d by IHS under license with CENNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-BS EN 9131:2009EN 9131:2009 (E) 5 3.5 product quality escape any product released by an internal or external supplier or sub-tier supplier that is subsequently determined to be nonconfor

36、ming to contract and/or product specification requirements 3.6 waiver/concession: written authorization from the customer to the internal or external supplier to use or release a product which does not conform to the specified requirements NOTE Waiver/concession and product quality escape differ wit

37、h respect to the point in time when a nonconformance is detected during the product life cyle. 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 nonconform

38、ity (i.e., content, format, size) shall be in accordance with the complete set defined in Annex A, “List of nonconformance documentation” and with the contractual requirements. a) Mandatory data fields, identified in bold text and marked with an asterisk (*) shall be systematically recorded and repo

39、rted to the customer. b) Optional data fields shall be recorded when required by contractor due to originators needs provided that it is not in contradiction with contractual requirements. NOTE 1 For any data field, whether mandatory or optional, recorded and reported to the customer that is not app

40、licable 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 inactivat

41、ing those not being used to be able to fulfil new customers requirements and where existing customers change their requirements. This contains also the capability of the Information Technology System to process with data types and data sizes specified in this standard. 4.2 The entities responsible f

42、or entering and approving/acknowledging nonconformance data - in particular disposition, category of the non-conformity and associated limitation - shall respond in accordance with the terms and conditions of the contract or regulatory requirements. 4.3 Attached files shall be in a protected format

43、(e.g., pdf, tif, jpg). Formats which can be easily changed (e.g., doc, xls, ppt) should be avoided. In such cases, appropriate precautions shall be taken to prevent inadvertent changes to the document. 4.4 Some data systems actually impose file-size constraints (e.g., maximum 500 kbyte). Due to the

44、fact that pictures, tables, etc. occupy large amounts of electronic memory space, a “file optimization tool” (e.g., number of dpi, appropriate compressed format) shall be used to minimize the size of attached files. 4.5 When the description of a nonconformity is not required in an electronic format

45、and/or is required as a printout, it shall be in a format similar to the example depicted in Annex B, “Form layout example”. 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 standard are maintain

46、ed; alternatively a cross reference can be used. b) The form identified as a nonconformance data description. c) Complies with contractual/regulatory requirements. Copyright European Committee for Standardization Provided by IHS under license with CENNot for ResaleNo reproduction or networking permi

47、tted without license from IHS-,-,-BS EN 9131:2009EN 9131:2009 (E) 6 When required, continuation/additional sheets and attachments shall include the same reference number as the original document. NOTE Reference Annex A, “List of nonconformance documentation data”, the data fields Nonconformance Desc

48、ription (see No. 19) and Disposition (No. 25) may be presented either as a summary or in a clearly defined sub-structure (see No. 19a-i and No. 25a-e). 4.6 The forms may be pre-printed, computer generated, or accessed via a net-based system (intranet/internet), but in all cases, the printing of line

49、s 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 block letters are used and the document remains legible. NOTE The use of abbreviations shall be kept at a minimum. 4.7 The information in the data fields shall be in Eng