EN 9131-2016 en Aerospace series - Quality Management Systems - Nonconformance Data Definition and Documentation《航空航天系列 质量管理体系 不合格的数据定义和文档》.pdf

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1、BSI Standards PublicationBS EN 9131:2016Aerospace series QualityManagement Systems Nonconformance DataDefinition and DocumentationBS EN 9131:2016 BRITISH STANDARDNational forewordThis British Standard is the UK implementation of EN 9131:2016.It supersedes BS EN 9131:2009 which is withdrawn.The UK pa

2、rticipation in its preparation was entrusted to TechnicalCommittee ACE/1, International and European Aerospace Policy andProcesses.A list of organizations represented on this committee can beobtained on request to its secretary.This publication does not purport to include all the necessaryprovisions

3、 of a contract. Users are responsible for its correctapplication. The British Standards Institution 2016.Published by BSI Standards Limited 2016ISBN 978 0 580 75511 8ICS 03.120.10; 49.020Compliance with a British Standard cannot confer immunity fromlegal obligations.This British Standard was publish

4、ed under the authority of theStandards Policy and Strategy Committee on 31 January 2016.Amendments/corrigenda issued since publicationDate T e x t a f f e c t e dBS EN 9131:2016EUROPEAN STANDARD NORME EUROPENNE EUROPISCHE NORM EN 9131 January 2016 ICS 03.120.10; 49.020 Supersedes EN 9131:2009English

5、 Version Aerospace series - Quality Management Systems - Nonconformance Data Definition and Documentation Srie arospatiale - Systmes de management de la qualit - Documentation des non-conformits Luft- und Raumfahrt - Qualittsmanagementsystems - Nichtkonformitts Dokumentation This European Standard w

6、as 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 n

7、ational 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 la

8、nguage 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, Gree

9、ce, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey andUnited Kingdom. EUROPEAN COMMITTEE FOR STANDARDIZATION COMIT EUROPEN DE NORMALISATION EUROPISCHES KOMITEE FR NORMUNG C

10、EN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels 2016 CEN All rights of exploitation in any form and by any means reserved worldwide for CEN national Members. Ref. No. EN 9131:2016 EBS EN 9131:2016EN 9131:2016 (E) 2 Contents Page European foreword . 3 Rationale . 4 1 Scope 5 2 Normati

11、ve 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 Corr

12、ective 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

13、Nonconformance corrective action codes 11 BS EN 9131:2016EN 9131:2016 (E) 3 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

14、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 identica

15、l 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 responsib

16、le 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, Czec

17、h 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

18、. BS EN 9131:2016EN 9131:2016 (E) 4 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, cau

19、se, 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

20、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 reg

21、ulatory 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 supplier

22、s 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 Q

23、uality 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 noncon

24、formance 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 requirement

25、s and the resultant variation inherent in these multiple expectations. BS EN 9131:2016EN 9131:2016 (E) 5 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 cust

26、omer 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

27、 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 i

28、s 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 t

29、he 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 ap

30、plies. 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 9

31、120, 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

32、 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

33、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 BS EN 9131:2016EN 9131:2016 (E) 6 3.5 Product Quality Escape Any prod

34、uct 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 whi

35、ch 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 qual

36、ity 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

37、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, recorde

38、d 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 mo

39、difying the optional data fields and inactivating those not being used to be able to fulfil new customers 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

40、 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 in

41、advertent 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, dire

42、ct 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 s

43、pecified 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. BS EN 9131:2016EN 9131:2016 (E) 7 4.6 When required, continuation/additional sheets and attachme

44、nts 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

45、 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

46、 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 kep

47、t 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 co

48、des 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 Nonconforma

49、nce 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 nonconformi