This material is derived from SAE AS9101F (technically equivalent to EN9101:2016 and SJAC9101F) which is

copyrighted property of SAE International. SAE is not responsible for outcomes resulting from use of this
material. The format and fields shall not be changed in this unlocked file. Only changes to the functionality of
fields and boxes are allowable.

9101 FORM 4 (19 Jun 2017)


Resources
Code Title Defnition Code
Appropriate education,
training or experience was not
Inadequate people
RE1 adequately determined, or MG1
capability.
competent people were not
available.
Operating infrastructure such
as utilities, information
Inadequate operating technology, buildings,
RE2 MG2
infrastructure. transportation was not
adequate to support
operational requirements.
Operating environment
elements such as
Inadequate operating temperature, humidity,
RE3 MG3
environment. lighting, noise and cleanliness
were not adequate to support
operational requirements.
Equipment was not capable of
meeting and sustaining
Inadequate provision of
RE4 operational requirements, or MG4
equipment.
was not adequately controlled
or available.
9101 FORM 4 (19 Jun 2017)
This material is derived from SAE AS9101F (technically equivalent to EN9101:2016 and SJAC9101F) which is
copyrighted property of SAE International. SAE is not responsible for outcomes resulting from use of this
material. The format and fields shall not be changed in this unlocked file. Only changes to the functionality of
9101 Form 4 - Annex A
Cause Codes
Management
Title Defnition
Identified training and
competency requirements
were not adequately deployed
Lack of training
and/or sustained to meet the ME1
provision.
ongoing needs of the
organization.
Authorities, responsibilities or
duties lacked clarity or were
Unclear roles and not fully understood. As a
ME2
responsibilities. result operational tasks and
related authorities/approvals
were improperly assigned.
The organization did not
determine or implement
sufficient arrangements to
Inadequate
ensure continued application
organizational ME3
and effectiveness of the QMS
governance.
and its processes.
Key information was not
adequately communicated
within the organization within a
Inadequate
timeframe that makes the ME4 or validation of process,
communication.
information relevant and
allows for feedback as
required.
fields and boxes are allowable.
Methods
Code Title Defnition
The organization did not
adequately deploy planning
Lack of operational
and control activities to ensure HF1
planning and control.
that operational tasks were
conducted in accordance with
requirements.
Documented information did
Inadequate not clearly describe the
documented applicable requirements for
information. the process, product or
service.
Documented information was
Inadequate control of
not adequately maintained,
documented
retained or made available to
information.
demonstrate effective control.
Verification / validation
Inadequate verification
activities were not conducted
in accordance with the stated
product or service.
requirements.
Human Factors
Code Title Defnition
Lack of attention or A state of being unfocused or
concentration. uninterested in the task.
A state of being overloaded or
pressurised by urgent and
HF2 Pressure and stress. changing or conflicting
demands. A lack of time or
resource to perform the task.
A state caused by being
disturbed or side-tracked by
HF3 Distraction.
other people or by any other
disruption in the workplace.
A state caused by being
physically and / or mentally
tired as a result of workplace
HF4 Fatigue.
ergonomics, workload,
working hours, personal
situations etc.