CQI-9审核表

AIAG Special Process: Heat Treat System AssessmentAutomotive Industry Action GroupFacility Name: 工厂名称：Phone Number 电话： Type(s) of Thermal Processing at this Location:Fax Number 传真：热处理设备 型号 购买时间 铁酸盐碳氮共渗 （气体或盐）铝金属热处理感应热处理Current Quality Certification(s)Name姓名 Title职位 Phone电话 Email邮箱Auditors 审核人Name姓名 Phone电话 Email邮箱Assessment score 评审分数不符合项数Number of “Not Satisfactory“ Findings公司内部有热处理过程吗？有外包的热处理过程吗？先前评估日期：Captive Heat Treater (Y/N)Commercial Heat Treater (Y/N)评估日期：Company公司Number of Heat Treat Employees at this Location:该公司热处理员工数量：脱溶硬化 / 时效处理Carbonitriding/碳氮共渗Carbon Correction/修复渗碳Neutral Hardening/中性淬火Austempering / MartemperingTempering/回火Precipitation Hardening / AgingSpecial Process: Heat Treat Process Assessment 特殊过程：热处理过程评估Date of Re-evaluation (if necessary):重新评估日期（若需要）Personnel Contacted: 联系人：Date of Previous Evaluation:Address:地址 :Process Table 1 /工艺表 1Process Table 2 /工艺表 2Date of Evaluation:Carburizing/渗碳Nitriding (Gas) 渗氮（气体）Ferritic-Nitrocarburizing (Gas or Salt)Quenched an Tempering/淬火及回火Process Table 3 /工艺表 3Process Table 4/ 工艺表 4目前质量证明Aluminum Thermal TreatmentInduction Heat TreatingAIAGAutomotive Industry Action Group1.1Is there a dedicated andqualified heat treat persononsite?现场是否有专职和有资格的热处理人员To ensure readily available expertise, there shall be a dedicated and qualified heattreat person on site. This individual shall be a full-time employee and the positionshall be reflected in the organization chart. A job description shall exist identifyingthe qualifications for the positionincluding metallurgical and heat treat knowledge. The qualifications shall include aminimum of 5 years experience in heat treat operations or a combination of aminimum of 5 years of formal metallurgical education and heat treat experience.全职、在册员工；具备冶金和热处理专业知识；至少 5年热处理操作经验或至少 5年基础冶金教育及热处理经验。1.2Does the heat treaterperform APQP?是否对热处理进行先期质量策划 _APQP？The organization shall incorporate a documented Advance Product and QualityPlanning (APQP) procedure. A feasibility study shall be performed and internallyapproved for each part. Similar parts can be grouped into part families for thiseffort as defined by the organization. After the production Part Approval Process(PPAP) is approved by the customer, no process changes are allowed unlessapproved by the customer. The heat treater shall contact the customer whenclarification of process changes is required. This clarification of significantprocesses change shall be documented. 有 APQP程序，每个零件进行了可行性研究和内部批准； 相似零件能够组成零件族并得到定义； PPAP后，无顾客未批准的过程更改； 重大过程更改的澄清应联系顾客并保持记录。Not Satisf.不满意N/A不适用Satisfactory满意Question问题Question No.问题号Requirements / Guidance要求 /指南Objective Evidence证据Special Process: Heat Treat System AssessmentSection 1 - Management Responsibility AIAG,ASTM, General Motors,Ford, and DaimlerChrysler.所有与热处理有关的规范或参考规范是否是最近的和可以得到的。例如： SAE，AIAG,ASTM,GeneralMotors,Ford,andDailerChrysler的热处理标etrag (JiangXi) Transmission CO.,LtdGJT_KangxinwuPurchasing Department第 4页 / 共 39页4 / 39PageAIAGAutomotive Industry Action GroupNot Satisf.不满意N/A不适用Satisfactory满意Question问题Question No.问题号Requirements / Guidance要求 /指南Objective Evidence证据Special Process: Heat Treat System AssessmentNeeds ImmediateAction需立即改善Assessment 评估Special Process: Heat Treat Process Assessment 特殊过程：热处理过程评估1.7Has a valid capability studybeen performed initially andafter process equipment hasbeen relocated, or had amajor rebuild?是否对设备进行了有效的初始能力研究，在设备移动位置或进行了重大改造后是否进行了有效的能力研究To demonstrate each process is capable of yielding acceptable product theorganization shall perform product capability study for the initialvalidation of eachprocess, after relocation of any process equipment, & after a major rebuild of anyequipment. The organization shall define whatconstitutes a major rebuild. Initialproduct capability studies shall be conducted for all heat treat processes perfurnace line defined in scope of work & annually thereafter. A furnace line mayinclude a combination of equipment that is integrated in the performance of a heattreatment process, i.e. hardening, quenching, and tempering. Capability studytechniques shall be appropriate for the heat treat product characteristics, i.e.tensile strength, case depth, hardness. Any specific customer requirements shallbe met, in the absence of customer requirements, the organization shall establishacceptable ranges for measures of capability. An action plan shall exist to addressthe steps to followed in case capability indices fall outside customer requirementsor established ranges.为证明每一个过程能够生产出可接受的产品，供应商应对每一个过程进行生产能力研究，包括在初始验证、任何过程设备重新布置或大修（应定义何为大修）之后；初始能力研究应包括指定了年度工作范围的每一条热处理炉生产线的热处理过程，一条热处理炉生产可能包括很多设备的组合以集成需要的热处理工艺，如硬化、淬火和回火；能力研究技术应针对热处理产品特性参数是适当的，这些参数包括抗拉强度、硬化层深度、硬度；任何顾客的特殊要求均应满足,当没有顾客特殊要求时,应建立一个能力的接受准则(Acceptable ranges)以测量过程能力,一旦超过顾客的特殊要求和内部规定的接受准则时,应采取行动计划。1.8Does the heat treater collectand analyze data over time,and react to this data?热处理人员是否不断地收集和分析数据并对数据有相应反应行动The analysis of products and processes over time can yield vital information fordefect prevention efforts. The organization shall have a system to collect, analyze,and react to product or process data over time. Methods of analysis shall includeongoing trend or historical data analysis of significant product or processparameters. The organization shall determine which significant parameters toinclude in such analysis. 热处理产品和过程数据的分析能提供缺陷预防的重要信息； 应建立一个全过程收集、分析、和反映产品和过程参数的系统； 分析方法包括对重要产品和过程参数的现行趋势和历史数据的分析； 应确定哪些参数需要列入分析范围etrag (JiangXi) Transmission CO.,LtdGJT_KangxinwuPurchasing Department第 5页 / 共 39页5 / 39PageAIAGAutomotive Industry Action GroupNot Satisf.不满意N/A不适用Satisfactory满意Question问题Question No.问题号Requirements / Guidance要求 /指南Objective Evidence证据Special Process: Heat Treat System AssessmentNeeds ImmediateAction需立即改善Assessment 评估Special Process: Heat Treat Process Assessment 特殊过程：热处理过程评估1.9Is management reviewingthe heat treat monitoringsystem every 24 hours?管理层是否每隔 24小时评价热处理的监控系统？Management shall review the furnace monitoring systems at intervals not toexceed 24 hours. The heat treat monitoring system includes but is notlimited to temperature strip charts, atmosphere strip charts, computer data logs,furnace and operator logs, etc. The management review shall include efforts todetect out-of-control conditions or alarm conditions.The process of reviewing the furnace data shall be documented and thisrequirement also applies to computerized data. 管理层应该不超过 24小时对炉子的监控系统进行评价； 热处理监控系统包括但不限于温度记录，气氛记录，电脑数据日志，热处理炉和操作日记录等； 评审包括对失控状态或报警状态的探测，热处理炉数据的评审过程应进行记录，该记录要求同样适用于计算机数据。1.10Are internal audits beingcompleted on an annualbasis, at a minimum, usingAIAG HTSA?是否每年至少一次按 AIAG_HTSA标准进行内部审核？The organization shall conduct internal audits on an annual basis, at a minimum,using the AIAG HTSA. Concerns shall be addressed in a timely manner.每年最少一次按 AIAG _HTSA标准进行内部审核，并及时发布审核时发现的问题点。1.11Is there a system in place toauthorize reprocessing andis it documented?是否有一个文件化的返工批准系统？The quality management system shall include a documented process forreprocessing that shall include authorization from a designated individual. Thereprocessing procedure shall describe product characteristics for whichreprocessing is allowed as well as those characteristics for which reprocessing isnot permissible. Any reprocessing activity shall require a new processing controlsheet issued by qualified technical personnel denoting the necessary heat treatmodifications. Records shall clearly indicate when and how any material has beenreprocessed. The Quality Manager or a designee shall authorize the release ofreprocessed product. 应有一个文件化的返工（ reprocessing）批准系统，包括对指定人的授权； 该程序应描述哪些产品特性允许，哪些不允许； 任何一个返工，需要有资格的技术人员编制一个新的过程控制表，表明热处理更改的必要性； 应记录何时、有多少材料被返工； 质量经理或指派的授权人员应批准再处理零件的发运etrag (JiangXi) Transmission CO.,LtdGJT_KangxinwuPurchasing Department第 6页 / 共 39页6 / 39PageAIAGAutomotive Industry Action GroupNot Satisf.不满意N/A不适用Satisfactory满意Question问题Question No.问题号Requirements / Guidance要求 /指南Objective Evidence证据Special Process: Heat Treat System AssessmentNeeds ImmediateAction需立即改善Assessment 评估Special Process: Heat Treat Process Assessment 特殊过程：热处理过程评估1.12Does the QualityDepartment review, address,and document customer andinternal concerns?质量部门是否对顾客和内部关注的问题进行评价、处理并形成文件？The quality management system shall include a process for documenting,reviewing, and addressing customer concerns and any other concerns internal tothe organization. A disciplined problem-solving approach shall be used。 质量管理系统应包括一个针对文件化、评审和识别外部顾客关注和任何其他内部关注问题的过程； 应该运用问题解决方法进行这些工作。1.13Is there a continualimprovement plan applicableto each process defined inthe scope of the audit?是否针对热处理审核范围内的每一个过程，建立了适用的持续改进计划？The heat treater shall define a process for continual improvement for each heattreat process identified in the scope of the HTSA. The process shall be designedto bring about continual improvement in quality and productivity. Identified actionsshall be prioritized and shall include timing (estimated completion dates). Theorganization shall show evidence of program effectiveness. 应建立一个持续改进过程，适用热处理审核范围的每个过程，这些过程的设计应带来质量水平和生产率的持续改进； 行动计划应体现优先顺序和日期要求（完成时间）； 应提供该项目运行有效性的证据。1.14Does the Quality Manager ordesignee authorize thedisposition of material fromquarantine status?是否由质量经理或者指定的人员批准材料的隔离？The Quality Manager is responsible for authorizing and documenting appropriatepersonnel to disposition quarantine material. 质量管理者有责任批准和文件规定适当的的人员对隔离材料进行处置。1.15Is there an operationsmanual available to heattreat personnel covering theentire heat treating process?是否建立覆盖整个热处理过程适用于操作者的操作手册？An operations manual shall be available to heat treat personnel cov ering theentire heat treating process. The manual shall include procedures orwork instructions addressing potential emergencies (such as power failure),equipment start-up, equipment shut-down, product segregation (See 2.8), productinspection, and general operating procedures. These procedures or workinstructions shall cover all steps of the operation from product receipt to productshipment and shall be accessible to shop floor personnel. 应建立覆盖整个热处理过程（从接收到发运）的、适用的作业指导书（或操作手册）； 这些程序或作业指导书包括潜在情况（如动力中断）设备启动和停止、产品隔离（见 2.8）、产品检验及一般操作程序； 该程序或作业指导书应覆盖所有从原材料的接收到产品发运的操作步骤，并且车间人员要方便获得etrag (JiangXi) Transmission CO.,LtdGJT_KangxinwuPurchasing Department第 7页 / 共 39页7 / 39PageAIAGAutomotive Industry Action GroupNot Satisf.不满意N/A不适用Satisfactory满意Question问题Question No.问题号Requirements / Guidance要求 /指南Objective Evidence证据Special Process: Heat Treat System AssessmentNeeds ImmediateAction需立即改善Assessment 评估Special Process: Heat Treat Process Assessment 特殊过程：热处理过程评估1.16Is management providingemployee training for heattreating?管理层是否为员工（包括后备的、临时的）提供了热处理方面的培训？The organization shall provide employee training for all heat treating operations.All employees,including backup and temporary employees, shallbe trained. Documented evidence shall be maintained showing the employeestrained and an assessment of the effectiveness of the training. Management shalldefine the qualification requirements for each function, and ongoing or follow-uptraining shall also be addressed.管理者必须为所有热处理员工（包括后备的、临时的）提供培训；必须保持文件化的证明以表明员工得到了培训和进行了培训有效性的评估；必须确保每项活动所需要的资格要求及现在和将来的培训需求。1.17Is there a responsibilitymatrix to ensure that all keymanagement andsupervisory functions areperformed by qualifiedpersonnel?是否建立责任矩阵表确保所有关键的管理和坚控活动都由有资格的人员担任或进行？The organization shall maintain a responsibility matrix identifying all keymanagement and supervisory functions and the qualified personnel who mayperform such functions. It shall identify both primary and secondary (backup)personnel for the key functions (as defined by the rganization).This matrix shall be readily available to management at all times. 应有可靠的责任矩阵表证明所有关键的管理和监控活动都由有资格的人员完成，对关键的活动，应规定主要和次要的人员； 管理者能在任何时候方便的获取该矩阵。1.18Is there a preventivemaintenance program? Ismaintenance data beingutilized to form a predictivemaintenance program?是否有预防性维护程序？预防性维护数据是否作为预测性维护计划的一部分？The organization shall have a documented preventive maintenance program forkey process equipment (as identified by the organization). The program shall be aclosed-loop process that tracks maintenance efforts from request to completion toassessment of effectiveness. Equipment operators shall have the opportunity toreport problems, and problems shall also be handled in a closed-loop manner.Company data, e.g., downtime, quality rejects, firsttime-through capability,recurring maintenance work orders, and operator-reported problems, shall be usedto improve the preventive maintenance program. Furnaces and generators shallbe scheduled for burn-out at frequencies determined by the organization (seeSection 1 of the Process Tables). Maintenance data shall be collected andanalyzed as part of a predictive maintenance program. 对识别的关键过程应建立一个预防性维护程序，该程序必须是一个从请求到实施到有效性评估的闭环，操作者有机会报告问题并在闭环中解决问题； 计算机数据如停机时间、质量拒收（ QR）、 FTT能力、重复维修指令、操作者问题报告均可用来改善预防性维修程序； 热处理炉和各类发生器应按照确定的频率制定相应的烧碳黑计划（详见过程表1.0）； 作为预见性维护计划的一部分 ,维护数据应得到收集并进行分析etrag (JiangXi) Transmission CO.,LtdGJT_KangxinwuPurchasing Department第 8页 / 共 39页8 / 39PageAIAGAutomotive Industry Action GroupNot Satisf.不满意N/A不适用Satisfactory满意Question问题Question No.问题号Requirements / Guidance要求 /指南Objective Evidence证据Special Process: Heat Treat System AssessmentNeeds ImmediateAction需立即改善Assessment 评估Special Process: Heat Treat Process Assessment 特殊过程：热处理过程评估1.19Has the Heat Treaterdeveloped a critical sparepart list and are the partsavailable to minimizeproduction disruptions?是否有热处理的紧急备件清单，备件是否可以得到从而最大限度地减少生产中断时间。The heat treater shall develop and maintain a critical spare parts list and shallensure the availability of such parts to minimize productiondisruptions. 应该编制和维护紧急备件清单，保证最大限度地减少生产中断时间。2.1Does the facility ensure thatthe data entered in thereceiving system matchesthe information on thecustomers shippingdocuments?是否能保证输入接收系统的数据与顾客的装运资料的信息匹配？It is critical that all customer requirements and lot identification be adequatelytransferred to internal heat treat documents. The facility shall ensure that the dataentered in the receiving system match the information on the customers shippingdocuments. Documented processes and evidence of compliance shall exist, e.g.,shop travelers, work orders, etc. Sometimes the material received does notprecisely correspond to customer shipping documents. The facility shall have adetailed process in place to resolve receiving discrepancies. The requirementsstated above also apply to captive heat treat departments. This process refers toreceiving and shipping the parts in and out of the heat treat department.将所有的顾客要求和批次识别充分转化为内部热处理文件至关重要；确保输入接收系统的数据与顾客发运文件的信息一致；文件化的规定和符合证据如：工艺流转卡、工作订单等；当存在接收材料不能准确的与发运文件相符合时，供应商应具有详细的流程来处理接收的差异；上述要求也同样适用于内部有热处理部门的情况，该过程中接收和发运参照执行。Section 2 - Floor and Material Handling Responsibility 场地和物料操作职etrag (JiangXi) Transmission CO.,LtdGJT_KangxinwuPurchasing Department第 9页 / 共 39页9 / 39PageAIAGAutomotive Industry Action GroupNot Satisf.不满意N/A不适用Satisfactory满意Question问题Question No.问题号Requirements / Guidance要求 /指南Objective Evidence证据Special Process: Heat Treat System AssessmentNeeds ImmediateAction需立即改善Assessment 评估Special Process: Heat Treat Process Assessment 特殊过程：热处理过程评估2.2Is product clearly identifiedand staged throughout theheat treat process?整个热处理过程，产品是否清晰地标识？Procedures for part and container identification help to avoid incorrect processingor mixing of lots. Appropri