1、NADCAP NADCAP AUDIT CRITERIA HEAT TREATING NADCAP 热处理审核标准 AC7102 G 发布：1993-06 修订：2013-03 代替 AC7102 F 2013-3-13 NADCAP热处理审核标准于 2013年 3月 24日开始启用 To be used on or after March 24, 2013 Baseline Nadcap Audit Criteria for Heat Treating AC7102 G热处理审核标准 2 1 对供应商的审核说明 INSTRUCTIONS TO SUPPLIER TO BE AUDITED 1
2、.1 审核之前的工作 Prior to the Audit 1.1.1 供应商应按以下文件完成自审（按照适用的范围） ： The supplier shall complete a self-audit to (as applicable): .AC7102 .AC7102/1(如果要获得钎焊工艺批准 If seeking Brazing approval) .AC7102/2(如果要获得铝材料加工工艺批准 If seeking Aluminum approval) .AC7102/3(如果要获得渗碳工艺批准 If seeking Carburizing approval) .AC7102/4
3、(如果要获得渗氮工艺批准 If seeking Nitriding approval) .AC7102/5(如果在热处理工序使用硬度检测作支持(If Hardness testing is used in support of in house heat treating ) .AC7102/6(如果要获得 HIP 工艺批准 If seeking HIP approval) .AC7102/7(如果要获得感应淬火工艺批准 If seeking induction hardening approval ) .AC7101/3(如果要获得用于支持厂内热处理用的拉伸试验的工艺批准 If tensil
4、e testing, is used in support of in-house heat treating) .AC7101/4(如果要获得用于支持厂内热处理金相组织的工艺批准 If Metallography is used in support of in house heat treating) .AC7102/S(如果初次申请特种工艺的批准 If seeking Primes specific approval)AC7102 G热处理审核标准 3 在实际审核前，所有不符合项均要根据纠正措施系统要求进行纠正。如果在实际审核中，任务组认为 出现技术方面不符合项，在由供应商提供费用的情况
5、下，可以要求跟踪审核。供应商应保留自审材料提供 外审人员复查。 All non-conformances shall be corrected by the corrective action system, prior to the actual audit. Nonconformance of a technical nature found during the actual audit will, at the Task Groups discretion, require a follow-up audit at the suppliers expense. This self-au
6、dit shall be maintained by the supplier for review by the auditor. 供应商在自审中应按审核清单，对每个审核清单上每个问题进行回答记录，并记录每个程序、章节所 在的页码。 During the self-audit the supplier shall record each procedure, paragraph and page number for each checklist question requiring an answer on procedures. 按 NADCAP 审核人员要求准备所有合适文件将会提高审核
7、过程的效率。 Ready availability of all documentation required by the Nadcap auditor will speed up the audit process significantly. 距计划审核 30 天，供应商应发送以下资料给审核员（用英文除非供应商与审核员达成一致意见） ： The supplier shall send the following to the auditor 30 days prior to the scheduled audit(in English, unless otherwise agreed b
8、etween auditor and supplier): a 设备列表（气体发生器，测试设备，实验室设备，检测设备，镀层设备，涂层设备，清洗设备， 高温设备和高温测试设备等） a List of equipment (atmosphere generation, testing equipment, lab equipment, inspection equipment, plating, coating, cleaning, Pyrometry, and Pyrometry testing, etc.) b 购买的服务的目录（购买的服务性列表） ，包括校验、工艺和测试等的供应商的名字，校验
9、计划， 均匀性检查，系统精度测试，硬度试验机维修等，周期测试计划（拉伸，脱碳等） b List of purchased services, including name(s) of supplier for calibration, processing, testing, etc., schedule of calibrations, uniformity surveys, system accuracy tests, hardness machines servicing, etc., schedule of periodic tests (tensile, decarburizatio
10、n, etc.) c 质量人员清单和每班批准的热处理人员 c List of quality personnel, and approved heat treating personnel on each shift. d 主要客户的清单和被批准的热处理规范。 d. List of Prime customers and specifications for which heat treater is approved. e 供应商使用的热处理规范的列表（军用，政府，工业（AMS等）和客户的） e. List of heat treat specifications military, gov
11、ernment, industry (AMS, etc.) and customer that supplier is working to. f 用于热处理工艺的内部常规程序，高温和热处理产品的测试/检查的复印件。 f. Copy of internal general procedures for heat treat processing, Pyrometry and testing/inspection of heat treated product. g 组织结构图。 g. Organization chart. 1.2 审核中 During the Audit 1.2.1 供应商应
12、向审核员进行简要的陈述。简要介绍申请单位应该出席的关键人员，以便能够讨论审核目 的、审核方法和评估程序。 AC7102 G热处理审核标准 4 The supplier should provide for an in-briefing for the auditor. Key members of the suppliers staff should attend the in-briefing so the audit purpose, methods and assessment processes can be discussed. 1.2.2 为审核员准备的办公地点有办公桌或办公台、椅
13、子、电话、办事员，在需要时，提供打印机和复印 机等服务。 Working space for the auditor with desks or tables, chairs, telephone, clerical, typing and reproduction services are to be provided as required. 1.2.3 审核员应按与供应商签订的协议要求验证审核的范围并在审核网上修改。 Auditor shall verify the scope of accreditation and modify it in eAuditNet as required
14、 in agreement with the supplier. 1.2.4 审核结束时将做出最后的简要结论。每个不符合项（NCR）将被重新复查，将给供应商机会澄清不 符合项。 A final out-briefing will be conducted at the completion of the audit. Each nonconformance report(NCR) will be reviewed and the supplier will be given the opportunity to seek clarifications. 注：热处理工作组在复审时可以改变审核员对
15、发现项的决定。 NOTE: The Heat Treating Task Group may, upon review, change the auditors determination of a finding 对于每个不符合项供应商有 21 个日历天数作为有效日期并提交纠正措施。供应商应使用合适的形式/ 介质回复每个不符合项 （NCR） （见网上审核的公用文件） 。 每个不符合项 （NCR） 的支持文件应有追溯性。 回复应从系统管理方面说明不符合的根本原因和为避免重复出现采取的或将要采取的措施。 The supplier has 21 calendar days to submit co
16、rrective actions and effective dates for each NCR. The supplier shall respond to each individual NCR using the appropriate form/media (see Public Documents on eAuditNet). Supporting documentation shall be traceable to each individual NCR. The response must address the root cause of the nonconformanc
17、e from a systems management approach and the actions taken or to be taken to preclude reoccurrence. 1.3 定义和说明见热处理工作组审核手册 For definitions and interpretations see Heat Treating Task Group Audit Handbook 1.3.1 （信息） ：当在注释（按所示）下面有“是/否”时，表明该问题只需要以信息形式说明，没有相应 要求。对这些问题回答“否”不要求做不符合报告或解释。 (Info): When noted (
18、as shown) below the “YES/NO” column, indicates a question that is asked for information only, with no corresponding requirements. The “NO” answers to these questions do not require a nonconformance report or an explanation. 1.4 对供应商的附加说明 Additional information for suppliers 1.4.1 除了日常的检查注释以外，还有为完成审核
19、的相关资料，例如审核手册、附属资料和预先的必要说 明。这些能够在网上审核公用文件下面找到和下载。 In addition to the commodity checklist noted herein, there may be other pertinent data such as audit handbooks, attachments and preparatory instructions necessary for the completion of the audit. These can be found and downloaded from eAuditNet under
20、Public Documents. 2 供应商资料 SUPPLIER INFORMATION 公司： COMPANY: 审核日期：AUDIT DATE: 部门：DIVISION: 电话：PHONE: 地址： A D DRE S S : 工厂：FACILITY: 城市/洲/ZI P CI TY /S TA TE/ZI P : AC7102 G热处理审核标准 5 行业性质: NATURE OF BUSINESS: 纯内部产品: IN-HOUSE PRODUCTS ONLY: 承揽的外委加工: A CCE P T S O U T S ID E W O RK 总生产人数: TOTAL EMPLOYEE
21、S: 热处理人员: HEAT TREATING PERSONNEL: 工作场所面积平方英尺数: SQUARE FEET OF WORK AREA: 轮班的生产班组号: NO. OF SHIFTS WORKED: 联络员CONTACTS 职务POSITION 电子邮箱 EMAIL 备注: COMMENTS: 需要时可以附加表 Attach additional sheets of required 初次审核: I N I TI A L A UD IT: 随后审核: F O L L O W - U P AU D I T : 复审: REACCREDITATION AUDIT: 审核员签字: AUD
22、ITORS SIGNATURE: 日期: DATE: 预审的决定: COMMON FINDINGS TO PREVIOUS AUDIT: 日期: DATE: 审核员姓名 Auditors Name: _ 3 通用质量体系 不适用 GENERAL QUALITY SYSTEM NA 下面章节中任何标星号的问题应被作为热处理审核的一部分作回答 The following questions marked with asterisk shall be answered as part of any Heat Treating audit: 3.3.1 3.3.2 3.4.2 3.5.1 3.5.2
23、3.5.3 3.6.2 (All) 3.6.4 3.7.2 3.9.1 如果供应商是有效的 AS9100或 AC7004 认证体系，那么 3.1.1到 3.11.3都是“是” ，除了星号标识， 否则在这个特种工艺审核时作为发现问题的一部分标注出来。 If the supplier has a valid AS9100 or AC7004 certification, all the questions 3.1.1 to 3.11.3，except the ones marked with asterisk, are YES unless otherwise noted as part of t
24、he finding during this Special Process audit. 3.1 文件控制 Document Control 3.1.1 在下发到车间基层部门之前，下面所有文件（不论保存的手写文件或电子文档）的适用性及完整性 是否通过供应商技术部门及质量部门的批准： Are the following documents (whether maintained manually or electronically) approved for applicability/completeness by the suppliers authorized Technical and
25、 Quality functions prior to release to the shop floor: a. 图样和/或者规范？ 是 否 Drawings and/or specifications? YES NO b. 外购材料和服务文件？比如：电镀，试验，温度测量，外委工序，热电偶，采购商等。是 否 Outside procured materials and services documents? i.e. plating,testing, Pyrometry, outside processing, thermocouples, purchasing supplies, etc.
26、 YES NO c. 过程控制文件/程序？比如：热处理程序，硬度试验，检定，温度测量等。是 否 AC7102 G热处理审核标准 6 Process control documents/procedures? i.e. heat treat procedures, hardness testing, calibration, Pyrometry, etc. YES NO 3.1.2 在工作场所有需要使用的适用版本文件吗？ 是 否 Are the applicable revisions of the appropriate documents available at the appropria
27、te workstation? YES NO 3.1.3 使用中的文件版次是否与主文件版次清单匹配或是否符合等效文件控制程序？是 否 Do the revisions of the documents in use match the master list or comply with the equivalent document control procedure? YES NO 3.1.4 过期和难以辨认的文件是否及时清除和/或在出版阶段或使用阶段的文件是否有标记？ 是 否 Have obsolete or illegible documents been promptly remov
28、ed and/or appropriately marked at points of issue or use? YES NO 3.2 合同评审 Contract Review 3.2.1 是否有文件规定经过培训的人员执行合同评审以确保有能力完成任务？ 是 否 Is there documented training of personnel performing contract review to assure that they are competent to perform this task? YES NO 3.2.2 是否对合同和采购单进行评估，以确保: Are contrac
29、ts and incoming purchase orders reviewed to ensure that: a 充分说明和有文件规定了质量和技术要求，包括特殊的客户要求？是 否 aThe quality and technical requirements, including any unique customer requirements, are adequately defined and documented? YES NO b 具有足够的能力，得到客户批准，过程加工能力满足要求吗？是 否 b. Adequate capability, customer approvals a
30、nd resources by the processor to meet the requirements? YES NO c 是否由授权人员/机构/供应商通过书面解决任何偏离规定/合同的内容？ 是 否 c. Any deviations from the proposal/contract are resolved in writing by authorized personnel/ prime/ supplier? YES NO d 有对工作状态的合适描述以鉴定特种工艺能够被执行，包括规范号，适用类型，类别，级别等？ 是 否 d. Adequate definition of the
31、work statement to identify the specific process(es) to be performed including specification number(s), applicable Type(s), Class(es), Grade(s), etc.? YES NO e 是否能够识别有设计权力的主要航空客户？ 是 否 e Identification of the prime aerospace customer that has design authority? YES NO f 当适用时，是否有飞机型号或代表零件号的硬件身份证明（例如波音飞机
32、）？是 否 f Identification of the aircraft model or hardware that the part numbers represent where applicable. (i.e. Boeing)? YES NO g 供应商内部和下级供应商是否能够保证按合同要求执行？ 是 否 g Does the supplier flow contractual requirements down internally and to sub-tier suppliers? YES NO 3.3 不合格产品的控制 Control of Nonconforming P
33、roduct 3.3.1* 不合格的材料是否能得到控制，每一次与合同要求不符的不合格产品情况都能通报客户吗？ 是 否 Is the nonconforming material controlled, and the customer notified of each instance of nonconforming product AC7102 G热处理审核标准 7 in accordance with the contr actual requirem ents ? YES NO 3.3.2* 当进行重复热处理时：是否规范允许？文件允许？重复试验验证？符合客户要求？是 否 When re
34、heat treatment is performed: is it allowed by specification, properly documented, retested, and in compliance with customer requirements? YES NO 3.4 纠正措施 Corrective Action 3.4.1 供应商是否能够确定不符合的根本原因，制定的有效纠正措施，是否能够预防再次发生？ 是 否 Does the supplier determine root cause of nonconformance, and the corrective a
35、ction needed to prevent r ecur r en ce ? Y E S N O 3.4.2* 先前 Nadcap 审核的所有的纠正措施是否仍然在执行（检查上次的全部不符合项）？ 是 否 Are all corrective actions from the previous Nadcap audits still implemented (check the last full audit)? YES NO 3.5 内部审核 Internal Audits 3.5.1* 按照计划和文件规定的内部质量审核，是否由经验丰富的人员按计划完成，而不是由负责此项工 作的人完成？ 是
36、 否 Are planned and documented internal quality audits performed on a scheduled basis by knowledgeable personnel not directly responsible for the work? YES NO 3.5.2* 在内部审核中，所有申请Nadcap审核范围的要素是否在内部审核中记录？是 否 Are all Nadcap elements within the scope of the Suppliers accreditation properly addressed in th
37、e internal audit? YES NO 3.5.3 * 是否有证据证明纠正措施已经执行并证明内部审核的结果促使工艺改进？ 是 否 Is there evidence that corrective actions are taken and process improvements are made as a result of internal audits? YES NO 3.6 质量计划 Quality Planning 3.6.1 供应商的文件规定了与图样/或规范要求一致的检查和试验吗？包括接受和拒收的准则？是否 Does the suppliers documentatio
38、n provide that inspection and test requirements are consistent with drawing and/or specification requirement, including acceptance/rejection criteria? YES NO 3.6.2* 车间生产流程或工作说明是否包括： Do shop travelers or other work instructions contain: a 零件号和/或对材料的足够说明？ 是 否 a. Part number and/or adequate description
39、 of the material? YES NO b 是否按适用性对数量、材料类别、状态、形状和试验样件进行确认？是 否 b. Identification of quantity, material type, condition, form, and test samples as applicable? YES NO c 操作流程是否有对顺序的规定？ 是 否 c. Sequence of process operations? YES NO d 是否有完善和清晰的说明？ 是 否 d. Com plete a nd leg ibl e i nf or m ati on ? Y ES N O
40、 e 是否任何的改动、增加和减少都由权威部门人员决定？ 是 否 e. Any changes, additions, and deletions are made by authorized personnel? YES NO f 是否有位置记录检查状态？ 是 否 f. Place to record inspection status? YES NO AC7102 G热处理审核标准 8 g 是否有位置记录试验要求和结果？ 是 否 g. Place to record test requirements and results? YES NO h 是否有位置记录操作者名字？ 是 否 h. Pl
41、ace to record identification of person(s) doing the work? YES NO i 是否有位置记录执行操作的时间？ 是 否 i. Place to record date operation performed? YES NO 3.6.3 是否只有热处理设备说明书和温度一致性满足适用规范的要求时，热处理设备才被使用？ 是 否 Is only the heat treating equipment which meets the requirements of the applicable specifications for instrumen
42、tation and temperature uniformity used for processing? YES NO 3.6.4* 是否规范要求全部热处理循环的参数包括，但不仅限于：保温时间，保温温度，淬火介质，淬火 介质温度（按适用性） ，气氛或真空度要求，热处理炉级别，仪器级别等，和上面要求的公差，列在对应 零件号的特种工艺要求中，或在容易查到的控制系统中？ 是 否 Are the specification required parameters for the complete heat treatment cycle including, but not limited to:
43、 soak times, soak temperatures, quench media, quenchant temperature (as applicable), atmosphere or vacuum requirements, furnace class, instrumentation type, etc., and any applicable tolerances for the above, listed on the specific job planning for the part number, or easily referenced in a controlle
44、d system? YESNO 3.6.5 是否热处理时间基于零件的厚度或者与适用规范相一致的其它标准？ 是 否 Are specified times based on the appropriate thickness of the part or other criteria in accordance with the applicable s pecification ? YES NO 3.6.6 当有要求时，产品装载是否包括拉伸试棒和其它测试试棒？ 是 否 Are tensile specimens and other test specimens included with pr
45、oduction loads when required? YES NO 3.6.7 当规范或者客户要求时，是否有文件规定记录随载电偶的使用和位置？ 是 否 Are there procedures that address the use and placement of load thermocouples when required by specification or cust om er r equir em ents ? Y ES N O 3.7 更改控制 Change Control 3.7.1 是否程序要求当更改现行工艺时要由授权的人员进行？ 是 否 Are changes
46、to existing process plans are made only by authorized personnel? YES NO 3.7.2* 当客户有批准固定工艺过程的要求时，供应商是否是按照客户批准的工艺执行的和在文件上有批 准的证据？ 是 否 When customer approved fixed processes are required, is the Supplier working to the same process as approved by the Customer and is the evidence of this approval on fil
47、e? YES NO 3.8 首件要求F irs t A rt icl e R eq u ir em e n t 不适用NA 3.8.1 当客户有要求时，首批检验和批准的有文件记录吗？ 是 否 Is engineering first lot inspection and approval documented when required by the customer? YES NO 3.8.2 根据规范或者客户要求进行首件检验时，工装和夹具图改进过程记录是否保留？是 否 Are records maintained for the development of fixturing and r
48、acking sketches, for first article inspection when required by specification or customer requirements? YES NO 3.9 采购 Purchasing 3.9.1* 对所有转包试验和加工使用的工具是否按照客户或预先要求进行批准？是 否 AC7102 G热处理审核标准 9 Are all facilities used for subcontracted testing and processing approved by either the Customer or Prime , as r
49、equired? YES NO 3.9.2 消耗物，例如工艺气氛，淬火介质，盐浴，热电偶，和试验样件的材料，是否根据内控文件或特定 的标准进行订购和验收？ 是 否 Are consumable goods, such as process atmospheres, quenchants, salts, thermocouples, and materials for test samples, ordered and accepted according to an in-house document or to a specific standard? YES NO 3.10 校准 Calib
