Title Page
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Document No.
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Audit Title
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
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NOTE:
This document is used for the evaluation of the capabilities and management system of potential or current suppliers of the organization. This Audit does not convey source approval or assurance of commercial business.
Contents of this audit will be kept confidential.
Criteria Questions are rated as follows:
R - Requirement (Curcial to have - Direct effect on the quality)
E - Essential (Necessity - Requirement for the organization)
D - Desirable (Not a requirement, but good to have)
The following system is used for rating of audit evaluations:
N/A - Not Applicable or Not Audited : The procedure or process is not relevant to the Supplier's commodity.
0 - No System : The process or procedure is not included into the Supplier's system.
1 - System Deficient : The procedure or process is included in the system, but planning and execution both require substantial
improvement. The system is documented, but not followed.
2 - Improvement Needed : The system is in place, but it is not properly documented or executed. There is a high probability that
the system will not produce consistent results. Improvements to the process documentation are
required.
3 - Acceptable : The procedure or process is included in the Supplier's sytem. Planning and execution meet these requirements.
There is a high probability that the Supplier's sytem will produce consistent results. The system can be manual or
electronically automated.
4 - Outstand : The procedure or process is included in the system. Planning and execution are thorough and exceed these
requirements. It is certain that the system will produce exemplary results. Although not required, typically
electronic data management is used. -
Audit Exclusions (if any): (Any additional comments to be noted on a blank page and attached to the printed document)
RAW MATERIAL STORAGE AND HANDLING
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1. Does Receiving inspection procedures exist? (Criteria = R)
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2. How is the fluxing materials stored? (Criteria = R)
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3. How is the primary raw materials used in core & mould making, stored? (Criteria = R)
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4. Is raw material routinely tested? Frequency of these tests. (Criteria = D)
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Frequency of these tests:
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5. Are material certificates furnished by Suppliers? How often? (Criteria = D)
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6. How is the material identified/labelled? (Criteria = E)
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7. Are there controls in place to prevent movement of non-conforming incoming material into the production system? (Criteria = E)
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8. Is there a dedicated Quarantine area? (Criteria = R)
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9. How is the incoming inventory used? (Oldest material used first - FIFO?) (Criteria = D)
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10. Are there any storage requirements based on temperature or other atmospheric conditions? (Criteria = D)
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Additional Information:
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Contact Person / Auditee Signature:
MOULDING PROCESS
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11. Documentation exists whereby the drawing dimensions, the expected pattern dimensions, the actual pattern dimensions and the actual casting dimensions can be compared? (Criteria = R)
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12. Are decisions concerning corrective actions to be taken against deviations in dimensions and quality, after the sample or pilot casting is made, existing - and is the implementation of such instructions recorded? ( Criteria = E)
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13. Each new pattern, and each repeat pattern that has undergone repair, is inspected prior to being released for further processing and the observations are recorded? (Criteria = D)
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14. Pattern inspection is carried out by a person who has no production responsibility? (Criteria = E)
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15. The patterns and core boxes are stored safely and in an orderly fashion with reasonable ease of retrieval? (Criteria = R)
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16. For each job (concerning each pattern number), the following exist duly documented:
- Pattern Design
- Gating & Risering Design
- Moulding Materials and Methods
- Pouring Temperature
- Heat Treatment Cycle
- Applicable test piece, where relevant
- Casting Identification
- Special Instruction, where relevant, concerning shakeout, gas cutting, welding procedure
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17. Describe the tests that are performed on incoming shipments of moulding sand. How often are test results recorded? By whom? (Criteria = E)
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18. How is moulding sand released into production? (Criteria = E)
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19. Are cores made internally or by an outside supplier? (Criteria = D)
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20. Describe the core-setting capabilities in use: (Criteria = D)
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21. Are any tests performed on finished cores, prior to production? (Criteria = E)
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Additional Information:
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Contact Person / Auditee Signature:
MELTING AND CASTING
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22. What tests are performed to verify material chemistry? (Criteria = R)
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23. Is the melting process continuous or performed by batch processing? (Criteria = D)
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24. Describe the type or brand, size and capacity of furnace equipment in use: (Criteria = D)
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25. Describe the chemical treatment method in use prior to pouring: (Criteria = E)
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26. Is pouring done manually or by an automated system? (Criteria = D)
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27. Does an immersion pyrometer exist for measuring temperature of liquid metal? (Criteria = R)
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28. Does an optical pyrometer exist for measuring temperature of liquid metal, especially during pouring? (Criteria = R)
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29. Is the temperature of the liquid metal actually measured before tapping and is it recorded for each melt? (Criteria = R)
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30. Is the temperature measuring equipment calibrated? At what frequency? (Criteria = E)
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31. Is the target range of chemical composition prescribed in advance of the start of each melt? ( Criteria = E)
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32. Is each melt analysed and ensured to be in compliance with the specification before tapping? (Criteria = E)
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33. Even if a melt is tapped, are the castings isolated and held back until compliance, as above, is ensured? (Criteria = D)
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34. Inoculation is performed by the following method: (Criteria = D)
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Post-delivery system
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In-mould treatment
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In-stream treatment
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35. Does a satisfactorily operating system of identifying each piece of casting, where relevant, so as to be able to trace it back to its melt number or heat-treatment batch number, exist? (Criteria = R)
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36. Do separate personnel, with adequate experience and competence, exist who concentrate exclusively on process / quality control in each shift? (Criteria = D)
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37. Does a system exist for periodic checking and recording of the conditions of the closing pins, match plate pins, mould box bushes and the mould box bush centre-to-centre distances? (Criteria = E)
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38. Does a practise exist for checking important dimensions while closing a mould, in case of major jobs, at a reasonable frequency? (Criteria = E)
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Additional Information:
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Contact Person / Auditee Signature:
SHAKE-OUT, CLEANING AND FINISHING
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39. Is there a method of ensuring a minimum time interval between pouring and shake-out, as applicable to different weight? (Criteria = R)
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40. Does adequate capacity exist for in-house heat treatment of all the castings produced in the foundry, or in any case not less than 75% of the castings produced in the foundry? (Criteria = E)
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41. Are the heat-treatment furnaces equipped with multi-point automatic continuous temperature recording arrangement, covering the different relevant furnace zones? (Criteria = E)
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42. Are the heat treatment automatic recorder charts subject to scrutiny and approval, before the concerned batch of castings is released for further processing? (Criteria = E)
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43. Is the scrutiny of heat treatment charts carried out by a representative of Metallurgical/Quality Control Section and not merely by the operating line staff and are records kept for acceptance of the heat-treated lot? (Criteria = E)
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44. Are test bars accompanied by the relevant castings during the process? (Criteria = R)
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45. Is there a log-sheet or other documents concerning batch/heat numbers, which reflect the particulars of the accompanying test bar and batch? ( Criteria = R)
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46. Do instructions exist concerning the stage, method and extent of removal of feeders, gates and their stubs for different grades of castings, keeping in view the carbon equivalent, section thickness and other relevant considerations? (Criteria = D)
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47. Are there arrangements for arc-air gouging or equivalent process for rapid metal removal with minimal input of heat into castings? (Criteria = E)
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48. Does Shot-blasting equipment exist, which has the size and capacity to commensurate with the type and quantity of the product range handled? (Criteria = E)
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49. Do written welding procedures, complete with the names of electrodes to be used, pre- and post-weld treatment, tests to be done where relevant, etc., exist? (Criteria = R)
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50. Is the welding procedure qualified at a frequency of at least once in two-years, in accordance with the relevant Standard, or other agreed standards? (Criteria = R)
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51. Are a sufficient number of welders qualified, in accordance with the relevant Standard or other agreed standards, to carry out quality repair/fabrication welding? (Criteria = D)
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52. Are welders qualified at a frequency of not less than once in two years and is there documentary evidence to that effect, subject to there being no break in continuity of welding, exceeding 3 months? (Criteria = R)
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53. Is authority to grant qualification to welding procedures and to welders defined, and is it independent of the production section? (Criteria = D)
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54. Do instructions exist, restricting any major weld repairs on a casting, without clear, prior consent from the Customer and Quality Control staff? (Criteria = R)
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55. Does a system exist for documenting the details of any major weld repair done on a casting, where relevant? (Criteria = R)
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Additional Information:
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Contact Person / Auditee Signature:
INSPECTION AND RELEASE
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56. Does a final inspection procedure exist? Describe: (Criteria = R)
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57. Are checks in place for: (Criteria = E)
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Visual Inspection
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Dimentional Inspection
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58. How are markings applied to the finished product? (Criteria = E)
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59. Does final testing verify: (Criteria = R)
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Material chemistry / nodularity
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Material strength/integrity (tensile, yield, elongation, hardness)
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Other requirements, please indicate
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60. Are the material and specification requirement(s) as well as the inspection standard(s), indicated in the final inspection sheet? (Criteria = R)<br>(Please attach a copy of the completed final inspection report for our reference).
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61. Describe how the following dimensional attributes are controlled (Criteria = R):
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Wall thickness: What are the limits of wall thickness variations?
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Ovality (out-of-roundness):
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Applicable product dimensions:
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62. Do the following in-house facilities exist for carrying out the necessary inspection/testing? (Criteria = E)
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Liquid-penetrant inspection
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Magnetic particle inspection
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Ultrasonic examination with facilities for quantifying the extent of a defect and with the prescribed sensitivity of equipment
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Radiographic examination for section thickness up to 150mm, or for thickness as may be relevant for the product range handled?
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63. Are the inspection staff, conducting the above non-destructive testing, adequately trained and qualified by a recognized agency and do they have adequate experience? ( Criteria = R)
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64. Do well-defined guidelines exist concerning quality deviations for acceptance/rejection of castings? (Criteria = R)
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65. Is a daily rejection report of castings prepared, mentioning therein the cause of rejection against each casting? (Criteria = D)
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66. Is the authority for making rejection decisions clearly defined and finally rests with the Inspection/Quality Control Section? (Criteria = E)
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67. Are any castings that were rejected, promptly and physically marked and isolated, so as to avoid any further processing or mix-up? (Criteria = D)
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68. What is the person in charge of the Metallurgical area's qualification and years of experience? (Criteria = D)
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69. Do the staff conducting tests (like chemical analysis, sand testing, testing of mechanical properties, etc.), have adequate skills and competence and have they undergone sufficient training to give them reasonable reliability? (Criteria = R)
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70. Are the skills of such staff periodically qualified by making them carry out tests on blind samples, or by other objective methods? (Criteria = R)
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71. Do the following testing facilities exist? (Criteria = R)
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Direct reading vacuum emission spectrometer, or any other equipment with at least equivalent speed and accuracy?
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Tensile testing equipment with a minimum of 20 tonnes of load capacity?
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Impact testing facility for room temperature testing?
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Fixed bench type of other heavy type equipment for carrying out hardness testing, that is, BHN, HRC and VPN?
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Portable hardness tester of at least one type?
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Sand-testing equipment for: - Mouldability / compactibility? - Flowability? - Sand-shatter index?
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72. Are adequate standard samples available for daily calibration and is the method of chemical analysis followed? (Criteria = R)
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73. Is the tensile equipment calibrated at a frequency of at least once a year? (Criteria = R)
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74. Is the impact testing machine calibrated at a frequency of at least once in 3 years? (Criteria = R)
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75. Are standard samples available for calibrating the hardness testing equipment? (Criteria = R)
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76. Are all the melts tested for chemical analysis and does a method exist to recall/reject castings poured in a particular melt? (Criteria = R)
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77. Are all the heat treatment batches tested for the relevant mechanical properties? ( Criteria = R)
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78. Are all the test results systematically recorded with reasonable ease of retrieval, so as to enable tracing back the history of any melt, heat treatment batch or item? (Criteria = R)
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79. Is there an on-going SPC program? (Criteria = E)
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80. Is SPC utilized for significant product charateristics and process parameters? (Criteria = E)
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If "yes", who chooses which items are to be monitored through SPC?
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81. Do the SPC control charts indicate that statistical control has been achieved and process capability demonstrated? (Criteria = E)<br>(If "yes", please attach a copy of a control chart that is used for the organization's products).
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Additional Information:
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Contact Person / Auditee Signature:
OTHER
HOUSEKEEPING
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General Appearance of Factory
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General Appearance of Offices
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General Appearance of Production Areas
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General Appearance of Inspection Area / Testing Lab
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General Appearance of Storage Areas
OCCUPATIONAL HEALTH AND SAFETY
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Emission Compliance
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Other Regulatory Compliances (List)
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Hazardous Area Identification
MAINTENANCE
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Preventative Maintenance Program
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General Condition of Equipment
OTHER COMMENTS:
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Provide Details:
