Heat Treatment Process Audit

Title Page

Document No.
Audit Title
Conducted on
Prepared by
Location
Personnel

1. General information (通用要求）

1.1 Is the HT vendor including subtier approved in writing by MPE 热处理供应商（包括二级供应商）是否有MPE的书面批准？and has it been approved by a GE Level III Agent?
1.2 Are there operation sheet/MPP/working instruction of Heat treatment process to describe detail HT process? (including incoming inspection, surface preparation, HT cycle discribe and inspection/test planning of HT) 是否有详细的操作指导书描述详细过程？（包括来件检验，表面准备，热处理加热过程描述，热处理的检验/试验计划）
1.2.1 Does verify part status prior to HT operation? 是否有热处理工序前零件状态确认？
1.2.2 Are these WI/MPP referred the requirement of drawing and/or specification? 操作指导书/热处理工艺是否参照图纸和/规范？
1.2.3 Is HT resource information included? 是否包括热处理加工单位信息?
1.2.4 Is loading method included? Such as loading number, loading fixture/method, loading TC type and location …… 是否包括装炉方法？例如装载数量， 装载夹具/方法，载荷/工件热处理类型及位置等
1.2.5 Are fixtures/racking diagrams approved by MPE? 夹具/架子图是否得到MPE的批准？
1.2.6 Are HT cycle control parameter included? Such as loading temperature, heating rate, soak temperature, soak time, cooling rate/method, quench madia, quenchant temperature, atmosphere or vacuum requirement, furnace class ……) 是否包括热处理循环控制参数？例如装炉温度，升温速率，保温温度，保温时间，冷却速度/方法，淬火介质， 淬火温度，气氛或真空要求，炉子的等级等）
1.2.6 Are HT cycle control parameter included? Such as loading temperature, heating rate, soak temperature, soak time, cooling rate/method, quench madia, quenchant temperature, atmosphere or vacuum requirement, furnace class ……) 是否包括热处理循环控制参数？例如装炉温度，升温速率，保温温度，保温时间，冷却速度/方法，淬火介质， 淬火温度，气氛或真空要求，炉子的等级等）
1.2.6 Are HT cycle control parameter included? Such as loading temperature, heating rate, soak temperature, soak time, cooling rate/method, quench madia, quenchant temperature, atmosphere or vacuum requirement, furnace class ……) 是否包括热处理循环控制参数？例如装炉温度，升温速率，保温温度，保温时间，冷却速度/方法，淬火介质， 淬火温度，气氛或真空要求，炉子的等级等）
1.2.7 Is detail acceptance plan included? Such as discolour of HT surface, hardness test method and limitation, mechanical property test method and limitation, test sample location, number and size ...... 是否包括详细的热处理验收计划？例如零件表面失色，硬度试验方法及验收标准，机械性能试验方法及验收标准，试棒取样位置、数量及尺寸等
1.3 Is the operation sheets/MPP/WI of HT approved by M&PE? 操作指导书/MPP是否得到材料工艺工程师的批准？
1.4 Is the current WI/MPP same as FPQ? 现行工艺文件是否与批准的FPQ相同？
1.5 If no, are all revised version to get GEE approval? 如果否，是否所有更改均得到GEE批准
1.6 Is changed sheet avaliable in MPP/WI? 是否有更改单详细地陈述更改内容?
1.7 Is the approved MPP/WI onsite during HT and with controlled documents' identification? 热处理零件时，现场是否有批准的操作指导书/热处理工艺？操作指导书是否有文件控制标识？
1.8 Is there any deviations which against approved procedures require approval from MPE and SQE? 是否所有违背批准工艺程序的操作都得到MPE和SQE的批准？
1.9 Does the operator and inspector have been properly trained approved as recommended appraisal method of suppleir? 操作者及检验员是否已经按供应商推荐的评估方法进行适当的培训及批准？
1.10 Are all test and inspection equipment/gage used to accept product or control a process in good condition? 用于验收产品或过程控制的试验及检验设备是否状态良好？
1.11 Have all equipment of process and testing equipment been properly calibrated? (including TC, temperature instrument & recorder, pressure meter, controll temperature instrument & recorder, TUS equipment, recorder, hardness test equipment……) 工艺及试验用设备是否经过适当的校验？（包括测温偶、温度记录仪、压力测试装置（如果需要）、控温仪表、炉温均匀性测试、记录仪表、硬度检测设备......)
1.11.1 Is calibration status identified in testing equipment? 在试验设备上是否有校验状态标识？
1.11.2 Are all equipment used to inspection, control or monitor the process calibrated by authorized lab? 是否所有的用于检验及过程监控的设备均在有资质的试验室行校验？
1.11.3 Are all instruments and TCs calibrated per AMS2750 and met requirement? 是否所有仪器仪表及热电偶均按AMS2750校准并符合要求？
1.12 Is compressed air clean to use? Is seperator available to remove water, oil and moist from compressed air? (Inclding surface preparation, clean and dry surface) 压缩空气是否清洁？是否有油水分离器去除压缩空气中的油、水及潮气？（包括表面准备，清理及干燥表面）。
1.13 Is there a traveler/router placed with the part? Do travelers/routers contain part number, material information, sequence of process operation, place to record inspection status, record identification of persons doing the work, record date operation performed …... 是否有流程卡/路程单与零件一起周转？流程卡/路程单是否包含零件号、材料信息、加工流程、检验状态、操作者信息、加工日期等......
1.14 Is there a log book management procedure in order to trace treated part? （Including incoming log book,load/HT logbook, delivery logbook, calibration log book ……) Are there a log book on work floor per procedure? 是否有台帐管理程序以便能追踪至热处理的零件？　（包括来件台帐、热处理/装炉台帐、周转发送台帐、仪器校验台帐 ……), 现场是否按程序设置台帐?
1.15 Do furnace temperature charts at minimum contain information required by GE for each load? Such as load number, shop order number of PO number, number of parts with drawing number and/or part identification number, time parts are loaded, time soaking cycle begins, time soaking cycle ends, furnace identification, date, material spec and HT process...... 热处理温度记录/表盘是否包括GE规定的最少的信息？如载荷数量，采购订单的工作单号，零件号， 热处理开始时间，热处理结束时间，热处理炉号，日期， 材料规范及热处理工艺 ......
1.16 Are all record achieved in safety place? 所有的记录是否放置在安全的地方？（防潮，防水，防火……）

2. Equipment control and maintenance（设备控制和维护）

2.1 Does each control zone have over temperature protection? 是否每个控温区都有超温保护？
2.2 Do each control zone have at least one controlling instrument which displays and controls temperature? 是否每个控温区都至少一个控温仪显示及控制温度？
2.3 Do each control zone have a temperature recording from the control thermocouple? 是否每个控温区的都有控温偶的温度记录？
2.4 Are maintenance schedules prepared with the preventive maintenance as goal ? 是否按预防维护目标准备了维护计划？
2.5 Are there maintenance schedules of equipment? Are the maintenance schedules followed? 是否有设备维护计划？是否按维护计划执行?
2.6 Is dew point of endothermic and/or exothermic atmospheres checked weekly and recorded? 吸热式保护气氛和/或放热式保护气氛的露点是否每周检查并记录？
2.7 Is gas analysis of endothermic and/or exothermic atmosphere checked monthly and recorded? 吸热式保护气氛和/或放热式保护气氛的气体分析是否每月进行并记录？
2.8 Is vacuum levels and temperature recorded for each vacuum HT cycle? 是否记录了每一真空热处理的真空度及温度？
2.9 Is leak-up rate of vacuum furnaces checked weekly at ambient temperature and recorded? 真空炉是否每周检查室温泄漏率？是否有记录？
2.10 Are the fixtures/racks and fixture/rack material selected don't cause contamination of parts? 是否夹具/架子及夹具/架子材料不能污染热处理零件?
2.11 Do records indicate that the inspection and maintenance have been performed in accordance with the schedule? 是否有记录表明按计划进行了检验和维护？
2.12 Do records indicate that the control of the heating environment is followed in according to WI/MPP 是否有记录表明热处理环境控制符合操作指导书/MPP的要求？
2.13 Are the flow meters operational and suitable for the gasand flow rates used? 流量计(流量表)是否可用? 流量计的选用是否适合所测量的气体及流量范围
2.14 Do the inspection and maintenance schedule include periodic checks of floats in flow meters to ensure that they are free and functioning? 检验和维护计划中是否包括定期检查流量计的浮子确保流量计的功能？
2.15 Does the internal procedure address the safety shut-off valves and the emergency gas purges? 内部程序是否包括安全截止阀及紧急气体清洗要求？
2.16 Does the internal procedure address HT atmosphere? When the atmosphere is changed, is the furnace purged in accordance with an internal procedure that assures elimination of the effects of pervious atmosphere? Is there the internal procedure addresses brazing /vacuum furnace purging? 内部程序是否包括热处理气氛的控制？当气氛发生改变时，是否按内部程序清洗炉子，以确保消除先前气氛的影响？是否有程序控制钎焊/真空炉的清洗？
2.17 Is the uniformity survey plan and internal procedure approved by MPE? 炉温均匀性测试计划及内部程序是否得到MPE批准？
2.17.1 Does the plan include the size of furnace work zone, shape of furnace, number and location of the thermocouples? 计划中是否包括炉子工作区域的尺寸、炉子的类型、热电偶的数量及位置？
2.17.2 Are the selected temperatures used for uniformity surveys at the low and high side of nomal operating temperature ranges of the furnace? 炉温均匀性测试选定的温度是否包括炉子通常操作温度的上限及下限？
2.17.3 Don't the temperatures at which two adjacent surveys are run exceed 600F (335C) apart? 是否相邻炉温均匀性测试温度间隔不超过600F （335C）？
2.17.4 Are uniformity surveys conducted with a maximum planned furnace load of production or scrapped parts? Otherewise is there any pre-approval by MPE? 炉温均匀性是否在最大载荷（批产产品或废件）下进行检测？否则是否得到了MPE的事先批准?
2.17.5 Does the type, number and location of the thermocouples used for uniformity survey meet requirement? Reference AMS 2750D table 11 用于炉温均匀性测试时，热电偶的类型，数量及位置是否符合炉类型及尺寸的要求？具体参照AMS2750D 表11
2.17.6 Do the surveys take place using normal operating condition? For example, if fans are used during production, they shall be used during survey. For the vacuum furnaces, the lowest vacuum level used during production shall be used during the survey. 炉温均匀性测试的条件是否与通常操作状态相符？例如，批产时使用风扇，均匀性测试时也应使用风扇。对于真空炉，均匀性测试时应使用批产规定的最低真空标准
2.18 Is funace or baths surveyed for temperature uniformity per schedule? Is it OK? 是否按计划进行了炉温均匀性检测？结果合格吗?
2.18.1 Is the TUS data collection started before the first furnace or TUS sensor reaches the lower tolerance limit of each test temperature? 炉温均匀性试验是否从第一支热电偶(无论是炉子热电偶,还是炉温均匀性试验用热电偶)达到试验温度下限开始记录?
2.18.2 Is the TUS data collection started as soon as the test load or rack is loaded into the furnace if the furnace is prestabilized? 如果炉子预稳定处理,炉温均匀性测试是否从试验载荷或测温架放 入炉中时开始?
2.18.3 Is the temperature data recorded from all TUS sensors at a frequency of at least one set of all reading every two minutes for the duration of the survey once data collection begins? 一旦开始记录,是否所有的炉温均匀性测试用热电偶的数据都是每两分钟记录一次?
2.18.4 Is the temperature data recorded from all furnace sensors required by the applicable instrumentation type at a frequency that is the same as production, but need not be less than two minutes, but not longer than 6 minute intervals once data collection begins? 是否所有热电偶(控温偶,记录偶......炉子中热电偶)温度数据都按与批生产相同的频率,用适当的测量仪器进行测量,但时间间隔不需要小于2分钟,但不能大于6分钟
2.18.5 Do TUS records verify that at no time did any test, control or recording sensor exceed the upper temperature uniformity tolerance of the test temperature being tested? 是否炉温均匀性试验证明试验偶、控温偶或记录偶都不超过试验温度公差的上限？
2.18.6 Do TUS records verify that the furnace was held at the test temperature until all test sensors have stabilized and after stabilization, data collection was continued for a minimum of 30 minutes? 炉温均匀性试验报告是否证明炉子在试验温度保温至所有试验热电偶都已经稳定，并且在稳定之后记录至少30分钟的数据？
2.19 For the repaired furnace, is new survey conducted after any changes that affect the operational characteristics of a furnace or bath?, such as change burner location, control sensor location, refractory material， heating element number, type, or location etc 对于修理的炉子，当影响炉子操作特性改变，是否进行了炉温均匀性检测？例如 炉子位置改变，控温偶的位置改变，耐火保温材料发生改变，加热元件数量、类型或位置改变等
2.20 Is the system accuracy test plan and internal procedure approved by MPE? 系统精度测试计划及内部程序是否得到MPE批准？
2.20.1 Is system accuracy test conducted in each control zone of each furnace? 每台炉子的每个控温区是否进行了系统精度试验？
2.20.2 Is SAT thermocouple 3 inches or less away from the control/working thermocouple? 是否系统精度试验用热电偶与控温偶/载荷偶相距3英寸以内
2.20.3 Is SAT for control TC? 是否对控制热电偶进行SAT试验？
2.20. 4 Is SAT for recorder? 是否对记录仪进行SAT试验？
2.21 Is system accuracy test conducted per approval frequency? Is result OK to meet requirement per AMS2750? 是否批准的频率进行系统精度测试？结果是否符合AMS2750的要求？
2.22 热电偶的使用是否符合AMS2750
2.22.1 Are procedure in placed to ensure that the base metal thermocouples are only recalibrated and reused per AMS2750? 是否有程序规定廉金属热电偶只能按AMS2750要求进行再校验和 /或再使用？
2.22.2 Are base metal thermocouples recalibrated per AMS2750? 廉金属偶的再校准是否符合AMS2750
2.22.3 Is any record for base metal thermocouples reuse? 是否有廉金属偶的使用记录？
2.22.4 Is the calibrated temperature range of thermocouples same as they are used? 热电偶检验的温度范围是否与他们的使用范围相同？
2.23 Is hardness testing equipment controlled ? 是否硬度试验设备受控？
2.23.1 Is hardness testing equipment daily checked for accuracy before first use? 是否硬度试验机每天使用前检查精度？
2.23.2 Is a record of hardness checks maintained? 是否保留硬度检查的记录？
2.23.3 Is hardness testing conducted per ASTE 18 for Rockwell? 是否洛氏硬度按ASTM E18进行？
2.23.4 Is hardness testing conducted ASTM E10 for Brinell? 布氏硬度检验是否符合ASTME10？
2.23.5 Is hardness testing equipment calibrated yearly? 硬度试验机是否每年校验一次？

3. HT practice ( 热处理操作）

3.1 Is there an incoming inspection to ensure part is ready for HT prior to heat treating? No any pending non-conformance, all previous operation are treated properly …... 在热处理之前是否有来件检验，以确保零件可以进行热处理？没有待处理的不合格, 之前的操作都适当地处理…...
3.2 Is test sample required by approved WI/MPP? Is the test sample prepared and accepted as approved WI/MPP? 批准的操作指导书/MPP是否要求了试样？准备的试样是否符合批准的操作指导书/MPP的要求？
3.3 Is part cleaned per approved WI/MPP prior to loading furnace? 零件在装炉前是否按批准的操作指导书/MPP进行清理？
3.4 Is furnace and instrument condition checked prior to HT? 热处理前，检查炉子及仪表的状态是否良好？
3.5 Is the fixture/racking required by WI/MPP? 在操作指导书/MPP中是否有夹具的要求？
3.6 Is the fixture/racking in good condition? 夹具/架子的情况是否良好？
3.7 Are the fixture/racking and fixture/racking material used in according to approved WI/MPP? 夹具/架子的使用是否按批准的操作指导书/MPP使用？
3.8 Do number of part loaded meet approved WI/MPP? 装载零件的数量是否符合批准的操作指导书/MPP？
3.9 Is the HT cycle set per approved WI/MPP? Including heating rate, soak tempertaure, soak time, cooling/quenching， quenching media …… Are they recorded on HT chart/record 热处理循环的设定是否符合批准的操作指导书/MPP？ 包括加热速率，保温温度，保温时间，冷却/淬火速率, 淬火介质 ……? 这些参数是否记录在热处理表盘/记录上?
3.10 Are parts loaded at set point per approved WI/MPP? 零件的装炉温度是否符合批准的操作指导书/MPP？
3.11 Are parts unloaded at the temperature per approved WI/MPP? 零件的出炉温度是否符合批准操作指导书/MPP？
3.12 Is the all information on relative HT cycle recorded on HT traveler/router? Including HT cycle date and time loaded, time soaking commences, part number, load number, furnace type/number, load/working thermocouples quenching media…… 是否在热处理流水卡/路程单上记录了所有相应热循环的信息？包括热处理的日期、加载时间、保温开始时间、零件号、载荷数量、炉子类型/号、载荷热电偶类型/编号、冷却介质 ......

4. Inspection and Lab (检验和实验室）

4.1 Is the approved PQP/MPP available for inspector during part inspection? 检验零件时检验员是否有批准的产品质量计划/MPP？
4.2 Is inspector properly certified/ authorized by proper procedure? 检验员经过适当的程序鉴定/授权进行检验工作？
4.3 Are the treated part visually inspected for general condition, such as color, appearance …… 零件热处理后，是否进行目视检查零件的颜色及外观？
4.4 Do inspector check HT chart? Including load temperature, soaking temperature, soaking time, cooling time, unload tempertature, load number, part number, vacuum level…... 检验员是否检查热处理表盘？包括装炉温度，保温温度，保温时间，冷却时间，出炉温度，装炉数量，零件号，真空度……
4.5 Do the furnace charts indicate that time soaking is complete and meet approved WI/MPP? 热处理表盘是否显示保温时间符合批准的操作指导书/MPP？
4.6 Do the furnace charts indicate that HT cycle is complete and meet approved WI/MPP? 热处理表盘是否显示热处理循环是完整的并符合批准的操作指导书/MPP？
4.7 Is the hardness test performed on specified area per approved WI/MPP? Is the results recorded and made a conclusion? 硬度试验是否按批准的操作指导书/MPP在规定的区域进行？是否记录检验结果并判定是否合格？
4.8 Is test specimen prepared per approved WI/MPP? Is it properly identificated? 试样是否按批准的操作指导书/MPP进行了准备？是否适当地标识了试样？
4.9 Is the all test tracibility to ASTM standards or other national standards approved by GEE? 是否所有的试验都能追溯至美国材料协会标准或GEE批准的其它国家标准？
4.10 Is the material test lab qualified per GEE spec P28A-AL-0201? 材料实验室是否按P28A-AL-0201进行鉴定？
4.11 Is there a document of certification indicating the specific test areas of certification issued by MPE? Reference P28A-AL-0201 是否有MPE批准的资格证书？资格证书应表明批准的试验地点.参照P28A-AL-0201
4.12 Is the lab certification reviewed or audited every three years? 实验室资格证书是否每三年进行重新评定或审核？
4.13 Is the test planning approved by MPE? Is it strickly followed? 试验计划是否得到MPE的批准？是否严格遵守批准的计划？
4.14 Are all tests listed in approved WI/MPP performed and reported by certificated/authorized personnal? 是否所有批准的操作指导书/MPP规定的试验由有资质的人员进行并报告？
4.15 Do the test report contain minimum information? Test source information, reference spec, test method, equipement/instrument, test condition, acceptance criteria, test results, test date, reporter signature, specimen information and representative parts informationm 试验报告是否包括必要的信息? 如试验单位信息、参考规范/标准、试验方法、试验仪器设备、试验条件、验收准则、试验结果、试验日期、报告人、试样信息及代表零件的信息