CQI-9热处理审核内容表

Special Process: Heat Treat Process Assessment

特殊过程：热处理过程评审 Section 1 - Management Responsibility & Quality Planning 第一部分—管理职责和质量策划 Question Question Number 问题 问题编号 Requirements /Guidance Objective Evidence N/A Assessment/评价 要求/指南 To ensure readily available expertise, there shall be a dedicated and qualified heat treat person on site. This individual shall be a full-time employee and the position shall be reflected in the organization chart. A job description shall exist identifying the qualifications for the position including metallurgical and heat treat knowledge. The qualifications shall include a minimum of 5 years experience in heat treat operations or a combination of a minimum of 5 years of formal metallurgical education and heat treat experience. 为确保具有方便的热处理技术，现场应具有合格全职的热处理责任人。该责任人应为全职且其岗位应在组织图中得到体现。 应具有包括冶金学和热处理知识的岗位描述以识别岗位资格，该岗位资格应包括至少5年的热处理操作经验或至少5年的正规冶金学教育和热处理工作经验。 The organization shall incorporate a documented Advance Product and Quality Planning (APQP) procedure. A feasibility study shall be performed and internally approved for each part. Similar parts can be grouped into part families for this effort as defined by the organization. After the Production Part Approval Process (PPAP) is approved by the customer, no process changes are allowed unless approved by the customer. The heat treater shall contact the customer when clarification of process changes is required. This clarification of significant processes change shall be documented. 供应商应建立文件化的先期产品和质量策划程序（APQP）。每一个零件应进行可行性研究并获得内部批准，在进行该项工作时相似零件能够组成零件族并得到定义。在PPAP获得顾客批准之后，除非顾客批准，不允许发生任何工艺过程的变化。当要求工艺过程变化的阐述时，热处理供应商应主动联系顾客。重要工艺过程变化的阐述应该记录在案。 客观证据 Satisfactory 满足 Is there a dedicated and qualified heat treat person onsite? 是否有具有合格全职的现场热处理责任人？ Not Satisfactory 不满足 1.1 1.2 Does the heat treater perform APQP? 是否进行热处理的先期质量策划（APQP）？ 1.3 Are heat treat PFMEA's up to date and reflecting current processing? 热处理过程FMEA是否

The organization shall incorporate the use of a documented Process Failure Mode and Effects Analysis (PFMEA) procedure and ensure the PFMEAs are updated to reflect current part quality status. 1

Automotive Industry Action Plan Special Process: Heat Treat System Assessment 得到更新并反映当前工供应商应具有PFMEA管理程序并确保PFMEA得到更新以反映艺过程？ 当前零件的质量状态。 The PFMEA shall be written for each part or part family or they may be process-specific and written for each process. In any case, they shall address all process steps from part receipt to part shipment and all key heat treat process parameters as defined by the organization. A cross-functional team, including a production operator, shall be used in the development of the PFMEA, and items with the highest Risk Priority Numbers (RPNs) shall be addressed annually. All significant or critical characteristics, as defined by the organization and its customers, shall be identified, defined, and addressed in the PFMEA. 每一个零件或零件族应具有文本的PFMEA，或者应该具有过程规范并写入每一工艺过程。在任何情况下，供应商应注明从来料接收到零件发运所有过程步骤。同时，所有的关键热处理过程参数需得到供应商的定义。应建立包括生产操作者在内的跨功能小组来开发PFMEA，具有高RPN值的项目应进行年度的发布。所有客户和供应商定义的SC、CC项应在PFMEA中得到识别、定义和发布。 Are heat treat process The organization shall incorporate the use of a 1.4 control plans up to date and reflecting current processing? documented Control Plan procedure and ensure the Control Plans are updated to reflect current controls. 热处理过程控制计划是否得到更新并反映当前工艺过程？ 供应商应具有控制计划管理程序并确保控制计划得到更新以反映当前的控制。 The Control Plans shall be written for each part or part family or they may be process-specific and written for each process. In any case, they shall address all process steps from part receipt to part shipment and identify all equipment used and all key heat treat process parameters as defined by the organization. 每一个零件或零件族应该具有文本的控制计划，或者应该具有过程规范并写入每一工艺过程。在任何情况下，供应商应注明从来料接收到零件发运所有过程步骤并识别所有使用的设备。同时，所有的关键热处理过程参数需得到供应商的定义。 A cross-functional team, including a production operator, shall be used in the development of Control Plans, which shall be consistent with all associated documentation such as work instructions, shop travelers, and PFMEAs. All significant or critical characteristics, as defined by

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Automotive Industry Action Plan Special Process: Heat Treat System Assessment the organization and its customers, shall be identified, defined, and addressed in the Control Plans. Sample sizes and frequencies for evaluation of process and product characteristics shall also be addressed consistent with the minimum requirements listed in the Process Tables, Sections 3.0 and 4.0. 应建立包括生产操作者在内的跨功能小组来开发控制计划，该控制计划应该和所有相关的文件如作业指导书、车间来访人员和PFMEA保持一致。由顾客和供应商定义的所有重要特性和关键特性应识别、定义并在控制计划中发布。过程评价的样本大小和抽样频率、产品特性应该得到发布并与该过程表格中的3.0和4.0节中的最低要求保持一致。 1.5 Are all heat treat related and referenced specifications current and available? For Example: SAE; AIAG, ASTM, General Motors, Ford, and DaimlerChrysler. 热处理有关和参考规范是否可获得并最新？如：SAE；AIAG，ASTM，通用汽车，福特汽车和戴克公司？ To ensure all customer requirements are both understood and satisfied, the organization shall have all related heat treat and customer referenced standards and specifications available for use and a method to ensure that they are current. Such standards and specifications include, but are not limited to, those relevant documents published by SAE, AIAG, ASTM, General Motors, Ford, and DaimlerChrysler. The organization shall have a process to ensure the timely review, distribution, and implementation of all relevant customer and industry engineering standards and specifications. This process shall be executed as soon as possible and shall not exceed two weeks. The organization shall document this process of review and implementation, and it shall address how customer and industry documents are obtained, how they are maintained within the organization, how the current status is established, and how the relevant information is cascaded to the shop floor within the two-week period. The organization shall identify who is responsible for performing these tasks. 确保所有的顾客要求获得理解并满足，供应商应具有获得所有相关的热处理顾客参考标准和规范且有方法确保他们在状态上是最新的。这些标准和规范包括但不限于那些由SAE，AIAG，ASTM，通用汽车，福特汽车和戴克公司发布的有关文件。供应商具有流程以确保所有与顾客相关的以及行业工程标准和规范的适时评审、发布和应用。该过程应该在尽可能的情况下得到执行并不会超过两周。供应上应该将该过程的评审和应用形成文件并将规定怎样在两周之内获得顾客和行业的文件？怎样在供应商内部维护？当前状态怎样得到建立？相关信息怎样传递到生产现场？供应商应该识别谁执行这些任务？ The heat treater shall have written process specifications for all active processes and identify all steps of the process including relevant 1.6 Is there a written process specification for all active processes?

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Automotive Industry Action Plan Special Process: Heat Treat System Assessment operating parameters. Examples of operating 所有的活动过程是否具parameters include process temperatures, cycle 有过程规范？ times, load rates, atmosphere or gas flow settings, belt speeds, quench agitation speeds, etc. Such parameters shall not only be defined, they shall have operating tolerances as defined by the organization in order to maintain process control. All active processes should have a written process specification. These process specifications may take the form of work instructions, job card, computer-based recipes, or other similar documents. 热处理供应商应具有针对所有运行过程的文本规范并能识别包括相应操作参数的所有过程步骤。操作参数包括过程温度，时间周期、装载率、气氛流量设置、传送速度、淬火搅拌速度等。为保证过程得到控制，供应商应同时定义这些参数及这些参数的操作范围。所有运行过程都应有书写的过程规范，这些过程规范可以采用作业指导书、工作卡、基于计算机的参数表单或其他类似的文件。 1.7 Has a valid capability study been performed initially and after process equipment has been relocated, or had a major rebuild? 生产初始阶段、过程设备移动和大修之后是否进行了有效的能力研究？ To demonstrate each process is capable of yielding acceptable product the organization shall perform product capability study for the initial validation of each process, after relocation of any process equipment, & after a major rebuild of any equipment. The organization shall define what constitutes a major rebuild. Initial product capability studies shall be conducted for all heat treat processes per furnace line defined in scope of work & annually thereafter. A furnace line may include a combination of equipment that is integrated in the performance of a heat treatment process, i.e. hardening, quenching, and tempering. Capability study techniques shall be appropriate for the heat treat product characteristics, i.e. tensile strength, case depth, hardness. Any specific customer requirements shall be met, in the absence of customer requirements, the organization shall establish acceptable ranges for measures of capability. An action plan shall exist to address the steps to followed in case capability indices fall outside customer requirements or established ranges. 为证明每一个过程能够生产出可接受的产品，供应商应开展针对每一个过程的生产能力研究，包括初始验证、任意过程设备的移动和大修之后。供应商应该定义什么属于大修。初始生产能力应针对所有在随后定义了年度和工作范围的热处理过程炉进行研究。一条热处理炉可能包括很多设备的组合以集成需要的热处理4

Automotive Industry Action Plan Special Process: Heat Treat System Assessment 工艺如：硬化、淬火和回火。选择的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。任何顾客的特殊需求应该得到满足，如果不存在顾客需求，供应商应建立针对能力测量的可接收范围。应具有行动计划并规定相应的步骤以获得外部顾客要求和建立的参数范围。 1.8 Does the heat treater The analysis of products and processes over time collect can yield vital information for defect prevention and analyze data over efforts. The organization shall have a system to time, collect, analyze, and react to product or process and react to this data? data over time. 热处理供应商是否针对从头至尾的产品和过程分析以形成缺陷预防的重要信息。供应商整个过程收集分析数据,应该具有相应的系统在整个时间内去收集、分析并反馈产品和过并针对这些数据进行适程的数据。 Methods of analysis shall include ongoing trend or 当的反映。 historical data analysis of significant product or process parameters. The organization shall determine which significant parameters to include in such analysis. 分析方法应该包括重要产品和重要过程参数的持续趋势或历史数据的分析。供应商应该确定那些重要参数因包含进这些分析中来。 Is management reviewing Management shall review the furnace monitoring 1.9 the heat treat monitoring system every 24 hours? 是否每24小时对热处理监控系统进行管理评审？ systems at intervals not to exceed 24 hours. The heat treat monitoring system includes but is not limited to temperature strip charts, atmosphere strip charts, computer data logs, furnace and operator logs, etc. The management review shall include efforts to detect out-of-control conditions or alarm conditions. The process of reviewing the furnace data shall be documented and this requirement also applies to computerized data. 管理层应该在不超过24小时的时间间隔内评审热处理炉监控系统。热处理监控系统包括但不局限于温度纸带记录、气氛纸带记录、计算机数据日志、热处理炉及操作者日志等。管理评审应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。 1.10 Are internal audits being completed on an annual basis, at a minimum, using AIAG HTSA? 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. AIAG HTSA的内部评审是否至少每年进行了一

供应商应至少每年进行一次AIAG HTSA的内部评审。存在的问题应该及时得到发布。 5

Automotive Industry Action Plan Special Process: Heat Treat System Assessment 次？ Is there a system in place The quality management system shall include a 1.11 to authorize reprocessing and is it documented? documented process for reprocessing that shall include authorization from a designated individual. The reprocessing procedure shall describe product characteristics for which reprocessing is allowed as well as those characteristics for which reprocessing is not permissible. 质量管理体系应该包括针对再处理的文件化流程，该再处理应包括获得来自指定责任人的批准。再处理程序应描述允许再处理的产品特性以及那些不允许进行再处理产品特性。 Any reprocessing activity shall require a new processing control sheet issued by qualified technical personnel denoting the necessary heat treat modifications. Records shall clearly indicate when and how any material has been reprocessed. The Quality Manager or a designee shall authorize the release of reprocessed product. 任何再处理操作应要求具有新的且受具有资格的技术人员发布的过程控制表以指明必须的热处理修正。记录应该清晰的显示在何时有多少材料进行了再处理，质量经理或指派的授权人应批准再处理零件的发运。 The quality management system shall include a process for documenting, reviewing, and addressing customer concerns and any other concerns internal to the organization. A disciplined problem-solving approach shall be used. 是否具有针对批准再处理的系统并文件化？ 1.12 Does the Quality Department review, address, and document customer and internal concerns? 1.13 质量部是否针对顾客及内部关注进行评审、发布并形成文件？ Is there a continual improvement plan applicable to each process defined in the scope of the audit? 是否具有持续改进计划应用于定义在审核范围内的每一个过程？ Does the Quality Manager or designee authorize the disposition of material from quarantine status? 质量经理或指定的责任人是否批准材料检验状态的布局？ 质量管理体系应包括针对文件形成、评审和识别外部顾客关注和任意其他内部关注的流程，成熟规范的问题解决方法得到使用。 The heat treater shall define a process for continual improvement for each heat treat process identified in the scope of the HTSA. The process shall be designed to bring about continual improvement in quality and productivity. Identified actions shall be prioritized and shall include timing (estimated completion dates). The organization shall show evidence of program effectiveness. 供应商应针对在HTSA范围中识别的每一个热处理过程定义持续改进流程。这些流程的设计应带来质量水平和生产率的持续改进。被识别的行动应具有优先顺序并能包括日程（估计完成日期）。供应商应展示项目效率的证据。 The Quality Manager is responsible for authorizing and documenting appropriate personnel to disposition quarantine material. 1.14 质量经理负责批准并指派适当的人选进行材料检验。

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Automotive Industry Action Plan Special Process: Heat Treat System Assessment Is there an operations An operations manual shall be available to heat 1.15 manual available to heat treat personnel covering the entire heat treating process? treat personnel covering the entire heat treating process. The manual shall include procedures or work instructions addressing potential emergencies (such as power failure), equipment start-up, equipment shut-down, product segregation (See 2.8), product inspection, and general operating procedures. These procedures or work instructions shall cover all steps of the operation from product receipt to product shipment and shall be accessible to shop floor personnel. 涵盖整个热处理过程的操作手册应对热处理人员来讲是可用的。该手册应包括处理潜在紧急情况（如能源中断）的程序或作业指导书、设备启动、设备关闭、产品分类（见2.8）、产品检测和通用操作程序。这些程序或作业指导书应覆盖从原材料接收到产品发运的所有操作步骤并能由车间人员方便的获取。 1.16 Is management providing employee training for heat treating? The organization shall provide employee training for all heat treating operations. All employees, including backup and temporary employees, shall be trained. Documented evidence shall be maintained showing the employees trained and an assessment of the effectiveness of the training. Management shall define the qualification requirements for each function, and ongoing or follow-up training shall also be addressed. 供应商应为包括后援人员和临时工的所有员工提供所有热处理操作培训。培训的文件记录应保存以证明员工得到 培训并作为培训有效性的评估。管理层应定义每一个职责的资格要求，同时持续和跟踪培训也应得到定义。 供应商是否为员工提供热处理培训？ 1.17 Is there a responsibility matrix to ensure that all key management and supervisory functions are performed by qualified personnel? 是否建立相应的责任矩阵以确保所有的关键监管职责由具有资格的人员来完成。 The organization shall maintain a responsibility matrix identifying all key management and supervisory functions and the qualified personnel who may perform such functions. It shall identify both primary and secondary (backup) personnel for the key functions (as defined by the organization). This matrix shall be readily available to management at all times. 1.18 Is there a preventive maintenance program? Is maintenance data being utilized to form a predictive maintenance program? 供应商应具有识别所有关键管理和监督职责的责任矩阵并能保证这些职责是由具有资格的人员来履行。同时也应识别针对这些关键指责（由供应商定义）的主要人员和辅助人员。管理层能在任何时候方便的获取该矩阵。 The organization shall have a documented preventive maintenance program for key process equipment (as identified by the organization). The program shall be a closed-loop process that tracks maintenance efforts from request to completion to

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Automotive Industry Action Plan Special Process: Heat Treat System Assessment 是否具有预防性维护计划？维护保养数据是否被利用来形成预见性维护计划？ assessment of effectiveness. Equipment operators shall have the opportunity to report problems, and problems shall also be handled in a closed-loop manner. 供应商应具有针对关键过程设备（由供应商识别）的预防性维护计划。该计划应是能追踪从维护请求到维护完成再到维护效果评价的整个维护工作的闭环结构。设备操作者应能有计划去报告问题且问题应能以闭环模式进行处理。 Company data, e.g., downtime, quality rejects, firsttime- through capability, recurring maintenance work orders, and operator-reported problems, shall be used to improve the preventive maintenance program. Furnaces and generators shall be scheduled for burn-out at frequencies determined by the organization (see Section 1 of the Process Tables). 相关数据如：停机时间，质量拒收（QR），FTT能力\\ 再现性维护、作业指令和操作者问题报告等都应该用于改进预防性维护计划。热处理炉和各类发生器应按照供应商确定的频率制定相应的燃尽计划。 Maintenance data shall be collected and analyzed as part of a predictive maintenance program. 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。 The heat treater shall develop and maintain a critical spare parts list and shall ensure the availability of such parts to minimize production disruptions. 1.19 Has the Heat Treater developed a critical spare part list and are the parts available to minimize production disruptions? 热处理供应商是否建立了关键零部件备用清单且这些备用零部件可获得以使生产中断最小化。 热处理供应商应建立并维持关键零部件备用清单并应确保每一个零件是可用的已使减小生产中断。 Section 2 - Floor and Material Handling Responsibility 第二节—布局和物料搬运职责 2.1 Does the facility ensure that the data entered in the receiving system matches the information on the customer's shipping documents? 供应商确保输入接收系统的数据与顾客发运文件上的信息一致. It is critical that all customer requirements and lot identification be adequately transferred to internal heat treat documents. The facility shall ensure that the data entered in the receiving system match the information on the customer's shipping documents. Documented processes and evidence of compliance shall exist, e.g., shop travelers, work orders, etc. Sometimes the material received does not precisely correspond to customer shipping documents. The facility shall have a detailed process in place to resolve receiving discrepancies. 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。供

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Automotive Industry Action Plan Special Process: Heat Treat System Assessment 应商需确保输入接收系统的数据与顾客发运文件上的信息一致。文件流程和符合项的证据应该存在如：车间流动人员、工作顺序等。当存在接收材料不能准确的与运输文件相符合时，供应商应具有详细的流程来处理接收的差异。 The requirements stated above also apply to captive heat treat departments. This process refers to receiving and shipping the parts in and out of the heat treat department. 上述要求也同样适用于受热处理约束的部门，这个过程参考热处理部门零件的接收和发运。 Procedures for part and container identification help to avoid incorrect processing or mixing of lots. Appropriate location and staging within the facility also help to ensure that orders are not shipped until all required operations are performed. Customer product shall be clearly identified and staged throughout the heat treat process. Green, in-process, and finished product shall be properly segregated and identified. All material shall be staged in a dedicated and clearly defined area. 2.2 Is product clearly identified and staged throughout the heat treat process? 整个热处理过程中的产品和生产状态是否得到清晰的识别？ 建立针对零件和容器的标识管理程序有助于避免批次间的错误处理和混淆。产品定置和生产阶段管理也有助于确保批次产品在所有要求的操作完成之后才被发运。顾客产品应被清晰标识并在整个热处理过程中分阶段存储。合格品、在制品、完成的产品应恰当的分类并识别。所有的材料应存放在指定的且明确定义的区域。 2.3 Is lot traceability and integrity maintained throughout all processes? 贯穿整个生产过程的批次追踪和完整性是否得到保证？ Are procedures adequate to prevent movement of nonconforming product into the production system? Out-going lot(s) shall be traceable to the incoming lot(s). The discipline of precisely identifying lots and linking all pertinent information to them enhances the ability to do root cause analysis and continual improvement. 流出批次应能追踪到来料批次，批次准确识别的原则和与批次相关信息的链接能提高分析根本原因和持续改进的能力。 The control of suspect or non-conforming product is necessary to prevent inadvertent shipment or contamination of other lots. Procedures shall be adequate to prevent movement of non-conforming product into the production system. Procedures shall exist addressing proper disposition, product identification, and tracking of material flow in and out of the hold area. A non-conforming/hold area shall be clearly designated to maintain segregation of such material. 为防止疏忽发运或其他批次零部件被污染，不确定和不符合零件的控制程序是必须的。该程序还能有效的防止不合格零件流入福特生产系统。应存在程序以选择恰当的摆放位置、产品标示和持有区域内外物流的追 2.4 程序是否能有效的防止不合格零件流入生产系统。

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Automotive Industry Action Plan Special Process: Heat Treat System Assessment 踪。不符合零部件持有区域应被明确指定以保证材料间的区分。 Is there a system to Heat-treating furnaces and other processing 2.5 identify trap points in the entire heat treat process to reduce risk of mixed parts (foreign, green, or improperly heat treated parts)? 是否有系统对整个热处理过程中的诱发点进行识别以减少不同零部件之间的混淆？（不相关的、合格件、不恰当的热处零件。） equipment contain areas that have a risk of trapping or holding parts. Such trapping of parts can lead to damage, improperly processed parts or lot mixing/contamination. A system shall exist to identify trap points in the entire heat treat process to reduce risk of mixed parts (foreign, green, or improperly heat treated parts). The heat treater shall have documented procedures to identify and monitor trap points for each process/equipment. Monitoring of potential trap points shall occur for every part changeover. 热处理炉和其他的过程设备都存在有诱发点风险和零件滞留区域。这些零部件的陷阱点能导致损坏、不适当的过程产品或批次混淆/污染。有体系来识别整个热处理过程的圈套点以降低混合零部件的风险（外部件、合格件以及不恰当的热处理件）。热处理供应商应具有文件化的程序来识别并监控每一个过程和设备的圈套点。应针对每一次发生热处理转换监控潜在圈套点。 Containers handling customer product shall be free of foreign material. Containers shall be inspected for foreign material and the source of the foreign material shall be notified. After emptying and before re-using containers, containers shall be inspected to ensure that all parts have been removed. This is to ensure that no green (un-heat treated) parts contaminate the finished lot. 处理顾客产品的容器应该对于其他材料是开放的。容器应针对外来零部件进行检查，外来零部件应该被标示。清空并重新使用的容器应检查以确保所有的零部件已经被移出。该操作的以确保非热处理零部件不包含处理完成的零件。 Furnace loading parameters shall be specified, documented, and controlled. Examples include feed rate, belt speed, number of parts per fixture, and load weight. Refer to Process Tables, Section 3.0, for frequency of checks. 炉内热处理零部件的装载方式应具体规定并形成文件以得到控制。零部件的装载方式包括进料速度、传动带速度、热处理夹具零部件的装载数量和重量。检查频率参考过程表格第3.0节. Unplanned or emergency downtime greatly raises the risk of improper processing. Operators shall be trained in material handling, containment action, and product segregation in the event of an equipment emergency including power failure. Training shall be documented. Work instructions specifically addressing potential types of equipment emergencies and failures shall be accessible to and understood by equipment 2.6 Are containers free of foreign material? 热处理容器对于其他原材料是否是开放的？ 2.7 Is furnace loading specified, documented and controlled? 炉内热处理零部件装载方式是否具体规定并形成文件以得到控制？ 2.8 Are operators trained in material handling, containment action and product segregation in the event of an equipment emergency including power failure? 操作者是否得到材料处

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Automotive Industry Action Plan Special Process: Heat Treat System Assessment operators. These instructions shall address 理、设备出现紧急情况containment actions related to all elements of the 如能源中断（停电）情heat-treating process, e.g., loading, austenitizing, 况下的进行产品隔离和quenching, tempering. 围堵措施的培训？ 非计划或紧急情况停工在很大程度上来自于不恰当过程的风险。操作者应得到针对包括能源中断的设备紧急情况下的材料处理、围堵措施和产品隔离的培训，培训应有文件记录。明确规定设备潜在紧急和失效模式的作业指导书应被设备操作员方便的获得并理解。这些作业指导书应规定所有与热处理过程有关的围堵措施，这些热处理过程如：装载、奥氏体化、淬火、回火。 2.9 Is the handling, storage and packaging adequate to preserve product quality? Some equipment includes conveyors and other moving components that may not be able to handle all part configurations. Other practices such as stacking of overloaded containers can also increase the risk of part damage. Handling, storage, and packaging shall be adequate to preserve product quality. The heat treater’s furnace loading system, in-process handling, and shipping process shall be assessed for risk of part damage or other quality concerns. 某些设备具有不兼容所有结构件的搬运装置和其他移动组件。其他诸如容器装载过度的操作也可能增加零件损坏的风险。产品的搬运、储存和包装是否能充分保证产品的质量。热处理炉装载系统、在线搬运和发运过程都应该针对零件损坏和其他质量关注进行评估。 产品的搬运、储存和包装是否能充分保证产品的质量？ 2.10 Are plant cleanliness, housekeeping, environmental, and working conditions conducive to quality improvements? Plant cleanliness, housekeeping, environmental, and working conditions shall be conducive to quality improvements. The heat treater should evaluate such conditions and their effect on quality. A housekeeping policy shall be clearly defined and executed. The facility shall be reviewed for conditions that are detrimental to quality processing such as loose parts on floor, oil around quench tanks, inadequate plant lighting, smoke, etc. 是否所有的工厂清洁、现场管理、环境因素和工作条件有益于质量的提升？ 工厂清洁、现场管理、环境因素和工作条件应有助于质量的提升。供应商应评估这些条件以及他们对质量的影响。现场管理措施应该得到清晰定义并执行。热处理供应商应针对产品质量过程有不利影响的环境因素进行评审，这些过程包括零部件的散落、淬火槽周围有油、不充分的厂内照明、烟雾等。 Many heat-treated parts are subjected to surface finish or appearance operations such as plating or coating after heat treatment. Parts shall be free from contaminants that are detrimental to subsequent processes or the product. Pre-wash (if applicable) and post-wash parameters shall be 2.11 Are parts free from contaminants that would be detrimental to the heat treatment of the product?

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Automotive Industry Action Plan Special Process: Heat Treat System Assessment monitored and documented. Oils and other 是否所有的零部件都免contaminants or residues can be difficult to remove 于受到污染，这种污染once subjected to the heat treatment process. 对产品的热处理会带来Review the chemical supplier’s recommendation 有害影响。 for cleaning the system. Parts shall be free of rust, burrs, chips, detrimental amounts of drawing compound, cutting fluids, rust preventing oils, lubricants, etc., prior to heat treat. Note: Refer to the appropriate heat treater's requirements and specifications to determine acceptability. Refer to Process Table, Section 5.0, for frequency of checking washer solutions. 很多热处理零件受热处理后表面处理和外观操作如电镀和涂装的影响。零件应免于对后续工序或产品造成有害影响的污染。有关处理前清洗和处理后的清洗的参数应该得到监控并记录。油和其他污染物或残余物一作用于热处理过程将很难去除其影响。评估化学品供应商对于系统清洗的建议。零件在热处理前应没有受铁锈、黏附物、碎片、大量有害的标示物、流体、防锈油、润滑油等的影响。 2.12 Is the quenching system monitored, documented, and controlled? The quenching system shall be monitored, documented, and controlled. The temperature, agitation, level, concentration (if applicable), time in the quenchant, and additions shall be controlled to the heat treater's specifications. Refer to Process Tables, Sections 3.0 and 5.0, for frequency of checks. Computer-monitoring equipment, with alarms and alarm logs, satisfy the verification requirement. Quench delay tolerance and alarm is required for furnaces with integral quench tanks. Temper delay time shall be specified by the heat treater for parts that are quenched and tempered, e.g., carburizing, carbonitriding, neutral hardening, solution treating and aging. 淬火系统是否受到监控，记录并控制？ 淬火系统应受到监控、记录和控制。温度、淬火液搅拌、等级、浓度以及淬火时间和悬浮物应按照热处理规范进行控制。检测频率参照过程表格3.0和5.0节。计算机监控的设备，需要警示和警示发生记录。以满足要求的确认。淬火延时范围和警示应对加热炉和淬火池整体考虑。针对淬火和调质回火的零部件其回火时延应进行具体规定，如渗碳、碳氮共渗、中性淬火、溶液处理和时效处理。 2.13 Is soluble oil or other rust preventive monitored and controlled if applicable? Parts are often dipped in or sprayed with rust preventive solutions immediately after the heat treating process. Soluble oil solutions or other rust preventive solutions shall be monitored and controlled, if applicable. The heat treater shall have and maintain documented tolerances for the solutions. Refer to Process Tables, Section 5.0, 在可行的情况下，是否可溶性油和其他防锈措施得到监控？

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Automotive Industry Action Plan Special Process: Heat Treat System Assessment for frequency of checks. 零件在热处理之后通常需立即进行浸入或喷涂防锈液处理。如果可行，可溶油溶液或其他防锈液应该得到监控。热处理供应商应具有并保持针对溶液的文件规范。检查的频率参照过程表格第5.0节。 Are process control Process control parameters shall be monitored per 2.14 parameters monitored per frequencies specified in Process Tables? frequencies specified in Process Tables. Refer to Process Tables, Section 3.0. Computer monitoring equipment with alarms and alarm logs satisfy the verification requirement. A designated floor person shall verify the process parameters, e.g., by initialing a strip chart or data log. Management review is required per Question 1.9. 是否过程控制参数按照该过程表所规定的频率得到监控？ 过程控制参数应按本过程表所规定的频率进行监控。参见过程表3.0节。受计算机监控设备的警报和警报日志需要满足需求。需指定专人通过如初始纸带记录和数据日志来核实这些过程参数。进行1.9节中的管理评审也是必须的。 2.15 Are In-Process / Final Test Frequencies performed as specified in Process Tables? In-Process / Final Test Frequencies shall be performed as specified in Process Tables. Refer to Process Tables, Section 4.0. 过程测试和最终测试频率是否符合本过程规范？ 2.16 Is product test equipment verified? 过程测试和最终测试频率应符合本过程规范。参照过程规范第4.0节。 产品测试设备是否得到验证？ Product test equipment shall be verified. Test equipment shall be verified/calibrated per applicable customer-specific standard or per an applicable consensus standard such as those published by ASTM, DIN, EN, ISO, JIS, NIST, SAE etc. Verification/calibration results shall be internally reviewed, approved, and documented. Refer to Process Tables, Section 1.0, for frequency of checks. 产品测试设备应得到校验。测试设备应按适用的顾客规范标准或由ASTM，DIN，EN，ISO，JIS，NIST，SAE等组织发布的统一标准进行校验。校验结果应得到内部评审、批准并存档。校验频率参考过程规范第1.0节。 The heat-treat furnaces, generators, and quench systems shall have proper process control equipment. This includes temperature, carbon potential/ dew point, quench systems, gas flows, etc. as listed in the applicable Process Tables, Section 1.0. 6 Section 3 equipment 第三节 设备 3.1 Do furnaces, generators, and quench systems have proper process control equipment? 热处理炉、气氛发生器和淬火系统是否具有适

热处理炉、发生器和淬火系统应具有适当的过程控制装置。这些装置包括温度、碳势/露点、淬火系统、气体流量等见该过程13

Automotive Industry Action Plan Special Process: Heat Treat System Assessment 当的过程控制装置？ 规范第1.0节。 3.2 Are process equipment calibrations and/or verification certified, posted, and current? The calibration and certification of the process equipment shall be checked at regular specified intervals. Refer to the applicable Process Tables, Sections 1.0 and 2.0, for equipment calibration or certification time tables. 这些装置是否得到校验认证、是否过期或者还在当前？ 3.3 Are thermocouples & protection tubes checked or replaced per Process Tables? 这些过程装置应按规范的时间间隔进行校验，校验的时间计划参见该过程规范第1.0和2.0节。 The thermocouples and protection tubes shall be checked or replaced in compliance to a preventive maintenance schedule. Refer to the applicable Process Tables, Section 2.0. 热电偶及保护套是否按照此过程规范进行检查和更换？ 3.4 Are temperature uniformity surveys performed per requirements in Process Tables? 热电偶及其保护管应按照预防性维护计划进行检测和更换。请参照该过程规范第2.0节。 温度均匀性是否按照该过程规范要求进行测试？ Temperature uniformity surveys shall be conducted per the requirements in the applicable Process Tables, Section 2.0. The frequency reductions allowed in AMS 2750 are not allowed under this document. Certain furnace designs, e.g., rotary Retorts preclude direct temperature profiles. Indirect product studies are acceptable for furnaces where temperature uniformity studies are not possible. 温度均匀性应按该过程规范第2.0节进行测试。在AMS2750中认可的频次减少在该文件中是不允许的。适当的热处理炉设计如：排除直接温度场的搅拌器，对于那些温度均匀性不能进行的热处理炉可通过产品进行间接研究。 3.5 Is the variation of the furnace controlled thermocouple from set point within the requirements in the Process Table? The variation between the furnace-control thermocouple and the set point temperature shall be within the limits defined in the applicable Process Tables, Section 2.0. This does not apply to the first zone of a multi-zone continuous furnace. 热处理炉的控制热电偶与设置温度之差应处于该过程规范第2.0节所定义的范围之内。该项不适用于多温区连续炉的首区。 热处理炉的控制热电偶与设置温度之差是否处于该过程规范的要求之内。 3.6 Are the process & equipment alarm checks being tested quarterly or after any repair The heat treater shall have a list of heat treat process and equipment alarms. These alarms shall be independently tested quarterly at a minimum, and after any repair or rebuild. These checks shall

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Automotive Industry Action Plan Special Process: Heat Treat System Assessment or be documented. rebuild? 供应商应具有热处理过程和设备警示清单。这些警示应至少每是否对所有的过程及设季度或在任意的修理和大修之后进行一次的测试。这些测备警示进行季检或在任试应记录在册。 意维修和大修之后检查？ Are generators and Generator and furnace atmosphere carbon 3.7 furnace atmospheres continuously monitored, automatically controlled, and documented? potential/dew point shall be continuously monitored, automatically controlled, and documented. This requirement is specific to Process Table 1, Sections 1.0 and 3.0, for carburizing, carbontiriding, and neutral hardening. Continuous monitoring and automatic control of the carbon potential/dew point is required for all generators and atmosphere furnaces except rotary retort and shaker furnaces that preclude in situ control and monitoring. This requirement is specific to carburizing, carbonitriding, and neutral hardening. If generators are not used, the flow rates of the supplied atmosphere gases shall be monitored and controlled. The assessor shall verify the effectiveness of the atmosphere control system per customer requirement, the heat treater’s control plan, and internal procedures. The atmosphere control system shall maintain the atmosphere dew point/carbon potential set point within the parameters specified in the control plan or internal procedures. The heat treater shall have a back-up method of checking the carbon potential/d 发生器和热处理炉气氛是否进行连续的监测，自动控制并记录在册？ 发生器和炉内气氛碳势和滴点应持续的得到检测，自动控制并记录在册。这些要求针对过程规范第一部分第1.0和3.0节，针对渗碳，碳氮共渗和中性淬火。除去包括在SITU控制和检测部分中的搅拌炉及摇摆炉外，针对所有发生器和监控炉的碳势和滴点连续监控和自动控制是必须的。这些要求针对渗碳、碳氮共渗和中性淬火是明确的。如果发生器没有使用，那么提供气氛的流量应得到监控。评价者应按照客户要求确认温控系统的有效性、热处理控制计划及内部程序。这些气氛控制系统应该保证气氛露点，碳势设置点在过程规范或内部程序规定的参数范围之内。热处理供应商具有检测碳势的备用方法。 3.8 When the back-up verification check of the atmosphere does not agree or correlate within pre-established limits with the This issue is specific to Process Table 1, carburizing, carbonitriding, and neutral hardening. When the back-up verification check of the atmosphere does not agree or correlate within preestablished limits with the primary control method (carbon potential/dew point reading), the heat treater shall resolve the out-of-limit discrepancy. The back-up atmosphere monitoring system

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Automotive Industry Action Plan Special Process: Heat Treat System Assessment primary control method (carbon potential/dew point reading), is correlation of the carbon-bearing atmosphere to the primary control method reestablished? reading and the automatically controlled atmosphere dew point/carbon potential reading shall be maintained within the correlation limits specified in the control plan or internal procedures. These range tolerances vary with the specific heat treat process and the equipment used. The heat treater shall make appropriate technical adjustments and corrections and then reestablish/ demonstrate the correlation of the actual atmosphere carbon potential/dew point reading to the primary control and back-up atmosphere reading. The range tolerances for correlation between the two readings shall be in the control plan or internal procedures. The back-up carbon potential/dew point reading shall be established using • Carbon bar or slug • Shim stock • 3-gas analyzer • Dew point • Hot wire resistance 当气氛的备选检查确认不满足或未与先前控制手段所确认的建立联系时（碳势/露点显示），是否与碳气氛初始控制方法的联系得到建立？ 该问题主要是规范过程规范一，渗碳，碳氮共渗和中性淬火。当气氛的备选确认检查不满足或未联系在初始控制方法（碳势/露点）所建立的规范之内时，热处理供应商应解决超出规范的差异。气氛监控备选系统的读数和自动控制气氛露点/碳势的读数应保证规定在控制计划或内部程序所规定的范围之内。这些范围大小随着所规定的热处理过程和所使用的设备不同而不同。热处理供应商应确保恰当的调整和纠正措施并能重新建立/验证气氛碳势/露点的实际读数与最初控制和备份气氛读数之间的联系。两种读数间建立联系的许可范围应写入控制计划或内部程序。备份的碳势/露点读数应建立使用： • 碳棒或碳片 • 垫片库存 • 三气氛分析仪 • 露点 • 电热线圈电阻 All ammonia lines to furnaces shall be equipped with quick disconnects or a three-valve fail-safe vent system. Normal valves may allow ammonia to leak through even when they are closed. This can be undesirable and detrimental in heat treat processes not specifying/requiring ammonia. • A quick disconnect shall be present in any ammonia line going to a furnace. This line shall be disconnected after carbonitriding (or any other process using ammonia) before another heat treating operation not specifying/using ammonia begins. 3.9 Are all ammonia lines equipped with quick disconnects or a three valve fail safe vent system? 是否所有的氨管线都装有快速断开或三阀门故障安全排气系统？

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Automotive Industry Action Plan Special Process: Heat Treat System Assessment • An alternative three-valve ammonia \"fail-safe\" vent system is permitted. See the definition “Three Valve Fail-Safe Vent” and diagram in the glossary. • Documentation shall show when ammonia lines are disconnected for non-ammonia bearing atmosphere processes. 所有连接热处理炉的氨管道应装备快速断开装置或者三阀门故障安全排气系统。标准的阀门应允许氨能泄露即使在他们被关闭的情况下。针对不需要氨气氛的热处理过程该要求不是必须的。 • 在任何通往热处理炉的氨气管道上都应具有快速断开装置。当由碳氮共渗（或任意其他使用氨的热处理过程）向不需要使用氨进行热处理的过程转换时，这些管道应能及时的断开。 • 可选的三阀门氨气故障安全排放系统是可行的。参看三阀门故障安全排气系统的定义及术语表中的图表。 • 当氨气管道针对无须氨气氛热处理而断开时需进行文件标示。 This is applicable to fasteners and small metal parts. The heat treater shall perform a minimum 3 hours oxidizing burn-out prior to processing product not requiring ammonia as an addition. Ammonia pick-up can be undesirable in parts and heat treat processes not specifying/requiring ammonia as an addition. Log book, data logger, or other records shall document the actual oxidizing burn-out time and that sufficient time has been allocated to remove ammonia from the furnace prior to processing parts in heat treat processes not specifying ammonia. 3.10 For fasteners and small metal parts, is a minimum of 3 hours allocated for an oxidizing burnout prior to processing product not requiring ammonia? 针对扣件和小零部件，在完成需要氨气的产品处理后是否进行了至少3个小时的氧气燃尽。 该项适用于紧固件或小的零部件。热处理供应商应确保在完成需要氨气的产品处理后进行了至少3个小时的氧气燃尽。不需要氨气作为附属物的热处理过程和产品中氨气的顺便获得是不必的。记录日志，数据日志或其他的记录应文件记录实际的氧燃尽时间和相应的已用于在不需要氨气进行热处理过程之前进行氨清除的时间。 All atmosphere furnaces and generators (output trim/adjustment gas) shall have flow scopes or flow meters for all gases. Flow scopes and meters shall be periodically serviced per the heat treater's preventive maintenance program. Cleaning and proper re-assembly procedures shall be documented. 3.11 Do all atmosphere furnaces and generators have flow scopes or flow meters for all gases? 是否所有的气氛炉和发生器都具有针对所有气体的流量范围和流量计？ 3.12

所有的气氛炉和发生器（外排/气氛调节）应该具有流量范围或流量计。流量范围和流量计应按照热处理预防性维护计划进行周期性维护。清扫和适当的再装配程序应进行文件化。 For threaded fasteners, are Infrared temperature pyrometers are required at all the exit end of continuous belt furnaces running 17

Automotive Industry Action Plan Special Process: Heat Treat System Assessment continuous belt furnaces equipped with sight glass inspection ports and infrared pyrometers at discharge end of the hardening furnace? threaded fasteners to monitor for under temperature parts. The temperature alarm shall be within 28oC (50oF) of the furnace set point temperature. Results shall be strip charted or continuously data logged. Infrared (IR) units shall be calibrated annually at a minimum and certified. All sight glasses shall be cleaned per the preventive maintenance schedule. 针对线形紧固件，是否所有的连续炉都装有玻璃观察窗并在硬化炉的末端装有高温红外测温仪。 3.13 Is salt chemistry in the austenitizing salt bath monitored? 在连续炉出口要求配备高温红外测试仪以监控加热的零部件。炉子的温度警示设置应在摄氏280度之内，监控结果应该形成纸带记录或进行连续的数据记录。红外测试仪应至少每年进行矫正和确认。所有的观察玻璃应按照预防性维护计划进行清理。 Applicable to ferritic-nitrocarburizing, austempering, and neutral hardening in salt. The heat treater shall check the salt chemistry in the austenitizing salt bath, or part decarburization, daily. Refer to the applicable Process Tables, Section 3.0, for frequency of checks. 奥氏体盐浴的化学特性是否得到监控？ 参照铁酸盐碳氮共渗、奥氏体回火和中性盐淬。供应商应每天检查奥氏体盐浴的盐的化学特性以及零件的脱碳情况。参照该过程规范第3.0节中的检查频率规定。 3.14 Is the quenching medium analyzed? 淬火介质是否进行分析？ The heat treater shall periodically have the quenching medium analyzed for specific quenching characteristics, e.g., cooling curve, water content, salt concentration, as specified in the applicable Process Tables, Section 5.0. 供应商应周期性的针对淬火特性如在该过程规范5.0节中规定的冷却曲线、水的成分、盐的浓度等对淬火介质进行分析。 • The quench media characteristic tolerances shall be specified by the quench medium supplier or the heat treater. 淬火介质特性的许可范围应由淬火介质供应商或热处理供应商进行规定。 • Analysis shall be reviewed for conformance by the heat treater. This review shall be documented. 热处理供应赏应针对其符合性进行审核，其审核应记录在册。 3.15 Is the positioning of each part being controlled? 每一个零件的定位是否得到控制？ Does the heat treater control the energy or power for each part? A method to detect proper part position, such as the use of proximity switches, optical sensors, mechanical probes, etc., is required for each part. 有方法去检测恰当的零件位置如使用接触式开关、光感器、机械探针等 The heat treater shall control the energy or power for each part. 热处理供应商应对每个 零件的能源进行控制： • A signature monitor for each machine is preferred. A signature monitor gives the energy 3.16

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Automotive Industry Action Plan Special Process: Heat Treat System Assessment unit (voltage, kilowatt, etc.) vs. time or distance (for 供应商是否对每个零件scanning systems). 的能源进行控制？ 针对每台设备的且经过签署的监控器是首选的。签署确认的监控器能给于能源单位（如电压伏，功率千瓦等）VS.时间和距离（针对扫描系统）。 • An energy monitor or equivalent is acceptable if approved by the design authority. 能源监控设备或相应的设备在通过设计确认的情况的下是可以接受的。 The heat treater shall have a coil management system. Coil refers to the heating coil and the quench plenum. 供应商应具有线圈管理体系。线圈参照热处理线圈和淬火高压. • Spare coils for each part shall be available onsite. 针对每一个线圈的备份线圈应在现场可获得。 • Coils shall conform to the approved original design. 线圈应满足获得批准的初始设计。 • Engineering change approval from the customer is required whenever the coil design is changed. 3.17 Does the supplier have a coil management system? Coil refers to the heating coil and the quench plenum. 供应商是否具有线圈管理系统？线圈参照热处理线圈和淬火高压？ 只要线圈的设计发生变化，获得顾客的工程变更批准都是必须的。 3.18 Is quench system automatic? 淬火系统是否是自动化的？ The quench system shall be an automatic operation. No manual quenching is allowed unless specifically approved by the design authority. Quenching shall be automatically initiated and controlled. 淬火系统应是自动操作的。除非获得设计部门的特殊授权，人工淬火系统是不允许的。淬火应该自动开始并得到控制。 3.19 Does each lot of parts have first piece set-up? The heat treater shall perform first piece set-up for each lot of parts 供应赏应针对每批零件进行首件检查。 是否每一批零件都应首件确认？

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