NADCAP热处理工作组审核手册

NADCAP

热处理工作组审核手册

发布日期：2013年10月28日

目录

1. 范围 (3)

2. 定义 (3)

3. 依据Nadcap审核准则实施审核 (6)

4. 质量体系................................................................................. .. (21)

5. 热处理审核清单 (23)

6. 附录A：铝合金标准 (32)

7. 附录B: 主要客户标准矩阵图 (38)

8. 附录C: 主要客户对保温开始时间与保温时间的定义 (42)

9. 附录D: 审核员公告 (43)

9.1 主题 (43)

9.1.1 高温测量 (43)

9.1.2 工序控制测试 (51)

9.1.3 主要客户的关注内容 (53)

9.1.3.1审核员公告11-001 HT–罗罗公司 (53)

9.1.4 作业审核 (59)

9.1.5 审核管理 (60)

9.1.6 其他内容 (64)

10. 附录E:文件修订历史 (65)

1. 范围

This Audit Handbook has been prepared to assist the Heat Treating Auditors and Suppliers as follows:

此审核手册在以下方面给予热处理审核员和供应商相应指导：

1.Where necessary, provide clarification on the intent and rationale of the Heat Treating

Task Group as it pertains to specific questions contained in the current revision of AC7102 and its corresponding slash sheets, as well as heat treating specific issues with Materials Testing Laboratories (MTL) checklists commonly used during heat treating audits.

需要时，说明热处理工作组的目的和理论依据。因为这是热处理审核时经常用到的AC7102标准和其相应斜格表，以及材料实验室（MTL）审核清单所要求的具体内容。

2.Clarify the material to be reviewed in addressing audit questions

在处理审核问题时，应理清评审需要的资料。

3.Standardize the audit from Auditor to Auditor

使每个审核员的审核表标准化。

4.Standardize definitions

使定义标准化

5.Provide general guidance on Task Group expectations as to the Supplier’s preparation

for an audit and on an auditor’s execution of the audit

提供以下两方面的通用指南：工作组要检查的供应商所作的审核前期准备过程以及审核员实施审核过程。

6.Provide general information on unique requirements of participating prime contractors

to aid the Auditor in determining supplier conformance to customer requirements

提供有关主要客户特殊要求的基本资料以便审核员能够确定供应商是否符合客户要求。This handbook was prepared to directly reference the most current audit checklist revision. Sections are divided to correspond to audit criteria slash sheets. Current Heat Treating controlled checklists are:

此手册直接引用审核清单的现行有效版本。各章节也按照审核准则斜格表而划分。现行有效的热处理审核清单包括：

●AC7102 Nadcap Audit Criteria for Heat Treating

Nadcap热处理审核准则

●AC7102/S Nadcap Supplemental Audit Criteria for Heat Treating (Primes specific

requirements)

Nadcap热处理审核补充准则（重要客户具体要求）

●AC7102/1 Nadcap Audit Criteria for Brazing

Nadcap钎焊审核准则

●AC7102/2 Nadcap Audit Criteria for Aluminum Heat Treating

Nadcap铝合金热处理审核准则

●AC7102/3 Nadcap Audit Criteria for Carburizing

Nadcap渗碳审核准则

●AC7102/4 Nadcap Audit Criteria for Gas and/or Ion Nitriding

Nadcap气体和/或离子渗氮审核准则

●AC7102/5 Nadcap Audit Criteria for Hardness Testing for Heat Treating

Nadcap热处理硬度试验审核准则

●AC7102/6 Nadcap Audit Criteria for Hot Isostatic pressing (HIP)

Nadcap热等静压审核准则

●AC7102/7 Nadcap Audit Criteria for Induction Hardening

Nadcap电磁感应硬化审核准则

●AC7101/3 Nadcap Audit Criteria for Material Testing Laboratories –Mechanical

Testing

Nadcap材料实验室—力学测试审核准则

●AC7101/4 Nadcap Audit Criteria for Material Testing Laboratories –Metallography

and Microindentation Hardness

Nadcap材料实验室—金相和微型压痕硬度审核准则

●AC7110/1 Nadcap Audit Criteria for Brazing (Torch/Induction)

Nadcap钎焊（火焰/电磁感应）审核准则

Additional checklists may be required during an audit (including AQS and/or MTL Task Group checklists). This handbook will not give guidance for questions based on other Task Group’s checklists; however, if an interpretation conflicts between Task Groups, the Task Group that controls the given checklist will be the governing body.

审核时也可要求提供其他审核清单（包括AQS和/或MTL工作组审核清单）。此手册不适用于其他工作组审核清单；但若不同工作组的解释相冲突，则以控制此审核清单的一方为主。

2. 定义

NOTE: Many of the detailed requirements for the items defined below are found in the applicable specification. These definitions apply ONLY if no customer requirements are specified.

注：下列规定各项内容的许多具体要求均来自适用的产品标准。这些定义仅当客户无特殊要求时才适用。

Activation - A process by which the surface to be Nitrided is prepared by using various processes (chemical/mechanical) to minimize the risk of non-uniform nitriding (heterogeneous in depth and superficial hardness).

活化—通过各种工艺对需要进行氮化的表面进行处理以降低不均匀渗氮风险的过程（各种深层和浅层硬度）

Conversions from Fahrenheit [°F] into Celsius [°C] - When assessing Suppliers against customer requirements which are expressed in degrees Celsius take a special note of conversions from

degrees Fahrenheit in TUS, SAT, etc. Customer and governing specifications, especially of European origin, may have temperature tolerances which are less than the similar North American (e.g. AMS) material. For example, solution treatment of aluminium alloys is typical +/- 10 °F in AMS, but +/- 5°C (±9°F) in European standards.

把华氏度[°F]转换为摄氏度[°C]—在依据用摄氏度描述的客户要求对供应商进行评估时，应为TUS和SAT等测试标注其相应的华氏度数值。客户及三方机构标准（尤其是来自欧洲的标准）中的温度公差有时要比相应北美资料（如AMS标准）的要求更严格。例如铝合金固溶热处理在AMS标准中的公差通常为+/-10°F，但在其相应欧洲标准中则为+/- 5°C (±9°F)。

North American standards for heat treatment may also have definitions which are not in line with the European Prime requirements (e.g. AMS-H-81200, clause 6.3.9 Metrication).

北美标准对热处理的定义有时也与欧洲主要客户要求不一致（如标准AMS-H-81200中条款6.3.9公制单位）

例如:

A European Prime requires an aluminium solution heat treat temperature of 475 °C +/- 5°C. In the case where the Supplier is working and calibrating in Fahrenheit they have to be within the +/- 5°C (±9°F) maximum allowable tolerance. If the furnace(s) are tested/certified to a uniformity of +/- 10 °F, this converts to +/- 5.6 °C and exceeds the required tolerance. This is a NCR.

欧洲主要客户要求铝合金固溶热处理温度为475 °C +/- 5°C。当供应商采用华氏度实施校准时则必需控制最大允许公差+/- 5°C (±9°F)以内。如果炉子测试验收的结果为均匀性+/- 10 °F，转换成摄氏度为+/- 5.6 °C，超过了规定公差。则为不符合项。

Final heat treatment: Heat treatment which confers to items the required mechanical and/or physical properties.

最终热处理：为材料实现规定力学性能和/或物理性能的热处理。

Furnace Recording – Any records (either hard paper or electronic) generated by the furnace itself representing the time, temperature, vacuum level, or atmosphere data associated with the processing of parts or raw material.

炉子控温记录—炉子本身生成的任何记录（纸质版或电子版），包括有关部件或原材料处理的时间、温度、真空度或气氛数据。

Industrial Soaking time: Temperature-soaking time of the furnace at the setting temperature.

行业保温时间：炉子在设定温度的保温时间。

Intergranular Oxidation/Intergranular Attack (IGO/IGA) – Per ASTM definitions.

晶间氧化/晶间腐蚀（IGO/IGA）-- 参考ASTM定义。

Intermediate Temperature - A temperature that the part must be cooled to (or below), or heated to (or above), prior to continuing the next sequence stage of the heat treat process.

中间温度—在继续热处理下道工序前必须对部件冷却（或更低）或加热（或超过）的温度。

Leak Up Rate (leak rate) - A test in which the furnace chamber is evacuated, isolated from the evacuation source, and the leakage determined within the system by observing the pressure rise per unit of time. NOTE: Leak up rate expressed in microns/hours. 1 micron is approximately = 1 X 10-3 Torr = 0.001 mm Hg = 133 X 10-3 Pascal.

漏气率—对炉膛进行评估、与泄漏源隔离，并通过对单位时间内气压上升量的观察确定系统内的漏气情况的测试。注：漏气率用微米/小时表示。1微米约=1 X 10-3托=0.001 mm Hg = 133 X 10-3帕

For example, when 1 micron is specified, an increase of 0.1 micron is a higher Vacuum or lower pressure limit.

例：当规定为1微米时，0.1微米的增量则为较高真空极限或较低压力极限。

Long Job Audit –Audit of multi-step heat treat process on a job which has been completed (sections 12 and 13 in AC7102 checklist). Long jobs MUST be selected from history and MUST include the completed testing results for the jobs.

长作业审核—对已完成的多重热处理工序工作的审核（AC7102审核清单第12和13章）。长作业必须从历史经验中选定且必须包括此工作已完成的测试结果。

Material Specification – Industry or Prime specification which defines the properties of the parts or raw material.

材料标准—规定部件或原材料性能的行业标准或客户标准。

Metal Temperature –When called out in a spec or procedure, mandates the use of load thermocouples unless otherwise specified by the Prime.

金属温度—当产品标准或工艺规程中对金属温度有相关规定，需规定对负载热电偶的使用，除非客户另有规定。

Metallurgical soaking time – Minimum amount of time required by Material specification for any point of parts to be at set temperature, taking into account the applicable heat treatment tolerance.

金相保温时间—材料标准要求部件任一点均达到设定温度的最短时间，考虑相应的热处理公差。

NCR –Non-Conformance Report, findings during an audit that require the full five part response as outlined in the Supplier’s guide.

NCR—不符合项报告，需要采取供应商指南中指定的完整五步法的审核结论。Nonsustaining / Repeat Findings –Non-conformances that are generated as a result of not implementing corrective actions from the last performed full audit or those where corrective actions may have been implemented but were determined to be ineffective.

无支持/重复结论—自上次实施全面审核以来，因未落实纠正措施而导致的不符合项，或落实纠正措施后发现措施无效而导致的不符合项。

Objective Evidence – Will include, but may not be limited to: job travelers, furnace charts, various types of logs and logbooks, training records, document change records, customer documents such as purchase orders, packing slips, etc. that do not contain Export Controlled Data. Objective evidence is required to be submitted for all findings, regardless of their designation.

客观证据—包含但不限于：生产工艺卡、炉温记录、各种生产记录、培训记录、文件更改记录、客户文件，如：采购订单、装箱单等，不包括出口管制数据。所有客观证据均须附在相应的结论下方。

Parts – (Extracts from AMS-H-6875, AMS-H-6088, AMS-H-81200, etc.) Usually identified by a part number, produced from raw material in accordance with the requirements of a drawing, and are usually tested by nondestructive techniques only. They are heat treated, by or for a fabricator, in accordance with a drawing, purchase order, fabrication order, or heat treat specification. At the time of heat treatment, they may resemble raw material.

部件—（定义来自标准AMS-H-6875、AMS-H-6088、AMS-H-81200等）依据图纸要求从原材

料加工而成，通常用部件编号来识别，仅用无损技术进行检测。部件是由生产商依据图纸、采购订单、生产订单或热处理标准生产或为其生产的产品。热处理过程有时与原材料相似。

The Heat Treating Task Group further states: The primary difference in interpretation of parts vs. raw materials focuses on Castings and Forgings. Some Primes consider Castings and Forgings as Parts, while others consider them as Raw Materials. It is the responsibility of the Supplier to know and demonstrate compliance with the policy of each individual Prime Customer.

热处理工作组强调声明：部件和原材料的主要描述区别在于铸件和锻件。有些主要客户认为铸件和锻件是部件，但有些则认为是原材料。供应商有责任了解并证明与每个主要客户方针的一致性。

Raw Material – (Extracts from AMS-H-6875, AMS-H-6088, AMS-H-81200, etc.) Usually includes, but is not limited to, such items as sheet, plate, wire, rod, bar, forgings and extrusions. It is usually identified by a heat or lot number and is usually tested destructively for acceptance. It is heat treated, by or for a material producer, in accordance with a material specification which may require, by reference, conformance to a heat treating specification.

原材料—（定义来自标准AMS-H-6875、AMS-H-6088、AMS-H-81200等）通常包括但不限于板材、线材、棒材、锻件和挤压件。通常以热处理编号或批号来识别，采用无损检测进行验收。原材料是由材料生产商依据材料标准（材料标准有时引用并要求满足热处理标准的要求）热处理生产，或为其生产的产品

NOTE: The table below it is a guide that was put together by the Heat Treating Task Group Primes to help Suppliers and Auditors when they perform/audit Pyrometry testing. It is intended to be used when there is no clear flowdown information from the Customers.

注：下表是由热处理工作组主要客户整理而成，以为供应商和审核员在进行高温测量操作/审核时提供指导。此表可在客户未提供相关要求时使用。

The table below is not intended to replace the Customer Primes flow down

下表不可替代主要客户具体要求

Does your company consider Castings and Forgings Parts or Raw Material?

Round Robin –An internal Round Robin is an intra-laboratory study or measure of the reproducibility of results generated by the laboratory personnel using the laboratory procedures. The intent of the internal Round Robin is to address the reproducibility of the results by operators and test equipment. Round Robin is described in AC7101.

内部比对—内部比对是指对实验人员通过实验步骤得到结果的再现性在实验室内部进行研究或测量。内部比对是操作者利用实验设备对结果的再现性进行确定的过程。内部比对在AC7101中有具体规定。

Slash Sheet – Audit criteria on a specific area that may be optional dependent on a Supplier’s facilities.

斜格表—特定领域的审核准则可依据每个供应商的设施而进行选择性使用。

Slash sheets are numbered on the base checklist as “AC7102/X”.

斜格表在基础审核清单上的编号为“AC7102/X”

Soak Time – The amount of time required by specification, blueprint, purchase order or operation sheet approved by the customer (fixed process) for the furnace/parts to be at the specified temperature soak range.

保温时间—客户认可的标准、设计图、采购订单或生产工艺卡所规定的炉子/部件在特定保温温度范围所需时间长度（固定工艺）。

Short Job Audit – A single thermal cycle that may be in-process during the audit, or completed at the time of the audit.

短作业审核—审核时正在进行的或已完成的单一热处理工艺周期。

Systemic –Procedures, actions, or events that are not isolated, but found to be part of the Supplier’s system. When multiple occurrences of the same violation are observed, it is termed as being systemic.

体系性—程序、措施或项目不是孤立存在的，而是作为供应商体系的一部分。当发现同一不符合项反复出现时，可称之为体系性。

Vacuum Heat Treating and/or Brazing – A heat treating and/or brazing performed at any pressure below atmospheric pressure (760 mm Hg).

真空热处理和/或钎焊—在低于大气压强的任一压强下（760 mm Hg）进行的热处理和/或钎焊操作。

Vacuum Level –"Higher" or "better" vacuum means "lower" pressure. Required levels will

usually be specified by the drawing or material specification, and unless otherwise stated are maximum pressure levels. For conversion: 1 Torr= 1mm Hg = 133 Pascal = 1x103microns. For examples, when 1 micron is specified, a deviation of 0.1 micron is a higher Vacuum or lower pressure limit.

真空度—“较高”或“更好”的真空度是指压强“较低”。需要的真空度通常在图纸或材料标准中有明确规定，且为最大压强度，除非另有规定。转换时，1 Torr= 1mm Hg = 133 帕= 1x103微米。例如，规定为1微米时，0.1微米的偏差则为较高真空度或较低压强极限。

Voided Nonconformance – A nonconformance generated as the result of a clear misunderstanding by the Auditor and struck out as a “void”. Requires rationale for voiding and will require review by Task Group or Staff Engineer. Number assigned should not be re-used.

不符合项作废—“废除”由于审核员的明显误解而导致的不符合项。废除时需要废除证据，并由工作组或主管工程师进行评审。分配的编号不可重复使用。

3. AUDITING TO Nadcap AUDIT CRITERIA 依据Nadcap审核准则实施审核

Since the number of cycles is counted and can lead to an audit failure if it exceeds a threshold defined in NOP-011, Supplier is invited to avoid using eAuditNet as a mail box in order to obtain some explanations from the Staff Engineer.

由于限制周期次数，且超过NOP-011中规定次数后会导致审核失败。建议供应商不要把eAuditNet作为邮箱来使用以获得主管工程师的相关答复。

3.1 Specification Adherence 与标准的符合性

The Heat Treating Task Group identifies industry specifications for use and guidance as applicable.

热处理工作组按照需要对行业标准进行识别以便使用和指导。

Suppliers are not allowed to automatically default to those requirements. They are to adhere to whatever their Customer requires of them by Engineering Drawing or Purchase Order. As a general reference, a matrix of Nadcap Mandating Primes and the specifications they generally require their Suppliers can be found at the end of this document in the Appendixes A & B.

供应商不可主动放弃任何要求，而应该符合客户通过技术图纸或采购订单对其规定的任何要求。总参照最后的附录A和附录B为Nadcap受权的主要客户及其对供应商总要求标准的矩阵图。

3.1.1 Industry Specification Supersession 行业标准的替代标准

Each Prime, and in some cases individual programs within a Prime, have different policies for the acceptance of superseding or replacement industry specifications. There is no default policy. Each Supplier must be knowledgeable of the supersession policy for each individual Prime and program for each job of parts or raw material processed. This knowledge must be documented to the satisfaction of the Nadcap auditor for each job processed.

每个主要客户（有时是主要客户内部的独立项目）对行业替代标准的接受方针不同。没有哪个方针是默认的。所有供应商均应掌握每个独立主要客户和项目对每个部件或原材料处理工作的替代方针。每个完成工作的替代方针必须记录下来以满足Nadcap审核员的要求。

Question: What is the Nadcap Auditor to do when during a job audit they find that the Supplier has a P/N frozen/ fixed planning process signed by the Prime Customer that deviates from the specification referenced in the frozen/fixed planning? See Table below for guidance.

问：作业审核中Nadcap审核员发现，供应商主要客户认可的部件固定策划过程与固定策划中引用的标准相左时，审核员应该怎么办？请参照下表。

Suppliers certify their work to a host of different documents. The requirements of many Customer specifications are different than AMS or MIL specs. Process certifications should only be to the specifications followed.

供应商通过各种文件来验证其工作的符合性。许多客户标准不同于AMS或MIL标准。仅应按照如下标准进行工艺验证：

If a checklist question requires something of a Supplier that is not in their Customer’s requirements, the Supplier must adhere to the checklist question. The checklist is considered to be the established requirements of any Prime mandating Nadcap accreditation. In other words, a checklist / Nadcap requirement is a Prime / Customer requirement.

若审核清单对供应商提出某问题，虽然客户对此未作要求，但供应商也必须回答审核清单的问题。审核清单就是主要客户委托Nadcap认证机构制定的要求，即审核清单/Nadcap要求

就是客户要求。

3.1.2 Spec Cancellations & Supersession标准作废

Suppliers and Auditor must not assume that the latest revision of a specification is the one to be used.

供应商和审核员不可假设当前使用的标准就是最新版本。

Many Primes, for certification and qualification reasons, are required to continue to use prior revisions or even to continue to follow superseded or cancelled documents. Most Primes provide a flowdown to at least their first tier. When in doubt, consult the Prime. All active Task Group member Primes have committed to supplying this information if help is needed.

许多主要客户需要使用旧版文件甚至作废文件用于认证。多数主要客户会向其供应商提供一级文件流程。若有疑问，请咨询主要客户。所有有效工作组会员客户均有义务向需要的供应商提供相关信息。

For ASTM, AMS and other national standards specification revisions, the Heat Treating Task Group has agreed that the Supplier shall, within 90 days, have the latest revision of the specification on site in the absence of other direction from Prime or customer specifications.

热处理工作组声明，在主要客户未提供相关标准指导时，供应商可在90天以内在现场使用ASTM、AMS和其他国家标准的最新版本。

3.2 Auditors General Guidelines 审核员总则

3.2.1 Before the Audit 审核前

The auditor needs to review the following: 审核员需评审以下资料：

上次审核时开具的信件/备注和不符合项报告，以便审核员了解前期关注了哪些方面；

评审供应商程序文件

When the auditor contacts the supplier, the Auditor must request: 审核员须要求供应商：witness during the audit.

供应商实施实际生产或对典型测试材料进行加工，以便审核员能在审核时进行现场审查。

areas in the same Supplier, in case they are spread out.

同一供应商多个热处理工序区域的占地面积和距离，以便判定各工序定位是否过于分散。

Find out if there are any proprietary or Export Controlled processes on site.

检查现场是否有专利或出口管控工艺。

3.2.2 Conducting an Audit 实施审核

The first day of the audit should include a short walk through to see what type of material is in process what the processing capabilities are, and identifying what materials and processes the supplier expects to be running that week.

审核第一天应简单地巡视一圈，了解如下情况：正在加工什么类型材料、加工能力如何、识

别供应商在当前一星期内想要通过什么工艺处理什么材料。

In general, the order of the audit should be: select and do long jobs, select short jobs on floor, witness short jobs, review and witness Pyrometry, perform brazing job audit (when applicable), witness hardness and other applicable product testing, complete the remainder of questions in the checklists, and complete the quality system AC7004 (when applicable). Be sure to thoroughly explain how the entrance and exit interviews are to be performed and what supplier documents are required to be attached to the checklist by the auditor. Also, ensure that the trainees know to conduct a daily out briefing meeting each day to review the NCRs with the Supplier.

总的来说，审核程序应为：选择并实施长作业、现场选择短作业、现场审查短作业操作、评审并现场审查高温测量、实施钎焊作业审核（适用时）、现场审查硬度试验和其他适用的产品测试操作、答复审核清单剩下的问题、填写质量体系AC7004（适用时）。确保审核员解释清楚谈话如何开始和结束，以及供应商需要在审核清单附上什么资料。另外，确保培训人员知道需要每天进行简要会议，以便与供应商评审不符合项报告。

The following steps will help to outline the audit flow: 以下步骤概述了审核流程：

3.2.2.1 Job Selection and Observation 作业选择和观察

Job audits shall be selected to provide a representative appraisal of the type of work to be accredited and try to cover all Primes concerned. Job audits are a good test for the effectiveness of the Supplier’s contract review procedures, process planning and manufacturing con trols. Be careful of customer specific flowdown requirements that may preclude the use of “generic” or “industry-specification” based process plans or cycles.

选择作业审核，以便对需要认证的作业类型提供典型评估，并尽量涵盖所有相关主要客户。作业审核是测试供应商合同评审程序、过程策划和生产控制有效性的一个好方法。注意有些客户的特殊流程要求可替代“通用”或“行业标准”的过程计划或周期。

Survey the facility early in the audit to find enough in-process jobs for a minimum of 4 in-process job audits. Make Supplier aware that other completed job audits will be required if all materials/processes cannot be covered in-process.

在审核前期，对生产厂进行调查以便找到足够的现场作业，最少4个现场作业审核。若现场工序未涵盖所有材料/工艺，则应告知供应商对已完成的作业进行审核。

If a Supplier wants approval for any of the following materials/processes listed in Table III, then an audit must be conducted on that materials/process. It is essential that the Supplier be contacted prior to the audit to ensure he has material in process to cover the scope of approval. If the Supplier does not have current orders in house, he may run “dummy” jobs to the requirements which he wishes to include in the scope of his audit. This needs to be agreed to prior to the start of the audit.

若供应商需要对表3中任一材料/工艺进行认证，则必须针对选定的材料/工艺进行审核。在审核前应与供应商沟通，确保现场加工的材料中包含需要认证的范围，这点很重要。如果供应商内部没有订单，则可依据需要审核范围的要求进行模拟作业。这点需要在审核前协调一致。

The job audits can be either long or short. If an in-process job is not available, then the auditor can select a Supplier's completed job. As many job audits as necessary to completely document a Supplier's capability should be performed. This applies to both initial and reaccreditation audits.

作业审核可长可短。如果没有现场作业，则审核员可以选择供应商已完成的作业。审核应尽可能多的作业，以便完全记录供应商能力。既适用于初始审核也适用于复审。

Table III - Job Audit Selection表3—作业审核的选择

回火和/或应力消除本身不可作为作业审核项目，除非这是供应商唯一的工序。对同一部件编号的固溶处理和时效应视为一个长作业审核。

Preference should be given in selecting jobs to Subscribing Prime members of the Heat Treating Task Group and to best represent all concerned Primes. It is not acceptable that all job audits are performed on items concerning only one Prime when several Primes are identified as customers. 在为热处理工作组会员客户选择作业时，应有侧重点，以便能代表所有相关的主要客户。当为多个主要客户供货时，执行的所有作业审核不可仅考虑一个客户的项目。

Preference should also be given to non-proprietary jobs and/or non-ITAR/EAR when choosing to do an audit. If there is no choice and a proprietary job has to be chosen, a record of specification requirements, set values, and actual values should not be placed in the audit report unless agreed to by the Supplier.

选择执行审核时，还应侧重于非专利作业和/或非国际武器贸易条例/出口管理规章的作业。如果别无选择，而必须选择专利作业，则除非征得供应商的批准，否则不可将标准要求、设定值和实际值记录在审核报告中。

Instead, the Auditor shall verify the specification requirements versus the shop paper requirements versus the actuals and make a statement that the condition found was acceptable. If an NCR exists, it is acceptable to record the variance from requirements. Please refer to NIP 7-07 for additional information on ITAR/EAR.

反之，审核员应对标准要求、生产工艺卡要求和实际情况进行核对，声明核对的符合情况。如果有不符合项，可在不符合项报告中记录与规定要求的偏差。更多关于国际武器贸易条例/出口管理规章的信息请参考NIP7-07。

Long job audits shall be performed on completed aerospace jobs. Long job audits should be performed on jobs completed within the last four months. Only if there is no other work available should a completed job be more than 6 months old. If it is older than 6 months:

应对已完成的航空作业实施长作业审核。长作业审核的项目应为前4个月内完成的作业。仅当前4个月内无相关作业时，才可选择6个月以前完成的作业。若对6个月以前完成的作业

进行审核，则：

Make a specific note 特别注释

Make an assessment of the Supplier's capability to perform the process of H/T the material

对供应商材料热处理工艺能力进行评估。

When looking at an "old" job, do not write up an NCR if the current procedures would have addressed the problem

在对“旧”作业进行审核时，若现行有效的操作规程已纠正了问题，则不应开具不符合项报告。

At least four short job audits should be performed on in-process jobs if eight in-processes are not available. If it is impossible to witness a minimum of four in process jobs, a Staff Engineer must be contacted. The Staff Engineer will give direction to the Auditor in proceeding with the audit and proper documentation in the cover letter. The remaining jobs must be selected from the completed jobs since last certification was issued.

如果现场作业不到8个，则至少对4个现场作业进行短作业现场审查。如果连4个现场作业都无法满足，则必须与主管工程师进行沟通。主管工程师会指导审核员继续进行审核，并在附信中加入适当证明文件。余下的作业必须从自上次颁发证书以来所完成的作业中进行选择。

A minimum of at least one in-process job needs to be witnessed to observed racking details, placement of load thermocouple(s) (if used), placement of the load in furnace, quenching and unloading. The balance of the in-process jobs may be in soak, in cool down cycle or just completed.

至少应对一项现场作业进行现场审查，以便观察料架结构、负载热电偶布置（适用时）、炉料的布置、淬火和卸料过程。现场作业的替补项目可以是保温、冷却周期或刚刚完成的保温或冷却过程。

For nitriding and/or carburizing, at least one job audit for each process must be selected from historical/completed jobs in order to allow the auditor to witness all inspections required (microstructures, hardness, case depth, etc.).

对每个渗氮和/渗碳过程，至少从历史/已完成的作业中选择一个作业审核，以便审核员对所有规定的检验（微观结构、硬度、硬化深度等）进行现场审查。

3.2.2.1.1 Other important considerations: 其他注意事项

Supplier selection of long jobs to be audited should not be permitted. The auditor can advise the supplier what types of material, the primes, and the specifications, and then request the supplier to identify several jobs which satisfy these requirements. The auditor then can choose jobs from those which have been identified or pull the completed jobs from shipping.

供应商不可自行选择需要审核的长作业。审核员可为供应商提供材料类型、主要客户和标准的相关信息，然后要求供应商识别多个满足此要求的作业。这样审核员就能从已识别出的作业中适当选择，或防止已完成的作业发货。

For short jobs in a captive shop where eight jobs are not available to be witnessed, the auditor is to select the jobs from either a shipping or furnace log. The auditor should witness as many in process jobs as possible. In a manufacturing house, it may be necessary to ask the supplier to have several people help to pull the required paperwork. Many times the required paperwork is in several places which are spread out.

不能对审核现场的8个短作业进行审查时，审核员应从发货日志或炉子日志中选择相关作业。审核员应对尽可能多的作业实施现场审查。有时供应商需要在生产厂安排多名人员准备搜集需要的资料。通常，需要的资料都分散地存储在不同地方。

It is advisable to walk the floor several times a day during the audit. Once first thing in the morning, once at mid-morning, after lunch, mid-afternoon, and at the end of the day. This is necessary to encompass all of the furnaces and processes which the supplier needs to have covered in the scope of the audit. Being on the shop floor often affords the opportunity to select jobs which are not being run correctly, and gives a feel of the frequency of how often this happens. In manufacturing houses where the Heat Treating Department is far away or very spread out, try to set up a desk near the shops in a clean area, and work from here. Have numerous conversations with the operators to determine if they know what to do and how to do it in accordance with the procedures. Do not let the management answer for the operator. The operator is expected to answer the questions by himself/herself. Management can help with translation only when operator does not understand the question posed by the Auditor.

审核时，建议在生产现场多走几趟。早上第一时间、早中、午饭后、过午、傍晚下班前。审核员的审核范围要涵盖所有炉子和工艺。在生产现场总能有机会找出未正确操作的作业，并能察觉出这种问题发生的频率。如果热处理科室距离生产现场很远或比较分散，则尽量在现场附近一个干净的区域设置一张桌子在这里办公。经常与现场操作人员交流，以便确定他们是否清楚要做什么，如何依据规程操作。不要让管理人员替操作人员回答问题，而是让操作人员自己回答问题。只有当操作人员不理解审核员提出的问题的时候，管理人员才可以协助他解释这个问题。

Review and discuss the work instructions as the audit is progressing through each area to ensure that procedures meet the requirements in the checklist. While the supplier is collecting all of the required paperwork and data, use this time to observe the hardness inspector performing periodic checks and actual part testing.

因为审核是贯穿所有方面进展的，所以需要对作业规程进行评审并讨论，以确保规程满足审核清单要求。当供应商收集所有需要的资料和数据时，利用这个空档来观察硬度试验员进行周期检查和实际的部件测试。

If the shop has three shifts, stay late one day, come in early another, and at least get a feel for the work practices. Be especially conscious of handoffs between shifts. Look for the challenging or potential problem jobs.

如果生产厂实行三班倒，则需要有一天留到很晚，而另一天早来，至少了解一下作业方法。尤其应注意交接班。查找有难度的作业或潜在的问题作业。

Be present for the job prior to being charged into the furnace and/or immediately after the job is pulled to verify the racking and T/C placement. Look into the furnace when the job is being pulled and/or loaded. Observe the multipoint positioning and/or load T.C. location vs. TUS high and low.

作业装炉前和/或刚刚暂停作业后来到现场以验证料架和热电偶摆放情况。作业暂停时和/或装炉时观察炉膛内部。观察多点布置情况和/或负载热电偶位置与TUS高温点和低温点。

Evaluate load T/C position, whether they are located or attached and how. Verify that all this is documented in procedures.

评价负载热电偶的位置，如何放置或附着。验证这些内容在操作规程中是否有相应描述。

The quench must be witnessed. This is mandatory for Aluminum, Titanium, and Alloy Steel. Pay attention to quench delay times (applicable to both measured and recorded delays). Also, pay attention to orientation of parts to preclude trapping gasses and to entrapment of fluids in fixtures.

对铝合金、钛合金和合金钢的淬火过程实施强制现场审查。注意淬火延迟时间（适用于测量延迟和记录延迟）。同时，注意部件的朝向以防止隔气，并注意夹具是否截留淬火液体。

Compare the indicating temperature with the recorded temperatures, multipoint, over

temperatures, and recordings for short jobs. Verify that all of the instrumentation is functioning properly. Witness jobs for operator accuracy and consistency in determining heat up times and soak times vs. thickness/load size, furnace type and size, etc. Verify that operators are following procedures.

把显示的温度与记录的温度、多点温度、超温、短作业记录进行对比。验证是否所有仪表运行正常。实施作业现场审查，以确定操作者判断加热时间和保温时间与负载厚度/尺寸、炉子类型和尺寸等的准确度和一致性。验证操作者是否按照操作规程实施操作。

Watch automated start of soak to ensure the program starts soak at the correct time.

观察保温过程自动开始，以确保程序在正确的时间开始保温。

Verify that the posted offset is correct and that the operator is entering the posted offset correctly.

验证张贴出的补偿数据的正确性，和操作者按照张贴出的补偿数据进行输入的正确性。

Verify that the procedure for offsetting is correct and that the operator is following the procedure.

验证补偿规程的正确性，和操作者按照规程进行操作。

Verify that furnace instruments are adjusted/biased correctly when done by in-house personnel.

验证内部人员对炉子仪表校准/调整的正确性。

When performing job audits assure that all customer specification requirements are flowed down correctly and that the requirements such as time, temperature, and periodic testing are being met.

作业审核时，确保已准确遵照所有客户标准要求，且已满足时间、温度和周期测试等要求。

3.2.2.1.2 Auditing Notes for Job Audits 作业审核的审核备注

Identify alloys/materials specifically-not just by specification number.

明确识别合金/材料—而不仅是产品标准号。

Ensure that material is heat treated in furnaces that meet the uniformity requirements of that material (i.e. material requiring ±5 F ovens are not aged in ovens that only meet ±10 F limits).

确保材料是利用满足其均匀性要求的炉子进行热处理的（即：要求±5 F炉子的材料绝不可以在仅满足±10 F极限的炉子中进行时效）。

Solution heat treating and aging of the same aluminum part number may be treated as two separate short job audits, especially since two different furnaces will likely be used. There are some that are used for both solution treat and age but this is not common.

同一铝合金部件号的固溶热处理和时效可视为2个独立的短作业审核，尤其是由两个不同的热处理炉进行处理时。有些炉子即可用于固溶处理，也可用于时效，但这种情况不常见。

Each question in each job audit must be answered. For example, Pre Heat Treat Requirements; Pre Heat Treat Requirements on shop paper, Pre Heat Treatment actually performed, must be answered. If there are no requirements, write "NONE" or "NONE SPECIFIED".

所有作业审核的全部问题均需要回答。例如：预热处理要求；生产工艺卡上的预热处理要求，实际操作的预热处理均需要回答。如果没有相关要求，填写“无”或“无明确规定”

If the customer requirements are not specified, the heat treaters must provide objective evidence of the origin of the requirements imposed.

客户无相应要求时，热处理商必须提供强加要求来源的客观证据。

Specification, B/P and/or P.O. calls out a minimum time only, it is permissible but NOT required that the Supplier specify a maximum. The Supplier may simply flow down the minimum time requirement to the shop paperwork. If Specification, B/P and/or P.O. calls out a single time only and does NOT state Minimum/Maximum, or default tolerance, the Supplier Shall have a positive default in their procedure.

产品标准、计划和/或采购订单仅规定最短时间，供应商可以但不强制自行规定一个最大值。供应商可以仅把最短时间要求记录在生产工艺卡上。如果产品标准、计划和/或采购订单仅规定一个时间极限，而不是最短/最长时间极限，或正负偏差，则供应商应在其操作规程中规定上限值。

Either a tolerance or a statement that time at temperature shall be considered as Minimum or Maximum.

达到某温度的时间公差或描述均可视为最短或最长极限。

This also applies to a “Fixed Process”. The only exception is for a fully automated process outside the control of the operator. A single time may be specified in such cases.

这也适用于定型工艺。但不受操作者控制的完全自动化工艺是唯一例外情况。这种情况会规定一个时间极限。

The preferred practice is to list the date & time of day on the recorder chart. Additionally, there shall be traceability from the chart to the heat treat log, for example, by using a job number and date or unique job number.

建议做法是在记录图表上列出当天日期和时间。另外，图表还要可追溯于热处理日志。如利用作业编号和日期，或唯一的作业编号。

3.2.2.2 Review of Pyrometry 高温测量评审

Verify that refrigeration controls, logs for time-in/time-out, etc. are correct.

验证冷藏控制、冷藏开始/结束时间日志等的正确性。

Review TUS results. Ensure that the TUS is being performed in a manner which reflects the most severe operating conditions in production. Verify that all production overshoots also appear as overshoots during a TUS. Assure that there have not been any setting changes. Make sure that a recurrent temperature pattern is understood.

评审TUS测量结果。确保TUS是以针对生产中最苛刻操作条件的方法进行测量的。验证所有生产过烧的情况也在TUS测量时显示为过烧。确保设置不变。保证了解周期性温度变化模式。

Witness TUS set-up when possible. Verify that the TUS racks are the same size as the work zone. Ensure that the T/Cs are not bent inward. Verify the correct application of correction factors based on the way they are being reported on the T/C certification.

可能的话尽量对TUS准备过程进行现场审查。验证TUS料架与工作区尺寸相当。确保热电偶内部无弯折。验证是否准确地按照热电偶质量证明书上规定的方法应用修正系数。

Witness probe checks during the audit, preferably for each of the different types of furnaces which the supplier has in use. Verify that actions are being taken if the difference is greater than specified in AMS 2750 for the furnace class and instrument type.

审核时，最好针对供应商在用的每种不同类型的炉子进行热电偶测量端检查作业的现场审查。验证当偏差超过此炉子等级和仪表类型在AMS2750中规定的数值后，供应商是否采取了相

应措施。

Check a sampling of calibration certificates and even thermocouple wire certificates. Ensure that deviation/errors or corrections are applied correctly, and when the calibration is performed by an outside source, verify if the Supplier’s authorized technical and Quality functions approve documents.

对校准证书甚至热电偶线的质量证明书进行抽样检查。确保偏差/误差或修正系数应用的正确性。若由外部机构进行校准，则需验证供应商授权的技术人员和质量人员是否对此类证书进行了验收。

Make sure that deadband (per BAC5621 only) and sensitivity are understood and correctly defined in procedures.

确保了解并在操作规程中准确规定盲区（仅依据BAC5621）和灵敏度。

Although not part of Pyrometry, verify carbon potential and other atmosphere controls and tolerances are correct.

验证碳势和其他气氛控制和公差的正确性，即使这部分不属于高温测量内容。

3.2.2.3 Review of Required Records and Data 对规定的记录和数据进行评审

Observe the equipment and records to see if preventative maintenance such as replacements of sensors, oil and filter changes, etc., appear to be done as required.

对设备和记录进行察看，确定如传感器、液压油和过滤器的更换等预防性维护措施是否满足要求。

Verify that all required tests, such as probe checks (System Accuracy Tests) appear to be done and probe (System Accuracy Test) temperatures match actual furnace temperatures.

对所有规定的测试进行验证，如验证操作者对测量端是否实施了检查（SAT）以及测量端（SAT）温度是否符合实际炉温。

Review dew point logs, leak up rate records, maintenance records, etc. Go to the location where these records are being maintained. Do not request the supplier to bring the records to the auditor. The auditor should go to the data

审核员应亲自到露点日志、泄漏率记录、维护记录等存放的地方实施评审，而不要让供应商把记录搜集起来拿给审核员。

3.2.2.4 Cleaning and Plating 清洗和电镀

Cleaning must be observed. Verify bath temperatures, composition, agitation, etch rates, etc.

必须察看清洗过程，验证清洗槽温度、成份、搅拌、腐蚀速率等。

3.2.2.5 Brazing 钎焊

Each step of the brazing process must be witnessed. Verify the set-up, assembly, application of filler metal, etc. Verify the checklist requirements are being met for all applicable brazing process steps which are performed in house. An in process brazing job must be witnessed. If the supplier does not currently have brazing approval from a prime and there is not any in house work to evaluate, coupons or scrap parts can be run (in the case for initial approval only). The entire flow down and brazing process to the prime specs must be simulated in this event.

必须对钎焊过程的所有步骤实施现场审查。对焊料的组合、装配和应用等实施验证。对供应商内部钎焊过程的所有步骤实施验证，判定其是否满足审核清单要求。必须对正在进行的钎焊作业实施现场审察。若主要客户暂未对此供应商的钎焊工艺授权，且企业内部也没有哪项

作业可以评估，则可以利用样件或报废件代替（这种情况仅适用于初始授权），即主要客户产品标准的整体流程和钎焊过程必须以模拟方法进行。

3.2.2.6 Testing 测试

Witness hardness testing, including periodic tests on the test blocks and testing of parts. Witness the changing of an anvil and/or penetrator and verify that the reseating is done. Verify penetrator examination. Verify that the periodic check after a change of either the penetrator or load is done properly and in accordance with the procedure.

对硬度试验进行现场审查，包括对试块的周期测试和对部件的测试。对砧头和/或硬度计压头的更换过程实施现场审查，验证位置的调整。对硬度计压头检查过程进行验证。硬度计压头或负荷变更后，验证是否按照操作规程妥善进行周期检查。

Verify test block serial number change recordings and the test block has approximately the appropriate number of indentations.

验证试块序列号变更记录，并验证试块压痕数量基本适宜性。

Verify 100% hardness testing or the required sampling is being performed by examining indentation on the parts in final inspection or shipping. Witness dew point checks and leak checks if they are at all questionable or time permits.

对100%硬度试验进行验证，或在最终检验或发货时，通过检查部件上的压痕验证是否按规定进行了取样。

Witness a polymer refractometer test.

对聚合物折射计测试实施现场审查。

Witness parts testing for conductivity. Also witness the stabilization and calibration checks.

对部件电导率测试、稳定性检查和校准检查实施现场审查。

Talk with inspectors and ask questions to assess if they understand the internal procedures.

向检验员提问，评价其对内部规程的了解程度。

3.2.2.7 AC7004

It is important to realize, when you are performing an AC7004 audit, you may be performing it for other disciplines as well. The audit should verify the entire quality system as it relates to all special processes, not just the technology with which you are most familiar. Look in their MRB Cage to assure everything is identified correctly. Ask about root cause and action to prevent recurrence.

AC7004审核时，一定要同时参照其他相关规定。因为审核与所有特殊工艺有关，而不仅是你最了解的技术部分，所以审核时应验证整个质量体系。检查供应商的材料评审区域，确保所有材料均准确识别。询问根本原因和预防再次发生所采取的措施。

3.2.3 NCR Writing开具不符合项报告

Writing NCRs. Make sure they are clearly written. It is better to include more information to ensure that they are clearly written at the expense of being concise. Define how and by how much the condition found deviates from the requirement.

开具不符合项报告。确保描述清晰易懂。最好增加更多内容，但要确保简明扼要。说明如何发现的偏差和偏差程度。

Combine NCRs whenever possible. Ensure that the root cause and action to prevent recurrence will be the same for those which will be combined.