ALUMINIUM CASTING PROCESS

AUDIT QUESTIONNAIRE
(Copy for Suppliers)

This document explains the advanced requirements expected by GE Grid Solutions for each theme assessed during a Qualification Audit
Maximum rating is given only when formal evidences have been checked by auditors showing continuously improved results of practices

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Level 2

Theme
(8 - 9 - 10)

Management & Organisation

Management & Organisation

1.1 ISO 9001 Certification Certified to ISO 9001 for several years

Indicators are analysed on a regular basis by the management. Trends are taken into account for improvement actions, new objectives are set as previous ones are
1.2 Integrated Management System (IMS) / IMS performance follow up
reached

1.2.1 Definition of duties and responsibilities of all functions related to IMS Roles and responsibilities definitions also include back-up responsibilities when people are out of the office

Audits are used as a tool for Continuous Improvement

1.3 Internal IMS Audits

Management and control of internal and external documentation (review, update,

1.4 Procedure in place. List of documents and revisions are up to date. Retention times are defined in the procedure
recording and distribution)

1.4.1 Data archiving and backup Documented rules exist. Documents as well as computerized data are covered. Storage duration are defined and complied with

Environment, Health & Safety

Environment

2.1 ISO 14001 certification Certified to ISO 14001 for several years

Indicators are implemented for all relevant environmental issues. Regular trend analysis lead to implement preventive actions to produce continuous improvement
2.2 Environmental incident management
(proactive)

2.3 Environmental risks and regulatory requirements management All environnemental risks and regulatory requirements are covered by action plans

Health & Safety

2.4 ISO 45001 certification Certified to ISO 45001for several years

Indicators are implemented for all relevant H&S issues including near misses. Regular trend analysis lead to implement preventive actions to produce continuous
2.5 Accident management
improvement (proactive)

2.6 Risk management All H&S risks and regulatory requirements are covered by action plans

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Sustainability

2.7 Carbon Footprint and Greenhouse Gases (GHGs) SBT Committed & Tracking of scope 1+2+ part of 3 and targets to reduce

2.8 Renewable Electricity More than 50% Renewable

2.9 Life Cycle Assessment (LCA) Certified LCA &/or LCA done for each new product

2.10 Circular Economy Policy At least 2+ procedures covered.

Tender and Project management

Tender

3.1 Tender review 9 areas of Project Management have been reviewed. Tender has been approved by the various functions of the future project team. Formal records are kept

All customer requirements are investigated. Compliance is assessed with the proposed products. Each deviation to the original requirement is explained and risks are
3.1.1 Customer requirement's review
assessed

3.1.2 Suppliers / subcontractors involvement in tender phase Information communicated by suppliers / subcontractors are taken into account during tender phase

3.1.3 Financial offer Complete Project cost breakdown is defined and monitored including profit and overheads. Return of experience of past projects is taken into consideration

3.2 Contract review Modifications since the last offer are systematically analysed et recorded. Mitigation actions are validated with the customer

Design

4.1 Design rules All the design rules and ROE sheets are written and individually available. ROE sheets are used and allow revision of the design rules

4.1.1 Standardisation Commonality of components across products or derivatives is optimised. Action plan is in place to deploy them to all products where applicable

4.2 Input data Design reviews for input data validation are carried out systematically

4.2.1 Subcontracted design A system is in place to manage the customer QCD requirements. Regular common design reviews take place between supplier and sub-contractor

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4.3 Design reviews Design Reviews are planned and carried out regularly. Detailed minutes of meetings shows the activities reviewed. Open issues are under control

4.3.1 Design reviews management Risks are assessed and mitigated and the action plan is reassessed at each review

Verification and validation are planned from the very beginning of the project, the verification and validation outputs are validated by the customer, technologies are
4.4 Design verification and validation
approved

4.5 Design changes Design changes consequences are assessed. This assessment includes the effect of changes on constituant parts or products already delivered

4.6 Product qualification A formal qualification process exists for all components. It is applied within agreed deadlines

Sourcing & procurement

5.1 Sourcing procedure / policy Sourcing policy is derived from the company policy and influenced by the market segmentation. Targets are set for each commodity

All the new supplier / subcontractor processes are audited.

5.2 Supplier / Subcontractor and /or process/product approval
Preventive measures to combat counterfeiting are taken into account during assessment/selection of new suppliers

All information including technical and QCD requirements are defined. Forecasts are sent on a regular basis to the subcontractors. Very few late deliveries that affect
5.3 Purchase order / contract management
production

5.3.1 Purchase order acknowledgement A process is in place to obtain from the suppliers / subcontractors the order acknowledgement in due time The PO form asks for confirmation from the supplier

5.4 Supplier / Subcontractor performance assessment and review A system is in place for all the suppliers / subcontractors and QCD indicators are monitored

Supply chain

Planning organization and procedures are in place and known by all concerned players. Team defined in the planning organization. Back-ups defined in case of leave or
6.1 Planning department organization
absense in the team

6.2 Supply chain capacity Operations are streamlined. Global capacity can absorb consequences of unpredictable events (except major ones).

6.3 Planning (short, medium and long term) for production and deliveries Delivery dates proposed into commercial offers are calculated function of production planning

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Indicators are analysed on a regular basis by the management. Trends are taken into account for improvement actions. Results are reviewed during management reviews.
6.3.1 Ontime Delivery performance follow-up
New objectives are set as previous ones are reached

Production Management (PM)

6.4 An ERP system is implemented. It manages the overall production plan. It covers the whole supply chain
(stocks, production needs calculation, manufacturing orders, purchase orders)

6.4.1 Management and monitoring of production flows Production is pulled. Monitoring of the performances is daily updated. Préventive actions are implemented to avoid problems on production flows

Manufacturing
General points in manufacturing
7.1 Production departmant organisation Production engineering function is leader of improvement actions on manufacturing and control processes
7.2 Traceability (material, product, process) Rules for treacability details exist for all the products. They efficiently cover material, product and process matters
The measure of the performances is analysed and reviewed and action plans are implemented (full PDCA cycle)
7.3 Qualification of inspectors
Inspectors are certified according to international inspection standards (i.e. : COFREND / COFRAC) for NDT
Management of manufacturing process changes (including suppliers /
7.3.1 Process FMECA is updated and the action plan is successfully implemented. Transversal analysis on other processes and /or similar products is performed
subcontractors)
7.4 Maintenance / Machine break down management system A formal productive maintenance system exists (TPM) / Machine break downs are recorded and analyzed. Corrective actions are implemented.Results are tangible
7.4.1 Maintenance of furnaces There is a formal Total Productive Maintenance (TPM) system
7.5 Calibration of inspection and testing equipments and capabilities Operators are well aware of calibration need for inspection equipments. Equipments that are out of date are systematically removed from workstations
The supplier has internal certified people to perform periodical checkings with stallion blocks
7.5.1 Spectrometer : periodical calibration with aluminium stallion blocks
Spectrometer maintenance is followed by a certified company
Availability and implementation of safety requirements and personal protection
7.6 Health and safety matters are considered by everybody. Improvements are tangible
equipments (PPE) at the workstations

7.7 Improvement of manufacturing and control processes Improvement tools (technical awareness, re-engineering, flux, 5S, SMED, …) are widely implemented. Results are tangible

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Incoming goods areas

A dedicated procedure exists for special batches (prototypes, test batches, initial samples …)
Procedure includes provisions against risk of counterfeit items and documents
7.8 Administrative procedure for reception of incoming goods
A dedicated procedure exist to confirm that received raw material certificate, test report and technical sheet are authentic when supplier does not receive the original
document

Operators are well aware of using only up to date documents. Out of date documents are removed from workstations. Control plans are updated in relation with return on
7.9 Availability of working instructions and control plans
experience

Feedback given regarding the efficiency of work instruction and control plans. Updated if necessary. Results are used as available to update the subcontractors
7.9.1 Compliance with working instructions and control plans
performance indicators (Quality and On time delivery)

7.9.2 Incoming Inspection For each batch, a spectrometric test is performed on 1 sample to crosscheck material supplier datas.

Raw first fusion material for ingots

Raw material : new ingots and returned materials(inlets+scrap)management
Certificates checking or spectrometer inspections are performed for all deliveries
7.9.3 Batches/load management
Raw material are identified
Quality control
FIFO management for all raw materials

7.9.4 International Standards Can cover all of standards requested by customers

7.10 Quality status and segregation of non-conforming products Feedback on corrective actions implemented by suppliers / subcontractors is available in the incoming area(s)

7.11 Physical stocks management Inventories are checked on a cycle counting basis. Stock accuracy indicators are implemented. Stock level is minimized

Internal manufacturing areas

Material preparation
Identification of first fusion / returned materials before melting
7.12 The ratio between new ingots and returned material is defined by the result of sprectometry performed on each melting furnace.
Ratio first fusion / returned materials : weight or % sharing
A periodical checking / inspection of the furnaces regulation system is performed to guarantee temperature reliability
Melting / Holding furnaces management
7.13
Temperature management and regulation
Returned material and new ingots are melted together in same furnace(Continuous melting furnace or rotated furnace) according to the ratio defined in material formula
7.14 Traceability during melting process Rules for traceability details exist and are actually implemented for all materials
7.15 Contingency plan for power shortage (electrical, gas) and overlimit temperature Contingency plan allows the activity to be started again within an acceptable time period after a major incident

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Alloy
Metallurgy

7.16 Working Instruction Instructions are reviewed and updated in relation with return of experience.

7.17 Refining Treatment and checkings are performed in the holding furnace just before pouring operation

7.18 Modification Treatment and checkings are performed in the holding furnace just before pouring operation

Policy / reaction plan in case the chemical composition is not inside material
7.19 Supplier can do adjustements depending on the results of refining or modification operation
standard bounds after refining / modification

7.20 Degasing (hydrogen removal) Automatic permanent degasing with rotor and checked by double weighing

7.21 Slagging off / Skimming Treatment with a flow in the holding furnace during the degasing operation

7.22 Spectrometry A spectrometric control is performed for each holding furnace and results are archived

7.23 Pouring time and temperature management A maximum time value after material preparation is fixed, monitored by operators and a decision rules are formalized in case the time limit is exceeded
Casting
Sand (molds + cold box cores)
7.24 Management Instructions are reviewed and updated in relation with return of experience.

The sand is prepared and reprocessed through a automated station which managed major parameters

7.25 Preparation Additionnal checked items :

- density
- dimensionnal stability after shearing test

7.26 Reprocessing The rate of resilient resin and the cleanliness are measured in used sand and the mix between old sand and new sand is adjusted during automic preparation with resin

Sand cores
Technology: hot box / cold box cores
7.27 Number of cavities Integration of chillers in the cores
Integration of chillers
Storage conditions
7.28 FIFO management of the cores
Layer management

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Die casting mold

The layer is checked and adjusted considering casting operator appreciation and experience
7.29 Die mold dressing
Layer aspect and thickness are monitored

7.30 Die mold temperature Temperature is checked in several points and monitored by both heating and cooling systems

Die lifetime management according to the manufactured quantities

7.31 Die mold management and

Checking and maintenance of molds at each batch end

Sand casting mold
Pattern lifetime management according to the manufactured quantities

7.32 Pattern's storage and

Checking and maintenance of patterns at each batch end

7.33 Identification of the mold The identification provides a good traceability on production

Identification of the accessories associated to the mold : chillers, filters, gatings,

7.34 The identification provides a good traceability on production
exhausting systems …

7.35 Coating thickness and pre-heating The sand mold is pre-heated before pouring to prevent from thermical shock between cold sand and hot liquid material

Runner sizing
Sizing rules
Experience
7.36 The design is approved with CAD casting simulation and then on physical part
CAD casting simulation

7.37 Filters integration In addition to their filtering function, the filters are placed in the mold so that they will calm down the material during pouring
Chillers

7.38 Sand mold casting Management of recovery and reintegration of chillers in the flow after shake-out

7.39 Sand cores Management of recovery and reintegration of coolers in the flow after shake-out

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Casting process
Die casting:
Automated casting, tilting casting molds, low pressure casting
7.40 mold filling : pouring operation
Sand casting:
Presence of mechanisms to calm down the material by the design, to break the jet (flat on the funnel) and to maintain the material hot (insulating hot tops, exothermic
powders)
Working instructions dealing with:
Temperature, Humidity
7.41 Instructions are reviewed and updated in relation with the return of experience and customers' request
Melting temperature
Pouring speed
The storage period of test barrs is under management.
Test barrs for tensile strenght specimen:
7.42
Traceability / Quantity / Size / Pouring date
The supplier is able to provide the material characteristics and corresponding test barr on Customer demand.
Accessories / fittings
7.43 Toolings Operators are trained to the preparation and use of the tools
Finishing
Shake-out

7.44 Means Vibrating table and thermal shake-out furnace

Deburring

7.45 Means Cutting operations are performed on an automated cell for all parts

Heat Treatment
The heat treatment performance is guaranteed by a 100 % test : thermal paint on parts OR routine test OR punch code
7.46 Control and traceability
The risk of mix between treated and untreated parts is very low or null (straight line process flow)
The test bars can cover all of the holding furnace and followed the relevant same products from same furnace located in the same place in the HT and the quantity can
7.46.1 Test bars policy ( location , batches , quantity etc)
cover all of necessary testing and storge for the traceability
7.46.2 Emergency plan identification if power off and temperature out of limited The regular preventive maintenace is implemented and the equipment will be with the automatic alarm if failed
7.46.3 Temperature uniformity evaluation Temperature uniformity evaluation is imploemented by thridy party or equipment manufacturer as a regular roles to monitor the continuous capacablity
7.46.4 Qualification of operators All formal processes conducted by certified operators. All certificates are valid. Certificate validity is monitored closely. Operators are recertified before expiry date
Corrective actions taken, analysis done. If HT is outsourced, feedback on corrective actions implemented by suppliers / subcontractors is available in the incoming
7.46.5 Segregation of products that have failed HT
area(s)

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Validation
End line control

7.47 Hardness 100 % measurement on parts in critical areas

X-Ray inspection by sampling on each casting batch.

7.47.1 Not Destructive Testing (NDT)
In-house X-Ray expertise in radiography (physical films) according to ASTME 155
2 test barrs poured with the part
7.48 Mechanical characteristics : RM, Rp0,2, A%
The 2nd test bar is archived ensuring part's traceability
7.49 Dimensional 3D measurement to check one part per casting batch

100 % defects analysis

7.50 Visual
defects database is updated according to Customer claims

7.51 Spectrometry A spectrometric control is performed for each holding furnace and results are archived

7.52 Hydro testing Operators skills are formalized and some operators are formally recognized as trainers for new comers
7.53 Hydrogen detecting equipement :periodical checking Hydrogen detecting equipment maintenance is followed by a certified company
Operators skills are formalized and some operators are formally recognized as trainers for new comers
7.54 Helium leak testing
The supplier can calibrate the station with a calibrated-leakage-tooling
General criterias
7.55 Project management of prototypes, initial samples, models parts All the product parameters implemented for manufacturing / inspection of these components are recorded
7.56 Final inspection of prototypes, initial samples, models parts Results of final inspection program and FAI are used to improve the products' design
Sub-contracted manufacturing

7.57 Sub-contracted operations management Sub-contractors are selected within the subcontractors panel. Only selected are sub-contractors which have the delegation for inspection.

7.58 Management of tests performed off-site (laboratory/specific tests) Laboratories are selected within the approved list. Selected laboratories participate to the test program definition

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Machining

7.59 Availability of working instructions and control plans Operators are well aware of using only up to date documents. Out of date documents are removed from workstations

7.60 In-process control plan Control plans are updated in relation with return on experience and manufacturing processes FMECA

7.61 Compliance with working instructions and control plans Feedback given regarding the efficiency of work instruction and control plans. Updated if necessary

7.62 Formalization, recording and availability of the inspection results Test results are used as available to update the process performance indicators

7.63 Quality status and segregation of non-conforming products Feedback on corrective actions implemented is available in the workshop(s)

7.64 Work Order - Route Card Work Order - Route Card is stamped by operators at each manufacturing / inspections operation

7.65 Prototype, initial samples, models parts management All the process parameters implemented for manufacturing / inspection of these components are recorded

7.66 Inspection equipments capability Certificates of special operators are available with the operator

Final testing and/or acceptance areas

7.67 Availability of working instructions and test programs and/or final control plans Operators are well aware of using only up to date documents. Out of date documents are removed from workstations

7.68 Final control plan Control plans are updated in relation with return on experience and manufacturing processes FMECA
7.68.1 Test programs (type and routine) Test program are updated in relation with return on experience and products FMECA

Compliance with working instructions and test programs and/or final control
7.68.2 Feedback given regarding the efficiency of work instruction and control plans. Updated if necessary
plans

7.68.3 Formalization, recording and availability of the test results Test results are used as available to update the process performance indicators
7.69 Quality status and segregation of products that have failed the final tests Feedback on corrective actions implemented is available in the test area(s)
7.70 Testing documents file The testing documents file is stamped by operators at each test operation
7.70.1 Test of prototypes, initial samples, models parts Type results are used to improve the products' design

7.71 Test equipments capability Test equipments are regularly upgraded / replaced in order to incorporate the most recent technologies

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Storage,packaging and dispatch areas

7.72 Availability of working instructions Operators are well aware of using only up to date documents. Out of date documents are removed from workstations

7.73 Compliance with working instructions Feedback given regarding the efficiency of work instruction and control plans. Updated if necessary

7.74 Packaging documents file The packaging documents file is stamped by operators at each operation

7.75 Storage and handling conditions Storage conditions are reviewed and improved function of return on experience

Non conformity management

8.1 Non Conformities (NC) management system Also described in the system is the management of preventive actions

8.2 Deviations management Deviations are proceeded only by customer approval. Parts with accepted deviations are visually identified

8.3 Control of supplier / subcontactors NC Preventive action plans are implemented by supplier / subcontactors. Results are tangible

Results of preventive actions are tangible

8.4 Control of internal NC
NC process includes possible counterfeits products

8.5 Control of customer claims Trends and result of preventive actions are tangible and reviewed during management meetings
8.6 Non-quality costs measurement Results are continuously improving
After sales & Services
9.1 After sales and service strategy Strategy clearly defined, with Key Performance Indicators in place and continuously improved
9.2 Guarantee period Dedicated organisation in place. Proactive activities conducted and customer informed about potential failures.
9.3 Contractual commitment on guarantee period Data bases are in place and statistical analysis conducted regularly to calculate Reliability, Availibility data. Data are used in tender phase to increase reliability of costing.
9.4 Repair Specific equipment are used for the repairs. Separate production planning is in place for repair workshop / lines.
Human resources management
10.1 New employees induction A detailed induction programme is in place (incl. temporary workers) and records are kept
10.2 Training plan Training plan and budget allocated annually linked with the yearly interviews and in line with the individual objectives

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