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Cover Page

Manufacturing Process Audit


Date of Audit:
Basic Supplier Information
Supplier Name:
Supplier DUNS Nr.:
Supplier Contact (Name, Function):
Supplier Mailadress:
Supplier HQ (Country):
Supplier PwS ID:
Alstom Business Unit(s):
Alstom Lead KCM:
Alstom Product Qualitfication Manager:

Basic Product Information


Product Specification Number:
Product Qualification Level:
Product Type:

B
Performance/Functional Specification Product

Description
Goal:

The aim of a Manufacturing Process Audit is to ensure


the supplier (together with his sub-suppliers) has the
capacity, availability and capability to ensure high quality
manufacturing of the products/services ordered by
Alstom.

Basic Content:

Availability and capacity, Sub-contracted activities,


workhop tour check-list, manufacturing in general and
check of specific manufacturing processes
-> refer to template for more information

Functions affected normally:

Engineering, Quality Management,Special Process


Specialist

Documents to be requested to Supplier before audit


Process description including manufacturing operations (internal and outsourced) and associated
tests from incoming good inspection to delivery.
Example of control plan/ITPL/check sheets for similar project
Example of test reports for main activities (NDT, hydrostatic pressure test, performance test)
Statistics of defects from the manufacturing process and incoming good inspection
Quality organisation (Internal & external operations)
Reference list
Typical QCP

ALSTOM 2014. All rights reserved.

Cover Page

A
B
C

Alstom Designed Product


Performance/Functional Specification Product

ALSTOM 2014. All rights reserved.

How to use the templa


1 Sheet "Selection"
a
b
c

Each technical specification is linked to an equipment family


For each equipment family, process check-lists are defined
Before the audit of a supplier, check which technical specifications are covered by the supplier and select the applicabl
applicable

2 Pre-requisite
a

d
e

Documents to be requested to Supplier before audit


i
Process description including manufacturing operations (internal and outsourced) and associated tests from incom
ii
Example of control plan/ITPL/check sheets for similar project
iii
Example of test reports for main activities (NDT, hydrostatic pressure test, performance test)
iv
Statistics of defects from the manufacturing process and incoming good inspection
v
Quality organization (Internal & external operations)
vi
Reference list (with main characteristics/key data of products)
vii
Extended presentation of similar project execution (pictures, data, statistics)
Documents to be sent to Supplier before audit
i
The "Availability and capacity" and "Sub-contracted activities" tables to be completed. See Attachments 1 & 2 (to
ii
Typical QCP to be analyzed
iii
Local post weld heat treatment (PWHT) exercise to be completed, if applicable prefabricated piping only). See At
Agenda to be transmitted to the supplier (to be customized case by case)
i
Workshop [capacity, loading, maintenance, traceability and identification, calibration, incoming inspection, storage
ii
Miscellaneous manufacturing [machining, cutting, drilling, rolling, bending, expanding, raw materials, handling and
iii
Forging [capacity, design, control, inspections, stress relieving]
iv
Casting [capacity, melting, design, pattern, moulding, stress relieving]
v
Welding [capability (materials, range, standards), capacity (welding processes, welders), qualifications (PQRs, we
vi
Non destructive examination (NDE) [capability (standards), capacity (techniques, operators), visual testing (VT), l
ultrasonic testing (UT), radiographic testing (RT), hardness testing, positive material identification (PMI)]
vii
Heat treatment [capability, capacity, calibration, furnace, local heat treatment, cooling]
viii Factory acceptance tests (FAT) [capacity, hydrostatic pressure test, pumps, performance/ functioning (mechanica
ix
Surface protection [capacity, surface preparation, painting, galvanizing, pickling, rubber lining]
x
General [Experience, nonconformities, CE conformity, inspection and test plan (ITPL), procedures, reports/record
contracting management, root cause analysis, 8D, FMEA, R&R, capability index, EHS]
xi
HV Bolts [raw material, defects rate, bolt forming, heat treatment, galvanizing, marking, packing, release tests, nu
xii
Glass reinforced piping (GRP) [incoming goods, production, personal qualifications, mechanical tests, pressure te
Internal preparation: request to engineering the main characteristics/key data of the product the supplier is assessed fo
Supplier attendees: request to have a dedicated representative of the supplier to answer to your queries related to man

3 Meeting introduction

The overal presentation of the audit is usually done by the Key Commodity Manager (KCM).
Before starting the audit, present the Supplier Quality Manual to the supplier:
http://iww.gasturbines.ch.power.alstom.com/turbomachinery/gt_information_system/intranet/AAP_view.html?sFolderNa
See Attachment 4.

4 Workshop tour

A workshop tour is mandatory during the audit.


The sheet "Workshop tour check-list" shall be printed and completed by the auditor during the tour:
Witnessed: to be crossed when the activity/test has been actually witnessed during the audit
Reviewed: to be checked when the activity has not been reviewed during the audit, the answers are completed with the
The completed check-list shall be annexed to the report.
See Attachment 5 (to be copy-pasted in the final MPA report).

5 Score
The overal score is calculated with the following weighting of the individual scores:
Answer to the question
Score of the question
Weight
Unacceptable
0
4
Insufficient
0.5
2
Acceptable
0.7
1
Advanced
1
1

6 Process sheets
a

Cells D6 to Dxx:
i
Select "N/A" if question is not applicable. Total of non applicable questions is calculated in cell D3.

ii
iii

Non scoring questions are indicated with "Non scoring". Do not change. Total of non scoring questions is calculat
Total of applicable questions is calculated in cell D5

c
d

Column E (Remark(s)):
i
If the letter "E" is mentioned, it means the question need some explanation. Move to the cell to see the explanati

ii
If the letter "W" is mentioned, it means the question shall be assessed or checked (partially or completely) during
iii
If the letter "P" is mentioned, it means a picture relevant to the question shall be taken during the audit and attach
Columns F to I: description of typical answers to the questions
Column J (Score):
i
Only scores of 0 (unacceptable answer), 0.5 (insufficient answer), 0.7 (acceptable answer) and 1 (advanced answ
If the question is applicable, the score shall be completed. If it's not completed, the cell is in light yellow. Once com

ii
iii
e

Even if the typical answer is not completed, the score can be used
In order to be qualified, the supplier shall reach a score of 0.7 minimum. If the score is 0 or 0.5, an condition (acti
of 0.7 can lead to an improvement (action cat 3).
Column K (Comments):
i
To be completed with as much details as possible (also for non scoring and non applicable questions)
ii
Non scoring questions can also lead to restriction(s)
iii
The restriction(s) shall be identified with the relevant letter (R)

Columns L to M:
i
In an action is required, "Yes" shall be indicated in the column L and the action shall be defined in column M. The

ii

For score of 0 or 0.5, if no action is indicated, the cells are in red:

Note for restriction(s) and actions

Definition: the supplier can't cover the complete range of a product/specification


Example: the supplier is welding as per ASME standard only. The supplier is qualifie
Remark: The restriction can be lifted after a development plan but it's not mandatory
Definition: The supplier showed weakness in its processes which require corrections

Restriction

Cat 1 (NoGo)

Actions

Cat 2 (condition)

Cat 3 (improvement)

Example: the supplier is not performing heat treatment on P91 after welding despite
Remark: the NoGo can be lifted only after a development plan
Definition: The supplier showed weakness in its processes which require corrections
Example: the supplier is using the rebound method for hardness measurements whe
acceptable device.
Remark: the condition can be lifted only after a development plan
Definition: The supplier process is not completely efficient and can be improved. An
Example: the supplier is performing NDE only after post weld heat treatment. If NDE
performing 2 heat treatments, therefore an improvement would be that the supplier a
Remark: it's not mandatory to complete the improvement for the qualification status

Scores: the different scores are calculated per sheet:


i
Cell D3: number of non applicable questions
ii
Cell D4: number of non scoring questions
iii
Cell D5: number of applicable questions
iv
Cell F4: number of unacceptable answers
v
Cell G4: number of insufficient answers
vi
Cell H4: number of acceptable answers
vii
Cell I4: number of advanced answers
viii Cell J4: overal relative score of the process sheet (as long as all the questions of the process sheet are not answ
Capacity: some questions regarding capacity linked to the sheet "Capacity" which summarized the capacities of the sup

7 Sheet "Availability and capacity"


The sheet completion is self explanatory

8 Sheet "Sub-contract"
The sheet completion is self explanatory

Examples
Equipments
Products
Processes
Manpower

Motor, VFD
Raw materials, castings, forgings
Painting, drilling
Welders, NDT operators

9 Sheet "Cover page"


a
b

c
d

"General" and "Attendees" (Lines 4 to 40): complete the cells in white


"Score:"
i
Cells F46 to f57: select "Yes" if the process is applicable (refer to stage 1)
ii
Cells G46 to G57: report of total number of questions for each applicable process
iii
Cell G58: total number of questions for all applicable process
iv
Cells H46 to H57: report of total non applicable questions for each applicable process
v
Cell H58: total number of non applicable questions for all applicable process
vi
Cells I46 to I57: report of total non scoring questions for each applicable process
vii
Cell I58: total number of non scoring questions for all applicable process
viii Cells J46 to J57: report of total applicable questions for each applicable process
ix
Cell J58: total number of applicable questions for all applicable process
x
Cells K46 to K57: weight of applicable questions for each applicable process regarding the total number of applic
xi
Cells L46 to O57: number of unacceptable, insufficient, acceptable and advanced answers for each applicable p
xii
Cells P46 to P57: overal relative score per process sheet (as long as all the questions of the process sheet are no
xiii Cells N46 to N57: report if actions have been identified for each applicable process
xiv Cell G58-O58 : totals. Some scores will be calculated only once all applicable questions will have been answered
xv
Cell F-G59: Score (considering the weighting of part 5)
"Restriction(s)": list all the restrictions identified in the processes sheets
"Qualification status":
i
Complete the qualification status with the previous score and conditions
ii
Actions category 1 & 2: list all the conditions identified in the processes sheets. The conditions shall identify the e
detailed actions plan to reach it.

iii

Actions category 3: list all the improvements identified in the processes sheets. The improvements shall identify t
detailed actions plan to reach it.

10 Printing for audit


It is highly recommended to print the applicable process sheets before the audit. Some columns (D, E, J, L and M) and lines

11 Reporting

The sheets "Cover page", "Availability and capacity", "Sub-contracted activities", "Workshop tour check-list" and all applicable

12 Pictures
A pictures report shall be annexed.
See attachment 6.

13 Development and update of the check-list

The purpose of the check-list is to define the critical questions to ask to the supplier and the critical parameters to check durin
critical parameters have still to be defined. It will be done in the future issues of the MPA.

e template?

ect the applicable processes and related check list. For each check-list define which questions are

d tests from incoming good inspection to delivery.

hments 1 & 2 (to be copy-pasted in the final MPA report).

ing only). See Attachment 3 (to be annexed in the final MPA report).

spection, storage, marking, packing, operators]


als, handling and lifting]

ations (PQRs, welders), consumables, defects]


ual testing (VT), liquid penetrant testing (PT), magnetic particle testing (MT), Eddy current testing (ET),
n (PMI)]

ning (mechanical), performance/ functioning (electrical), noise, vibration]

s, reports/records, end of manufacturing report (EOMR), technical skills and development, sub-

release tests, nuts and washers, lubrication, torqueing]


ests, pressure test, NDE]
er is assessed for. During audit use theses data as references.
es related to manufacturing process. A dedicated meeting room shall also be requested.

.html?sFolderName=Power_Sector&DocNum=090011f0804f25c9

mpleted with the review of the supplier explanations or based on the explanations of the supplier

stions is calculated in cell D4.

see the explanation.

mpletely) during workshop tour


audit and attached to the MPA

(advanced answer) can be used


yellow. Once completed it turns white:

an condition (action cat 1 or 2) shall be identified and therefore the supplier is not fully qualified. A score

ions)

n column M. The category of the action (1, 2 or 3) shall be indicated.

specification
upplier is qualified only for project with welding as per ASME.
's not mandatory for the qualification status
quire corrections to be closed before the placement of any PO. The supplier is therefore not approved.
welding despite it's mandatory as per standard.

quire corrections, but should not block the placement of a PO


easurements whereas it's forbidden by Alstom. The condition for qualification is the supplier to have an

be improved. An improvement is typically an action allowing to move from a score of 0.7 to 1.


reatment. If NDE are performed before and after heat treatment, it avoids the risk to damage material by
hat the supplier add NDE before heat treatment.
alification status

eet are not answered, the cell will display "N/C")


acities of the supplier.

number of applicable questions


ach applicable process
cess sheet are not answered, the cell will display "N/C")

e been answered

hall identify the expectation to reach for the supplier however, the supplier is supposed to issue the

ts shall identify the expectation to reach for the supplier however, the supplier is supposed to issue the

nd M) and lines (3 to 5) can be hidden .

and all applicable process sheets shall printed for the report.

ers to check during an audit. Some process/activities/tests have not completely been detailed and the

Equipment family
Process* check-list

Pumps/
Turbines

Pressure
vessels/
Exchangers/
Prefabricated
piping
1
1
1*
2
1
1
1
1
1*
1
0
0

Valves

1 Workshop
1
1
2 Miscellaneous manufacturing
1
1
3 Forging
1*
1*
4 Casting
1*
1*
5 Welding
1
1*
6 Non destructive examination (NDE)
1
1*
7 Heat treatment
1*
1*
8 Factory acceptance tests (FAT)/Proof tests
1
1
9 Surface protection
1*
1*
10 General
1
1
11 HV Bolts
0
0
12 Glass reinforced piping (GRP)
0
0
Notes:
- 0 = process not applicable and not to be assessed
- 1 = process usually applicable for the equipment, considered as critical and to be assessed.
- 1* = process usually applicable for the equipment but usually sub-contracted. If the process is internal, the assessmen
otherwise the assessment of this process has to be decided by the auditor.
- 2 = process usually applicable but not considered as critical. The assessment of this process has to be decided by the
- * HV bolts (11) and GRP (12) are not processes but equipment. However they are specific and requested a dedicated

- If the activity is sub-contracted by the audited supplier, the sub-supplier shall also be assessed (the main supplier shal

Q-level

Equipment family
Technical specification

A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A

B01
B05
B20
B24
B25
B26
B30
B32
B35
B42
B50
B60
C01
C06
C10
C15
C20
C21
C30
C35

A
A
A
A
A
A
A
A
A
A
A
A
A

D01
D05
D10
D25
D31
D40
D55
E01
F01
F02
F03
F05
F06

Water Cooled Condensing Plant


Air Cooled Condensing Plant
Condensate Extraction Pump
District Heaters
Feedwater Heating Plant
Dearator and Feed Water Storage Tank
HP Feed Water Pumps
Feedwater Pump Drive Turbine
MV Motors
Startup/Shutdown Feedwater Pumps
Dosing System of W/S-Cycle and Boiler
Condensate Return Filtering or Polishing Plant
Cooling Water Screening Plant
Intake Water Filter
Main Cooling Water Pumps
Secondary Cooling Water Pumps
Closed Circuit Cooling Water/Water Exchanger
Closed Circuit Cooling Air/Water Exchanger
Atmospheric Cooling Tower
Heller Cooling System Complete (Condenser, Hydraulic
Machine Group, Air Cooling Tower)
Makeup Water Pretreatment and Sludge Handling Plant
Water Pretreatment Plant
Demineralization Plant
Sea Water Desalination Plant
Waste Water Evaporation Unit
Electrochlorination Plant
Coal Stockpile Runoff Water Treatment Plant
Fire Detection & Protection Systems
Coal Storage and Handling
Unloaders
Stacker Reclaimers
Crushers
Coal Transfer

Pumps/
Turbines

Pressure
vessels/
Exchangers/
Prefabricated
piping
X

X
X
X
X
X
X
X

X
X
X
X

Valves

A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B

F10
F11
F12
F13
F14
F15
F16
F30
F35
F45
F46
F50
F51
F55
G01
H01
H05
H10
K05
K09
K11
L01
L55
L60
L62
M05
M06
M10
M11
M12
M15
M25
N80
P10
P12
P16
P17
P18
P60
P61
P62
P63
P64
P65
P67
P78
Q49
S01
B15
B41
B45
B55
B61
B70
C02
C04
C05
C11
C12
C16
C22
C25
C45
C46
C55
D06
D15
D20
D23
D26
D30
D41
F31

Ash Storage and Handling


Pneumatic Fly Ash Conveying Equipment
Fly Ash Belt Pipe Conveying Equipment
Slag Dry Conveying Equipment
Slurry (Slag/Fly Ash/Mill Reject) Wet Conveying Equipment
Scraper Submerged Conveyors
Silos
Fuel Oil Unloading Equipment
Fuel Oil Transfer Equipment
Desulphurisation Plant
Incinerator for Fuel Wash Residues
Limestone and Gypsum Handling and Storage
Limestone Conveying Equipment
Denox Plant
Main Turbine Hall Cranes
Auxiliary Boiler Package
Steam Transformer
Compressed Air Plant (Control & Service Air)
District Heating Exchangers
Fuel Oil Tanks
Miscellaneous Water Tanks
Prefabricated HP Piping
Rubber Lined Piping (Prefabricated)
Cooling Water Concrete Piping (Prefabricated)
Cooling Water Fibre, Reinforced Plastic Piping
Steam Turbine Bypass Valves
Large Butterfly Control Valves
Control Valves
Desuperheating Valves
On/Off pneumatic valves
Large Butterfly & Check Valves (>800)
Large Bore HP or Alloy Steel Valve (> 50)
DCS
Generator Connectionsn (incl. Bus Duct)
ST Generator Breaker Unit
ST Generator Step Up Transformers
Station Service Transformers
Unit Transformer
HV Switchyard Package
HV Switchyard/ Gas Insulated Switchgear
HV Switchyard / Circuit Breaker
HV Switchyard / Disconnecting Switch
HV Switchyard / CT, VT Lightning Arrester, and Post Insulator
HV Switchyard / Structure
HV Switchyard/ Transformer
HV Transmission Line complete
Lighting and Small Power Systems/ Technical areas
HVAC Systems (all inclusive)
Condenser Vacuum Equipment
Heater Drains Recovery Pumps
Drain/Flash Tank
Steam and Water Sampling Plant
Condensate Polishing Booster
Gland Steam Condenser
Bar Screens and Stop Gates
Continuous Tube Cleaning Equipment
Debris Filter to Condenser and/or CCW-Cooler
Cooling Water Makeup Pumps
Cooling Water Transfer Pumps
Waterbox Priming Equipment
Closed Circuit Cooling Water Pumps
Boiler blow down cooler
Cooling Water Dosing Plant
Biocide Treatment of Cooling Water
Sampling System Cooling Water
Potable Water Treatment
Regeneration Effluent Neutralization Plant
Waste Water Treatment Plant
Sampling Equipment for Waste Water System
Remineralization Equipment to Desalination Plant
Sewage Treatment Plant
Chlorination Plant
Fuel Additive Dosing Station

X
X
X
X
X
X
X
X
X
X
X
X
X
X

X
X
X
X
X

X
X
X
X

B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B

F36
F40
G05
G25
G65
G66
H15
H25
J01
J05
J06
K01
K02
K03
K10
K15
K16
K20
K50
L05
L09
L10
L11
L12
L40
L50
L51
L52
L61
M20
M24
M26
M35
M70
M76
N35
N55
N60
N81
N83
N84
N85
P11
P13
P14
P20
P22
P23
P24
P25
P26
P27

B
B
B
B
B
B

P40
P41
P42
P43
P52
P53

B
B
B
B
B
B
B
B
B
B
B
B
B

P68
P69
P70
P71
P72
P73
P74
P75
P76
P77
Q12
Q13
Q14

Fuel Oil Treatment Plant (Electrostatic/ Centrifuge Type)


Fuel Oil Heater/Preheater
Auxiliary Cranes
Lifts and Elevators
Emission Monitoring Equipment
Imission Monitoring Equipment
Gas Production Plant (N2, H2, etc)
Bulk CO2 Plant
CCW pumps
Fire Water Pumps
Fire Water Pumps Diesel Engine Driven
Gland Steam Super Heater
Desupertheater Equipment
Auxiliary heat exchangers to water steam cycle
Miscellaneous Tanks
Miscellaneous Pressure Vessels
Accumulator with Bladder
Miscellaneous Receivers
Noise Attenuation Equipment (Acoustic Enclosers, Shields,
IP/LP Piping with supports
Standard Alloyed Steel Pipe and Fittings
Standard Carbon Steel Pipe and Fittings
Standard Stainless Steel Pipe and Fittings
Standard Carbon Steel Pipes externally wrapped
Prefabrication of Steel Piping
Standard High-Density Polyethylene Piping
Standard Fibre Reinforced & Plastic Piping
Double wall pipe (piping pipe)
Cooling Water Steel Piping (Prefabricated)
BFP Turbine Exhaust Butterfly Valve
HP Feedwater Heaters Automatic Isolation Valves
Large Bore Valves (> 50)
Safety Valves
Drain Traps
Miscellaneous Filters
Measurement Nozzles and Orifice Plates
Level Elements
Vibration Measurement
Control Room Desks and Panels
Training Simulator
Predictive Maintenance System
Condition Monitoring System
ST Generator Neutral Earthing
ST Generator and Transformer Electrical Protection Cubicle
ST-Generator Synchronizing
MV Aux. Distribution Transformers
MV Switchgear
LV Aux. Distribution Transformers
LV Switchgear, Distribution & MCC
Stand-by Diesel Generator Set
Black Start Diesel Generator Set
Transformer and/or line Block Protection (Separated if Client
Request)
Batteries & Charger
DC Switchboards
Uninterruptible Power Supply
UPS Distribution Board
Electrical Modules including HVAC & Lighting
Shop Assembly of Electrical Modules to Plant Related
Electrical Systems
HV Cable and accessories
HV Switchyard / Control System
HV Switchyard / Bay Control Cubicle
HV switchyard / Protection
HV Switchyard/ Remote Control
HV Switchyard / LV Distribution
HV Switchyard / DC Distribution
HV Switchyard/ Communication Equipment
HV Switchyard / Electrical Module
HV Switchyard / Shop Assembly of Electrical Module
MV Cables
LV Cables
Control Cables & Junction Boxes

X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X

B
B
B
B

Q50

Lighting and Small Power Systems/ Non Technical Areas &


Outdoor Areas
Q67 CCTV, Security Systems (Intrusion)
R100 10.9Hot dip galvanised bolts
R26 Springs for Foundation Blocks

Miscellaneous
plants and
packages/
Turn-key
packages
1
1
0
0
1
1
2
1
1*
1
2
2

Electrical
1
1
0
0
2
2
2
1
1*
1
0
0

s internal, the assessment is mandatory,

has to be decided by the auditor.


d requested a dedicated check-list

d (the main supplier shall attend the audit).


Miscellaneous
plants and
packages/
Turn-key
packages

Electrical

X
X
X
X
X

X
X
X
X
X
X
X
X
X
X
X
X
X
X
X

X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X

X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X

X
X
X

X
X
X
X
X
X
X
X
X
X
X
X

X
X
X
X
X
X
X
X

X
X
X
X
X
x
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X

X
X
X
X

Supplier Manufacturing Process Audit


General
Date:
Issuer:
Supplier (site specific)

Scope of Supplier Qualification (Product Code)

Product Qualification Level


Product description, Reference

Attendees
Supplier
Name

Function

Alstom
Name

Function

Score
N/C: Not complete
N/A: Not applicable
1 Workshop
2 Miscellaneous manufacturing
3 Forging
4 Casting
5 Welding
6 Non destructive examination (NDE)
7 Heat treatment
8 Factory acceptance tests (FAT)/Proof tests
9 Surface protection
10 General
11 HV Bolts
12 Glass reinforced piping (GRP)
Total

Sheet
applicable?
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes

Total

N/A

28
27
#REF!
#VALUE!
#VALUE!
#VALUE!
#VALUE!
#VALUE!
#VALUE!
#VALUE!
#VALUE!
#VALUE!
#REF!

0
0
#REF!

Non
scoring
3
18
#REF!

#REF!

#REF!

Answers
Applicable
Number
25
9
#REF!

#REF!

Score

#REF!
The restrictions have no impact on the qualification status

Restriction(s)
1
2
3
4
5
6

Quality Product Qualification Audit (PQA) sta


Approved

Total score higher or equal to 50% AND no action category 1 or

Approved with conditions

Total score higher or equal to 50% and no action category 1

Not approved

Total score lower than 50% or action category 1

The action(s) listed hereunder are valid by taken into account the restriction(s) lis

Actions
Action(s) category 1 (NoGo to be closed before the supplier/product is approved)
Current status
1
2
3
4
5
6

Action(s) category 2 (condition(s) which can be closed during the execution of the order)
Current status
1
2
3
4
5
6

Action(s) category 3 (improvement(s))


Current status
1
2
3
4
5
6

Summary

Annexes
1
2
3
4
5
6

ng Process Audit Checklist

General

Attendees

Score
Answers
Applicable
Weight
#REF!
#REF!
#REF!
#VALUE!
#VALUE!
#VALUE!
#VALUE!
#VALUE!
#VALUE!
#VALUE!
#VALUE!
#VALUE!
#REF!

Score
0
0.5
0.7
1
%
0
0
0
0
N/C
0
0
0
0
N/C
#REF! #REF! #REF! #REF! #REF!

#REF! #REF! #REF! #REF!

Actions
No
No
Err:504

o impact on the qualification status

striction(s)

alification Audit (PQA) status

o 50% AND no action category 1 or 2

al to 50% and no action category 1

an 50% or action category 1

y taken into account the restriction(s) listed previously

Actions

d)
Gap to complete

he order)

Annexes

Gap to complete

Gap to complete

Availability and capa

For each process/technique/test, detail the availability (yes or no), the number and the main characteristics. An explanation
(*) detail number and relevant standard(s)

Miscellaneous manufac

Back to sheet
Machining
Cutting
Drilling
Cold rolling
Hot rolling
Hot bending
Cold bending
Expanding
Balancing
Handling and lifting

Welding

Back to sheet
Materials
Standards
Welding process

Carbon steel

Stainless steel

Alloyed steel

ASME

ISO/EN

GB

Machines/
Apparatus

ASME

ISO/EN

GB

Gas tungsten arc welding (GTAW)


Shielded metal arc welding (SMAW)
Gas metal arc welding (GMAW)/Flux-cored arc
welding (FCAW)
Submerged arc welding (SAW)
Orbital TIG machine with narrow gap
Tube to tubesheet welding process
(automatic or manual)

Non destructive examinati

Back to sheet

Procedures
ASME
Visual testing (VT)
Liquid penetrant testing (PT)
Magnetic particule testing (MT)
Eddy current testing (ET)
Ultrasonic testing (UT)
Radiographic testing (RT)
Hardness testing
PMI

ISO/EN

GB

IS

Back to sheet

Heat treatment

Furnace
Local heat treatment

Back to sheet
Hydrostatic pressure test
Performances
Pumps
NPSH
Submergence
Performance/Functioning (mechanical)
Performance/Functioning (electrical)
Noise
Vibration

Factory acceptance tests (FAT

ability and capacity

acteristics. An explanation window appears when you move to the cell to be completed.

aneous manufacturing

Welding
Alloyed steel

Titanium

Other (*)

GB

IS

Other (*)

Number
Operators
GB

IS

Other (*)

uctive examination (NDE)

ocedures
IS

Other (*)

ISO 9712
Level II
Level III
Level II
Level III
Level II
Level III
Level II
Level III
Level II
Level III
Level II
Level III

Operators
Number
ASNT
Level II
Level III
Level II
Level III
Level II
Level III
Level II
Level III
Level II
Level III
Level II
Level III

Other (*)

Heat treatment

tance tests (FAT)/Proof tests

Back to sheet
Company name

Back to sheet
Company name

Back to sheet
Company name

Back to sheet
Company name

Sub-contracted activi
Equipments (Motor, VF
Location/Country

Products (Raw materials, castin


Location/Country

Processes (Painting, dri


Location/Country

Manpower (Welders, NDE op


Location/Country

ontracted activities
ments (Motor, VFD)
Information

materials, castings, forgings)


Information

es (Painting, drilling)
Information

Welders, NDE operators)


Information

Workshop tour check-list


Witnessed

Areas
Incoming goods
Storage
Packing
Painting/blasting
Welding consumables storage
Nonconform goods identification/area
Stainless steel area

Identification and traceability


Note a couple of heat number, item/serial number in order to check after
availability of material certificates/step in the ITPL/EOMR
Check for identification and/or follow-up sheet on each components at each
manufacturing steps.

Tests & controls


Welding
NDE

Visual testing (VT)


Liquid penetrant testing (PT)
Magnetic particule testing (MT)
Eddy current testing (ET)
Ultrasonic testing (UT)
Radiographic testing (RT)

Manufacturing operations (machining, drilling)

Heat treatment
Tests (hydro, performances)

Operators
Check qualifications
Check procedures followed
Check controls they perform before and after activity (visual check, NDT, etc.)
Calibration, maintenance and consumables
Check stickers

Calibration
Maintenance
Consumables

EHS
Walkdown marks
PPE (Personal Protection Equipment)

Reviewed

N/A

Dangerous situation observed?

Base
Questions

Progressive Questions

Category
Score

N/A
Non scoring
Number applicable

N/A or
non
scoring
0
3
25

Rem.

No.

Unacceptable
0

Insufficient
0.5

Acceptable
0.7

Advanced
1

Workshop area

Housekeeping in
the workshop

Loading

Area insufficient without


W additional external facility
P

Limited area with additional Area sufficient for most


local external work/ laydown anticipated contracts with
area (non on-site)
on-site external
work/laydown area
Periodic cleaning with
Regularized cleaning
unobstructed access to work programme with trash and
areas
scrap removal

None
W
P
Inadequate for Alstom
E requirements
W

Adequate for Alstom


requirements but limited
excess capacity based on
current projected workload
Maintenance plan existing
but not correctly
implemented/respected

No maintenance plan, not


maintenance done

Is maintenance performed?

4.1

E
Maintenance

State of the machines

E Poor state, old, no


W maintenance
P
None
W
P

4.2
Identification of products?
5.1

5.2
Traceability

In workshop, note some


identification numbers on raw
materials and request the
corresponding material test
certificates. Is the supplier
able to provide them?
For a given heat number, is
the supplier able to give all
the pieces manufactured with
it?nonconforming material
Is
completely segregated and
identified at all stages?

5.3

5.4

Tagging or paint marking

No
W

Calibration

6.3

7.1
Consumables
7.2

8.1

8.2

No

Is the system for calibration


expiration dates check
efficient?
In workshop, note some
identification numbers on
calibrated equipments and
request the corresponding
calibration certificates. Is the
supplier able to provide
them?
Is the system for

No

Yes, but based on human


check

No

Yes, but the storing system


is not efficient and it takes
time to provide the
certificates

Yes and based on automatic


check preventing the use of
non valid equipment
Yes, the certificates are
presented immediately

No

Yes, but based on human


check

W
P

consumables expiration dates


check efficient?
In workshop, note some
consumable expiration dates.
Are they expired?

W
P

Is there a special area


dedicated for incoming
goods?

W
P

Date expired

No

Area identified but not


correctly managed

Not verified

Visual inspection only

Visual inspection and


documentation check

No system

< 100% inspection for all


critical characteristics

100% inspection for all


critical characteristics

No

Poor conditions in receiving


inspection area with
inadequate equipment.
Only few items identified

W
W

None
W
P

Storage
Stock management

Stainless steel

11.1

Good material segregation


and identification with no
exceptions found
Devices are calibrated with
masters approved by ISO
17025 laboratory

9.1

10.2

Yes, the certificates are


presented immediately

Devices are calibrated with


masters

Are receiving inspection


equipment and facilities
adequate?
Marking

10.1

Yes, but the storing system


is not efficient and it takes
time to provide the
certificates

No calibration of the devices Devices are calibrated

What type of incoming


inspection is performed?

9.2

Most of the machine are


new, continuous investment,
regular maintenance
Purpose screen type low
stress stamping machine
recorded on 'traveller docs'

General

How to verify incoming


material?

8.4

Machine can be old, but


efficient maintenance and
investment for repairs
Hand etching or stamping
recorded on 'traveller docs'"

Some material segregation


and identification

W
P

Incoming
inspection

8.3

Covered area sufficient for


all anticipated contracts with
on-site external
work/laydown area
Regularized cleaning
programme, waste / scrap
removal by dedicated
personnel, marked
gangways with safety policy
and notices
Meets Alstom requirements Meets
all Alstom
with sufficient excess
requirements and has a
capacity based on current
capacity for more than a
projected workload
single contract
Corrective maintenance
Preventive maintenance
(maintenance carried out
(maintenance carried out at
after fault recognition and
predetermined intervals or
intended to put an item into according to prescribed
a state in which it can
criteria and intended to
perform a required function) reduce the probability of
failure or the degradation of
the functioning of an item)

Non
scoring

6.1

6.2

Is there a special area


dedicated only for
manufacturing equipment
from stainless and duplex
stainless steels (austeniticferritic).
Are there segregated tools
dedicated only for stainless
steel, which are not used for
carbon materials?
Availability: in house or
external?

Unefficient management:
stock not controlled

Not done
No

E
W
P

Yes and based on automatic


check preventing the use of
non valid consumables
No date expired

Area identified and correctly


managed (5S or area
management (conformity/
nonconformity)
Approved incoming test plan
based on criticality of
components.

All certificate of compliance


characteristics are confirmed
by inspection, results filed
Fair conditions in receiving Good conditions in receiving
inspection area with need for inspection with adequate
better equipment.
equipment.
Parts identified with subAll individual parts are
supplier identification kept marked with supplier internal
as it is (no internal
and efficient numbering
identification)
system (even if not required
by standard)
Basic management (first
Continuous and secured
in/first out). Availability
follow-up of stock. 100% onknown but not anticipated. time availability of goods.
Yes, non permanent are with Yes permanent are and
mobile protection
protections

No

Yes

E
W

Non
scoring

E
P

Non
scoring

E
W

See sheet "Availability and capacity"

Capacity
11.2

11.3 Packing

11.4

11.5

Are the supplier practices for


packing compliant with Alstom
requirements (HDST)?
Is the supplier system for
loose parts and packing list
management efficient and
compatible with Alstom
requirements (MTA)?
Are the center of gravity and
handling marks available on
packages?

Minor modifications (to be


listed in "Comment") to be
done in order to be
System not efficient and not compliant
Minor modifications (to be
compatible
listed in "Comment") to be
done in order to be
W
compliant
Packing not satisfactory

Operators

Fully compliant
Fully compliant

No

Yes

W
P
No training delivered to the
operator

Training
12

Action(s)
Gap to complete (identify categories
[Cat 1], [Cat 2], [Cat3 ])
0

WORKSHOP

Score
Comments (detail the the current status and identify
restriction(s) [R] when necessary)

Operator has been trained


by recognized party but no
evidence of training

Operator has been trained


by recognized party and
evidences of training
presented

Operator has been trained


by recognized party,
evidences of training
presented and a test is
regularly done to ensure the
best practices are still
implemented

N/C

Base
Questions

Progressive Questions

Category
Score

N/A
Non scoring
Number applicable

N/A or
non
scoring
0
18
9

Rem.

No.

Unacceptable
0

Insufficient
0.5

Acceptable
0.7

Advanced
1

Score
Comments (detail the the current status and identify
restriction(s) [R] when necessary)
0
N/C

MISCELLANEOUS MANUFACTURING
Availability and capacity
Non
scoring

1.1

W
P

See sheet "Availability and capacity"

Machining sequence is not


prepared prior to start the
W
machine

Machining preparation
1.2 Machining
Cutting tools

Machining sequence is
prepared before start of
machining

Cutting tools are changed


when broken

1.3

Machining sequence is
prepared before start of
machining and checked with
test part
The operator evaluate the
remaining wear and change
them when needed

Machining sequence is
prepared before start of
machining and checked with
computer (CAM) and test
part
Frequency
for change is
calculated and validated.
Changes are done at the
calculated one and
documented

Availability and capacity


Non
scoring

2.1

2.2 Cutting

When raw material marking is


transferred at your workshop?

W
P

See sheet "Availability and capacity"


Do not transfer marking

Just after cutting

Who is responsible for raw


material marking transferring,
ie.traceability?

2.3

Every employee can transfer Only trained employees (no


marking without training
list presented)

Just after tracing and before


cutting

Only trained employees (list


presented and updated)

Availability and capacity


3

Drilling

Non
scoring

W
P

See sheet "Availability and capacity"

Non
scoring

W
P

See sheet "Availability and capacity"

Non
scoring

W
P

See sheet "Availability and capacity"

Non
scoring

Availability and capacity


4

Rolling
Availability and capacity

5.1
Experience with rolled welded
pipes bending

5.2

Bending production sample


for qualification

5.3

Are different induction


frequency used for different
wall thicknesses?

5.4

5.5 Bending

5.5.1

Post bend heat treatment


(PBHT):
- Type of furnace used for
Post Bend Heat Treatment
(PBHT)

Bending process has been


validated with specific bend
ratio. Samples and
validation records are
archived

No

Non
scoring
Non scoring

Non
scoring

Non
scoring

- Cooling device after PBHT


5.5.2
5.6

NDT after bending:


- Standard NDT performed
after bending (in addition to
minimum code requirements)
- Who performed the NDT
after bending

5.6.1

5.6.2

Non scoring

Non
scoring
Non
scoring

Non
scoring

Availability and capacity


6.1

Tubing6.2 expandingwelding

Tubing storage and fitting


area

See sheet "Availability and capacity"


Off-site outside without
weather protection

Expanding and welding


production sample for
qualification

6.3

Off-site under cover with


weather protection and
security

No

On-site under cover fully


In / adjacent to assembly
protected against conditions area covered and fully
adjacent to assembly area protected against damage
and weather with adequate
lifting facilities
Expanding and welding
process has been validated
with specific expansion ratio.
Samples and validation
records are archived

Availability and capacity


Non
scoring

7.1

7.2

Raw material
tests

Standards range (ISO, EN,


ASME)

Non
scoring

PMI available for material


identification?

7.3

Yes, PMI capability covers


all possible grade material.

No

Capacity
8

Balancing

Non
scoring

Non
scoring

See sheet "Availability and capacity"

Availability and capacity


9.1
Handling and
lifting
9.2

Inter process handling and


lifting equipment availability
and capacity

Action(s)
Gap to complete (identify categories
[Cat 1], [Cat 2], [Cat3 ])

See sheet "Availability and capacity"


None

Forklift and mobile crane


with capacity not compliant
with needs.

Installed overhead cranes in


covered workshop with
mobile cranes for external
areas

Installed overhead cranes in


covered and external
workshops with mobile
cranes

A A AA
Supplier

Supplier Quality Audit (SQA)


Manufacturing Process Audit (MPA)
Product Audit (Technical Checklist)

Item
1
2
3
4
5
6
7
8
9
10
11
12

SQA /
MPA/
TCL

Prepared by:
Signature
Name
Department
Date

GAP
Audit Checklist
Question No.

Current Status /
Description of Issue

Quality&Process

Supp
Supplier

Document No:
Applicable?:
Yes

No

Yes

No

Yes

No

Applicable?:
Applicable?:

GAP ANALYSIS
Category
(cat1, cat2, cat3)

Gap

Supplier Development Plan


Qualification Scope
(Equipment Spec No.)

Date

Root Cause

velopment Plan
(Equipment Description)

ACTION PLAN
Development Action

Agreed by:
Signature
Name
Department
Date

Product
Quality
Level

on)

AN

CHECKED
Action Owner

Due Date

Close-Out Verified by TYSQ


Name
Date

Document/Task No

CHECKED
Comments