Guiding Principles
for Application
Jacl P Pekar
Total Quality
Management:
Guiding Principles
for Application
J a c k P. Pekar
ASTM Manual Series: MNL 22
ASTM Publication Code Number (PCN)
28-022095-34
1916 Race Street • Philadelphia, PA 19103
Library of Congress Cataloging-in-Publication Data
Pekar, Jack P., 1940Total quality management: guiding principles for application/
Jack P. Pekar.
p. cm. - - (ASTM manual series; MNL 22)
Includes bibliographical references and index.
ISBN 0-8031-2062-1
1. Total quality management. I. lqtle. II. Series.
HD62.15.P46 1995
658.5'62~c20
95-12661
CIP
Copyright © 1995 AMERICAN SOCIETY FOR TESTING AND MATERIALS, Philadelphia, PA.
All rights reserved. This material may not be reproduced or copied, in whole or in part, in any
printed, mechanical, electronic, film, or other distribution and storage media, without the written
consent of the publisher.
Photocopy Rights
Authorization to photocopy items for internal or personal use, or the internal or personal
use of specific clients, is granted by the AMERICAN SOCIETY FOR TESTING AND MATERIALS for users registered with the Copyright Clearance Center (CCC) Transactional
Reporting Service, provided that the base fee of $2.50 per copy, plus $0.50 per page is paid
directly to CCC, 222 Rosewood Dr., Danvers, MA 01923; Phone: (508) 750-8400; Fax: (508)
750-4744. For those organizations that have been granted a photocopy license by CCC, a
separate system of payment has been arranged. The fee code for users of the Transactional Reporting Service is 0-8031-2062-1 $2.50 + .50.
NOTE: This manual does not purport to address (all of) the safety problems associated with its
use. It is the responsibility of the user of this manual to establish appropriate safety and health
practices and determine the applicability of regulatory limitations prior to use.
Printed in Philadelphia, PA
June 1995
Foreword
Committee F16 on Fasteners is very concerned with the Fastener Quality Assurance
Act (FQA) of 1990, which is expected to be implemented in 1995. F16 is comprised of
fastener manufacturers, users, and distributors, all of whom have a large stake in this
law. As a consequence, F16 requested and sponsored me to write a manual that would
show our members how to comply with the law and remain competitive. But this
book goes beyond assisting those in the fastener industry to cope with the FQA. It can
be of benefit to any industry or enterprise because it is about total quality management (TQM).
This book was written so that others may share what I have learned during my 30
years in the quality profession. It is a book that presents principles and guidelines
that, when applied, can be used to develop and implement a total quality management
system. Today, more than ever, we in the business community face challenges at every
turn from every corner of the world. Those businesses that survive will be those that
demonstrate leadership and innovation and listen to the voices of their customers.
Those who practice the teachings in this book have a better chance than most to
achieve success. They may find the journey difficult and cluttered with obstacles that
impede their progress, but, if they are true leaders, their message will be heard. They
must not and will not be discouraged for they must lead us to and through the new
global market.
Acknowledgment
I wish to thank all those who helped provide background information for this book.
The list includes companies I've worked for past and present, people I worked with in
the past, those with w h o m I currently work, and family members. There are a few
whom I wish to give special thanks. I could not have completed my manuscript without my very talented administrative assistant, LaVerne Craven. The topics on futuristic quality planning and supplier partnerships are in large part an adaptation of programs developed in concert with my manager, Gary Fitzgerald, Kennametal's MWM
Quality Manager. But most of all, I want to thank my wife, Liz, for all the encouragement I received while writing and editing this book. It took considerable time away
from our personal life, but she never complained because she saw the value this work
would provide to those who accept the challenge it presents.
Contents
vii
Introduction
PART 1: MANAGEMENT'S RESPONSIBILITY
Chapter lmManagement's Role
Chapter 2~Strategic Planning
Chapter 3~Continuous Improvement
3
9
21
PART 2: QUALITY ORGANIZATION FUNCTION
Chapter 4--Quality Systems
Chapter 5~Quality Reporting
Chapter 6---Supplier Qualification
31
37
40
PART 3: STATISTICAL QUALITY CONTROL
Chapter 7~Statistical Quality Control
47
PART 4: THE QUALITY ASSURANCE MANUAL
I n t r o d u c t i o n to Part 4: The Quality Assurance Manual
Chapter 8mManufacturing Company Quality Assurance Manual
Chapter 9~Service Industry Quality Assurance Manual
Chapter 10~Distributor Industry Quality Assurance Manual
57
59
63
67
PART 5: FASTENER QUALITY ASSURANCE ACT
Chapter l 1--Public Law 101-592
73
APPENDICES
Appendix A--ASTM Standards F 1469, F 1470, and F 1503
Appendix B--IFI Standards IFI-139 and IFI-140
Appendix C--Public Law 101-592--Fastener Quality Act
Appendix DmSupplier Quality Systems Survey
Appendix E--Attribute Gauge Analysis Form
81
97
133
147
155
Index
157
Acronyms
American National Standards Institute
Quality Assurance Program Requirements for
Fastener Manufacturers and Distributors
ASQC American Society of Quality Control
ASTM American Society for Testing and Materials
CMM Coordinate Measuring Machine
CPI Critical Performance Indicators
E&I Empowerment and Involvement
FAC Fastener Advisory Committee
FMEA Failure Mode and Effects Analysis
FQA Fastener Quality Act
HRC Hardness Rockwell C
JIT Just in Time
NIST National Institute of Standards and Technology
NVLAP National Voluntary Laboratory Accreditation Program
P&IC Production and Inventory Control
PIE Plan, Initiate, Evaluate
QFD Quality Function Deployment
R&R Repeatability and Reproducibility
SCD value Severity rank times the Capability rank times the
Detection rank
SEM Scanning Electron Microscope
SPC Statistical Process Control
SPQP Service/Product Quality Planning
SQC Statistical Quality Control
TCQ Total Cost of Quality
TQM Total Quality Management
ANSI
ASME-FAP-1
Introduction
T H E PATH TO TOTAL QUALITY
Training
The organization must assess the current skill level and
awareness of total quality principles of all employees. The
idea is to start with top management and move through the
organization. Begin by training top management; with their
commitment and knowledge of total quality, it will he easy
to train those who follow. This training will pay high dividends at every level in the organization. Through training,
we assure that our employees have the necessary skills and
technical knowledge to perform their jobs effectively. We can
also count on them to be effective participants in contributing to the total quality process. Information should be provided to employees describing educational programs available to them through various professional organizations and
community colleges. By creating an awareness of these opportunities, the organization demonstrates its commitment
to a continuous improvement of employee skills.
THERE IS NO single path to achieving total quality within an
organization. There are no hard and fast rules to follow to
become a world class company. The only constant are basic
guidelines, that, when followed, lead to success. This is because all organizations have their own cultures, people, and
technologies. What may work well for one company will not
necessarily work for another. These guidelines are as follows.
Leadership Commitment
The leadership of an organization must be committed to
continuous improvement. This commitment must be visible
throughout all layers of management. Management must
"walk the talk." Only when management is committed will
employees excel at what they do. It takes time to change work
cultures and work habits, but with perseverance the message
of enlightened management will prevail. Employees want to
do a good job. All they need are the right tools and the right
systems. These can by supplied only by management.
E m p o w e r m e n t and Involvement
Soon after the commencement of training, management
must provide opportunities for employees to apply what they
have learned. They need to test their skills. They will not and
should not be content with the way things are. Every aspect
of their job should be evaluated and measured against the
new paradigms. This will bring new challenges to their supervisors. The supervisors, in turn, through their own training will now be equipped with the attitudes and analytical
skills to consider their suggestions. They will no longer feel
the threat of losing control.
Customer Focus
The organization must be customer focused. Everyone in
the organization must understand that without the customer
there would be no purpose to their work, no paycheck, no
capital investment, and no company picnic. What must also
be understood is that the external customers are served by
the internal customers (employees). There is, therefore, a
need to focus on the requirements and expectations of both
internal and external customers. One of the first steps management should take in this regard is to conduct surveys of
external and the internal customers. Employees (internal
customers) should be apprised of the results of external customer surveys. A truly committed management team will
also allow employees to see the results of internal surveys.
This brings "the good, the bad, and the ugly" to the table for
discussion. The good can be improved upon. The bad can
lead to opportunities for improvement. The ugly must be addressed through open, two-way communication with crossfunctional teams to find solutions.
Measurement
Before those of us in management can find out if we have
made improvements, we need to know where we were. If we
don't have historical data to let us know, we must at least
determine where we are through a short-term study.
The first step is to define the organization's critical performance indicators (CPIs). Critical performance indicators are
defined as those measures that contribute to customer satisfaction. There are several tiers of indicators in any organization, and they can he broken down as primary, secondary,
and tertiary. Examples of first-tier CPIs include On Time Delivery, Customer Satisfaction Indicators, and Cost of Quality.
Second-tier CPIs are measures that contribute to the firsttier CPI's. Examples of second-tier CPIs to On Time Delivery
may be quote turn around, manufacturing lead time reduction, and supplier performance. Third-tier CPIs are the em-
1Portions of this introduction were taken either in whole or in part
from an SME technical paper by the author entitled, "Continuous
Improvement--Managing Yesterday, Leading Today." Reprinted
with permission of the Society of Manufacturing Engineers, Copyright 1993, from the Cold Forming '93 Conference.
vii
suppliers, and their customers. I cannot provide enough differentiation among this trilogy to say one is more important
than the other. All participants in this trilogy of communication must interface for an organization to be truly successful. Within the organization, employees at all levels need
information on continuous improvement projects so they
can become aware of progress, their contribution, and the
effect these projects have on critical performance indicators.
Business goals must be communicated to suppliers. Suppliers should be viewed as extensions of the organization
who contribute to the overall success of continuous improvement. They should be part of decisions to utilize purchased
services. Suppliers are specialists in their fields of expertise;
therefore, their input should be required when decisions are
made to use them. World class purchasers understand the
difference between price and value. As purchasers (customers) we expect, and should demand, products that contribute
to our success.
The voice of the customer must be heard. Customers are
the reason we are in business. Without customers, no provider of goods or services could survive. To understand customers' needs, we must listen to their messages. Invite existing and potential customers to your facilities and ask them
to apprise your teams of their business objectives. Let them
tell you how you can assist them in achieving their goals.
ployee involvement action items. Examples of third-tier CPIs
for manufacturing lead time reduction could be (1) set up
reduction and (2) scrap and rework reduction. CPIs are discussed in detail in Chapter 2.
Recognition and Awards
Everyone appreciates a pat on the back after they have
achieved a noteworthy goal or successfully completed a difficult or important task. This encourages further participation by the employee and shows other employees that their
efforts are appreciated. When a team has met an established
goal, the entire team should be recognized.
The form of recognition should fit the accomplishment; in
other words, the value of the recognition should be commensurate with the value of the accomplishment. Too, when
recognition is given, it should be consistent. To assure consistency, a panel of management and nonmanagement employees should be established to set up a recognition program to acknowledge those individuals and/Or teams who
meet company objectives.
Communication
This last guideline is by no means the least important. The
organization must communicate with the work force, their
Vlll
Part I: Management's Responsibility
1
Management's Role
THE PRIMARY ROLE OF MANAGEMENT i s t o provide employees
with the leadership necessary to meet the goals of the organization. This leadership must reflect the principles of total quality management. These principles were presented in
the Introduction: leadership commitment, customer focus,
training, empowerment and involvement, measurement, recognition and rewards, and communication.
tomer. The customer rejects the part because it does not
meet his requirements! (See Fig. l-1.)
Management needs to break down silos in their organizations because they create waste, redundancy, and poor
quality. We are getting better today at breaking down silos
and allowing interaction through cross-functional team
management. Management should evaluate themselves to
determine if their management style is autocratic or team
oriented.
LEADERSHIP COMMITMENT
Management must first examine how they manage. Is their
style tailored to encourage input from other managers and
departments? Or is their style that of not allowing other departments or disciplines to influence their decisions? In
other words, do they operate as team leaders or as silos?
When I refer to managers operating as silos, I mean that they
stand alone within the organizational structure by excluding
input from other managers or departments. This concept is
explained further below.
Silos
Management in the past relied on experts in given disciplines to develop systems and procedures to guide the organization. These experts headed up their own departments
(silos) and had specialists working for them who created the
culture and systems for the silo master.
The silo master made it clear to all other silo masters in
the organization how his department functioned and that
there would be no interference from other groups or departments. This allowed the silo master to keep control of
his territory. This also assured that the other department
managers did not fully understand the requirements for positive interaction between groups or departments within the
organizational structure.
Here's a classic example of how silos can thwart satisfying
customer requirements. The marketing group receives an order from a customer and tells the design group what the
customer wants. The design group gives their interpretation
of the customer's needs to the manufacturing engineering
group. Manufacturing engineering tells manufacturing what
process to use to create the product that will satisfy the
needs of the customer. Manufacturing does their very best
to manufacture the part according to criteria supplied by
manufacturing engineering. The quality department inspects
the final product and decides it is manufactured incorrectly.
Rework is performed and the part is shipped to the cus-
Autocratic M a n a g e m e n t
I remember when I first started working. I was told that
in order to succeed and to keep my job, I had to remember
two rules. Rule l: The boss is always right. Rule 2: When the
boss is wrong, remember Rule 1. Those were the days when
systems were more important than people. Employee involvement consisted of doing only what the boss told you to
do, whether it made sense or not. Management felt that empowering the worker took control away from management.
Switching to a management style that encourages employee involvement and empowerment is a tough transition
for many. Unless special training is provided for middle and
first-line management, the transition may never take place.
And, unless upper management invests and participates in
this training, the organization is bound to fail. It will be overtaken by other organizations who have invested in their most
valuable resource, their employees, and are cashing in on
that investment. Employees of an enlightened organization
contribute every day to improved operations and systems.
Once management has committed itself to breaking down
silos, it must embrace the concept of Team Management.
Team M a n a g e m e n t
Gone are the days when managers are expected to be proficient in only one discipline. Today managers must be part
of a management team, and they must have a working
knowledge of their peers' responsibilities. For example, the
quality manager needs to understand how design engineering, manufacturing engineering, purchasing, sales, production control, customer service, and every other department
functions. And every other manager should know the roles
of the others.
This is not to say that they need to be as well trained in
the other disciplines as their peers, but they must understand how the entire organization functions. We want to
break down silos so we can move freely throughout the or-
4
TOTAL QUALITY MANAGEMENT MANUAL
AS ENGINEERING DESIGNED IT
AS MARKETING REQUESTED
AS MANUFACTURING ENGINEERING SAW IT
AS MANUFACTURED
K , ¢ , ¢ .
QUALITY REJECTS DESIGN DRAWING
WHAT THE CUSTOMER WANTED
Figure 1-1 --Customer requirements.
ganization. This creates a n o t h e r d i l e m m a b e c a u s e n o w we
n e e d to allow m a n a g e r s who are outside o u r responsibility
to be p e r m i t t e d , even welcomed, to h a n d l e situations that
s t r u c t u r a l l y m a y belong to us.
It's t i m e for the goose story. We as m a n a g e r s should take
a lesson f r o m the goose. I ' m sure y o u have observed geese
in flight. They fly in a p a t t e r n t h a t forms a h o r i z o n t a l V.
There is a g o o d r e a s o n w h y geese fly in a V pattern. The lead
goose breaks the air c u r r e n t a n d creates a n uplift b e h i n d h i m
t h a t the o t h e r geese can take a d v a n t a g e of. The second tier
of geese likewise does the s a m e for the t h i r d tier a n d so on
a n d so forth for the entire flock.
The l e a d goose eventually tires of b u t t i n g his h e a d against
the wind, so he d r o p s b a c k in the formation. Here's w h e n
s o m e t h i n g interesting takes place. A n o t h e r goose from the
flock moves to the front to a s s u m e the lead. This goose does
so until he tires. Then he d r o p s b a c k a n d a n o t h e r goose
moves in to lead. Geese in a flock are willing to follow the
lead of whoever is l e a d i n g at the t i m e b e c a u s e they all have
a c o m m o n goal.
We can l e a r n a lot f r o m the goose! Geese have l e a r n e d h o w
to w o r k as a team. All in the flock are willing a n d able to
lead w h e n necessary. The l e a d e r w h o d r o p s b a c k is n o t int i m i d a t e d b y a n o t h e r t a k i n g his place. H e u n d e r s t a n d s t h a t
for n o w it is best t h a t s o m e o n e else a s s u m e s leadership.
CUSTOMER FOCUS
M a n a g e m e n t m u s t develop an attitude t h a t puts the cust o m e r in every decision m a d e . The c u s t o m e r is the r e a s o n
we are in business. W i t h o u t c u s t o m e r s there w o u l d be no
CHAPTER 1 - - M A N A G E M E N T ' S ROLE
job to perform, no requirements to be met, and no reason
anyone would wish to purchase your company's stock.
As explained in the Introduction, there are two kinds of
customers: internal and external. External customers provide
income for the organization through purchasing goods or
services. Internal customers (employees) satisfy the requirements of the external customers and the requirements of
others in their own organization. Both are important and
need to be understood for an organization to succeed and
prosper.
External Customers
The expression "The customer is always right" is not always true; however, one right of the customer is always true:
"The customer has the right to purchase from whomever he
wants." With this in mind, we should make every attempt to
make sure the customer wants to buy from us.
To assess the needs of your customers, utilize input from
all customer contact personnel. In an organization that follows TQM principles, input can come from the sales representative, your marketing group, the quality department,
manufacturing, customer service, and engineering. The
method in which the input is provided can be reactive or
proactive. Both sources should be looked upon as opportunities for satisfying your customers' needs.
Reactive input is in the form of customer complaints or
from interpreting customer purchase orders or sales inquiries. When customer complaints are received, either as
written complaints or in the form of returned goods, most
organizations react as fire fighters and focus on the hot spot.
We sometimes ignore the system that created the problem
in the first place. When a purchase order or sales inquiry is
received, most organizations interpret their customer's requirements through the mirror of their own paradigms.
Proactive input is solicited through visits to the customer's
place of business, visits to your facility by your customer,
customer satisfaction surveys, and by cross-functional teams
consisting of employees from customer and supplier facilities. All these activities should be part of management's strategic business plan. The strategic business plan will be discussed further in Chapter 3.
I n t e r n a l Customers
In a TQM environment, the attention paid to employees is
as important as, if not more important than, attention paid
to the customer. The employee is the internal customer of
the organization, the individual who can make things happen. His or her understanding of the organization's goals and
commitment to the customer must be complete. This can be
assured by following a three-step process that includes (1)
an employee survey, (2) an employee training program, and
(3) regular communication sessions to continually reinforce
the organization's goals.
Employee Survey
The employee survey should be designed to provide an assessment of how the employee feels about the company and
how he perceives his role to the customer. An example of a
survey I used successfully is provided in Fig. 1-2.
5
The TQM steering committee (discussed in Chapter 3)
should review and analyze employee survey results and determine the training program required to bring employees
up to speed on company goals. Training can be conducted
by inside experts or by using outside resources. There are
advantages and disadvantages to both approaches.
The advantages to using inside experts are cash flow containment and assuring that the training is tailored to existing
company paradigms. The disadvantages of using in-house
experts are having to overcome existing negative perceptions
of the expert, if there are any, and removing the expert from
his duties to provide preparation and training.
The advantages of using outside sources for training are
many. Among them is the natural perception that an outside
consultant knows more about a subject than inside people.
This advantage can create a more receptive learning environment for the employee. Another advantage is that no time
is taken from anyone's schedule for preparation of lesson
plans. Two major disadvantages are expense and the fact that
the outside resource is not familiar with your company
culture.
Both options of training must be evaluated by the TQM
steering committee, and selection of training resources
should be made on the best fit analysis. The key is to assure
that whatever training source is utilized that the source emulates the goals of the organization.
Activities concerning customers need to be communicated
to everyone in the organization in a timely manner. Most
information can be distributed on a monthly basis, but special news should be disseminated as required. An ideal
method of sharing news is through a company newsletter
that contains information on employees, customers, and
continuous improvement activities.
TRAINING
Continuous improvement cannot occur within an organization unless training is part of management's agenda. Leaders
in respective departments should take the initiative to conduct
an analysis of each employee's ability to perform his or her job.
This is often referred to as a needs assessment analysis.
The needs assessment analysis should be performed on the
job function, not the individual performing the job. For example, suppose the job is to prepare an accurate product
certification document. A flow diagram on completing a
product certification is shown in Fig. 1-3.
The focus should be on preparing an accurate product certification, not on the skills of the final product auditor, the
material handler, or the typist. Study each step in the flow
diagram for the job and determine exactly what is required
for that step to be successful. For example, let's look at the
seep: Inspect All Critical Characteristics Per Sample Plan.
To be successful at this step, every step preceding must
have been performed correctly and accurately. All critical
characteristics must be identified on the inspection plan or
engineering drawing. The sample plan should be available
and germane to the product being inspected. The test equipment and inspection equipment should be in full calibration
and acceptable for the tolerances being examined. The individual conducting the task must be qualified for the task.
6 TOTAL QUALITY MANAGEMENT MANUAL
IN PLANT "ASK ME" BOX
(4) Do you receive everything you need from
the previous operation or department to
do your job well?
(1) How do you perceive your role in service
for customers?
Directly Involved
Indirectly Involved
Not Involved
Yes
No
(circle one)
If no suggestions:
(2) How do feel about service you receive
from related departments?
Satisfied
Not Satisfied
No Opinion
(5) If you could make one change in
either your department or the
company as a whole, what would
you change to improve service for
our customers?
(3) Do you have enough authority to make
improvements to better serve our customers?
If No, Suggestions:
(6) If you could rate overall the products and services provided to our customers, what would that
rating be?
Superior
~
Good
Average
_ _
Poor
Other
Please explain:
Figure 1-2~Employee survey.
Any deficiency found in any of the subgroups contributing
to the successful completion of the main task of inspecting
all critical characteristics per sample plan may require training for the individual doing the inspection or correcting
some upstream activities.
evaluate and suggest how to improve current systems. It is
through these management teams that lower-level employee
teams are created.
The teams formed at all levels will concentrate on improving the organizations critical performance indicators (CPIs).
CPIs are tracked and evaluated through measurement parameters established by management E & I teams.
EMPOWERMENT AND INVOLVEMENT
One of the more responsible acts management can perform is recognizing that their employees can make significant contributions to the success of the organization. If management provides the tools and training, a great deal can be
accomplished through employee empowerment and involvement (E & I). However, the employee must be properly prepared for such responsibilities.
The first employees that should be prepared for Employee
E & I are managers and supervisors. The concepts of TQM
must be provided through several training sessions and
should be reinforced through appropriate actions from senior management. One of the better methods of demonstrating senior management's commitment to Employee E & I is
by forming management teams and allowing these teams to
MEASUREMENT
Management should establish measurements to track
progress on CPIs. The unit of measurement should fit the
indicator being evaluated and should be understood by those
who contribute to the improvement process for that indicaton For instance, the cost of quality CPI should be measured
in dollars and compared to several key values, such as cost
of sales or cost of manufacturing. Another example is on
time performance. This CPI can be measured in several
ways, which should all relate directly to customer requirements. For example, this CPI can track orders shipped to
customer-required dates (external customer measure), or it
could track design engineering input to manufacturing en-
CHAPTER 1 - - M A N A G E M E N T ' S R O L E
7
i~ INSPECTOF~
.REVIEW
ROUTING&
DRAWING
I DELIVER ORDER
TO INSPECTION
HOLD FOR
MATERIAL
REVIEW
PULL
INSPECTION
PLAN FOR PART
INSPECT ALL
CRITICAL
CHARACTERISTICS
PER SAMPLE PLAN
HOLD FOR
MATERIAL
REVIEW
COMPLETE
CERTIFICATION
FORM
TYPE ON
STANDARD
CERTIFICATION
FORM
DELIVER TO
INSPECTION
GIVE TO TYPIST
.... _ ~
INSPECTOR
REVIEW AND
SIGN
ATTACH
CERTIFICATION
TO PACKING
SLIP
Figure 1-3-- Productcertificationflow chart.
gineering (internal customer measure), or it could track
quote turn around from your suppliers (a measure of your
needs as a customer of your supplier).
CPIs will be discussed further in Chapter 2 when methods
of continuous improvement are explored.
RECOGNITION AND REWARDS
Management has the responsibility to provide an environment for the work force that is safe and environmentally
clean. This environment should also lay the foundation for
supporting the employees' quality of work life. Once this
foundation has been established, management must develop
a recognition and rewards program designed to improve and
maintain employee job satisfaction.
A three-tiered system should be developed that includes:
(1) day-to-day recognition, (2) informal recognition, and (3)
formal recognition programs. The best way to get started is
to create a steering committee made up of staff management.
This committee can define the scope of the program and establish guidelines to be followed by employee teams established to implement the program. Employee teams should include participants from all levels of the organization.
The steering committee can set the scope of the program
to include as many systems as they feel the company can
support and effectively manage, but some systems should
always be included because of their proven effectiveness.
8
TOTAL QUALITY MANAGEMENT MANUAL
The following systems, when properly structured and administered, are very cost effective and contribute directly to
a company's profitability through various improvements. In
no particular order, these proven systems are: pay-for-performance, perfect attendance, service awards, and continuous improvement programs. Pay-for-performance recognizes employees for their performance on the job and should include
such criteria as quality of work produced, productivity, attendance, initiative, job knowledge, and safety. An attendance policy should establish rules to define when employees
are to be on the job and when they are excused from their
job. This may seem like a basic idea, but it is surprising how
many companies do not have an established and documented policy on absence from the job. When there is no
written policy, there is no consistency, and this leads to dissatisfied employees who see management as untrustworthy
or at the very least prone to favoritism. A service awards
policy recognizes employees for their length of service with
the company and can be very rewarding in enhancing employee esteem and fostering employee loyalty.
COMMUNICATION
This guideline is one of the more important for both management and employees. It is a two-way street, and both
should strive to keep the airwaves open. Even though communication is a two-way street, it must start with management. Management should set the standard by creating an
environment conducive to openness without fear of reprisal
or ridicule. At all times communication must be polite and
conducive to enhancing self-esteem. The best way to get
started is as with all the other guidelines: establish a steering
committee to set the policy and the guidelines for implementation. Then create the opportunity for employee involvement teams to get the program underway.
Some of the more common and effective programs include: company newsletters, staff and employee meetings, and
an open invitation from management to allow employees at
all levels to hold informal conversations or brainstorming
sessions in employee lounges during breaks.
Strategic Planning
ONCE MANAGEMENT'SROLEAND commitment are defined and
established, the top executives of the organization should establish a quality policy. The quality policy should state the
organization's commitment to: (1) continuous improvement
and (2) customer satisfaction. These seem like basic organizational goals, but, unless stated, the rest of the organization will not be aware of them or will not have a clearly
stated policy from which to develop their own planning for
improvement.
Quality policies can be from one paragraph to a full page.
The policy's length is not as important as its contents. For
lasting impact on employees and customers, it is best to keep
them short. After all, it is easier to recall one paragraph than
an entire page. An example of a quality policy could be"
(insert company name here) is committed to continuous improvement and providing products and services that are of the
highest quality. At (insert company name here), we believe customer satisfaction is the most important service our employees
can provide.
Although short, this policy is very much to the point. It
says a lot about the philosophy of the company's top executives. It says, "The most important goal of this organization
is to satisfy the customer and to find better ways to manufacture products and/or provide services." I do not want to
become too involved with what quality means in this quality
policy statement. There are as many definitions of this word
as there are words on this page. The following are a few
definitions of the word quality that should provide a basis
for developing many more.
Quality is:
1. When a product is consistently represented.
2. An attitude of excellence with an objective of error-free
performance shared by all employees.
3. Achieved through dedicated and Skilled employees, mode m facilities, controlled manufacturing processes, continuing education, and a positive work environment.
4. Directly related to superior value and performance and is
provided to customers in terms of productivity improvements, reduced operating costs, and outstanding service.
For the rest of this book, quality is simply defined as: providing goods and services that meet or exceed customer
requirements.
To provide goods and services that meet this definition, the
executives of the organization must have a strategic plan to
lead the company along this path. The plan should contain
both long-term and short-term objectives. The window for
long-term objectives should be no more than four years and
preferably three years. The world changes so fast that planning more than four years ahead is not practical. Markets
change at almost a constant pace. Customers' requirements
do the same.
A long-term strategic plan should consist of four main programs. There should be: (1) a program for futuristic quality
planning, (2) a program for service and product improvement, (3) a program for employee involvement and education, and (4) a program for business systems. These programs require a mission statement so that the goals of the
program are understood. As with the quality policy statement, the mission statements for these programs should be
short and to the point. This gives precise direction to steering
committees implementing these programs. Mission statements for the programs I recommend are:
1. Futuristic quality planning--Develop and drive business
decisions that utilize quality tools and concepts to assure
the successful introduction and implementation of new
products, processes, and services to our customers.
2. Service and product improvement--Develop and implement programs to improve office and manufacturing operations, processes, and systems leading to improvements
and consistency in service and products, and reductions
in internal waste.
3. Employee involvement and education--Utilize the inherent
knowledge and expertise of our employees to identify and
participate in opportunities for improvement, and provide
appropriate education as needed in support of these goals.
4. Business systems--Develop and manage the business systems required to assure quality, improve operations, and
support our internal and external customers.
These programs require further definition to understand
how they are applied to effect continuous improvement.
FUTURISTIC QUALITY PLANNING
Futuristic quality planning is necessary to assure successful applications of new systems, processes, and products.
Futuristic quality planning applies equally well to existing
processes or products because it perpetuates continuous
improvement. This planning program almost always requires the use of cross-functional teams. The core members
of this team should consist of people who have the necessary
authority to make decisions that support the program. During the course of planning activities, it will often be necessary to recruit employees who have special insight or knowledge of the process being evaluated.
10 TOTAL QUALITY MANAGEMENT MANUAL
It is best to use a structured approach for this planning
process. This will assure consistency of purpose and allow
easy inclusion of participants who have had experience on
other quality planning teams.
A method I have applied over the years fits the needs of
both service and product manufacturing. Both activities require futuristic quality planning to assure efficiency of operations and customer satisfaction. Service/product quality
planning (SPQP) is a structured approach that can be applied to any business activity. It does not matter if we are
working in a manufacturing or service environment. It does
not matter if we are looking to improve office systems
or manufacturing processes. The principles are the same:
(1) flow chart the process chain for the activity or product;
(2) assess the current method and effectiveness of quality
control; (3) do a failure mode and effects analysis of highrisk process steps; and (4) develop a control plan to assure
quality.
The SPQP process is designed to improve the quality of
current services and products. When new services or products are under consideration, another quality tool should be
applied to achieve maximum customer satisfaction. This
other tool is quality function deployment (QFD). QFD is a
very structured and extensive analysis of customer requirements and needs. The study and application of QFD warrants a book of its own and will not be covered in this
manual.
We can still develop a strategic plan for customer satisfaction using only the tools contained within SPQP when applied toward new services or products if the customer is permitted to participate. I feel that most readers of this book
are more interested in finding methods to improve current
services, processes, or products. The study of QFD is recommended for marketing functions and design engineers.
The steps and tools required to prepare an SPQP are as
follows:
Phase 1: Flow Chart
There are universal rules to follow when preparing a flow
chart. A square box should be used to describe each major
process step involved in creating the service or product. Arrows should be used to show the direction each process step
takes as the total process evolves. Diamonds should indicate
decision points along the process chain. Either inside or adjacent to the diamond is usually a question. Process flow
lines (arrows) from the diamond points are used to act upon
the answer and lead to the next process step. Other universal
symbols are used to reduce the amount of text contained in
a flow chart. One example is an inverted triangle to indicate
that an evaluation or an inspection must take place at a particular process step.
An example of a flow chart using these symbols is shown
in Fig. 2-1. This is a flow chart for heat treating a threaded
bolt in a molten salt bath. This flow chart has ten process
steps. Each individual process step could be expanded to describe the actions necessary to complete its task, but generally this is not necessary unless that particular step needs to
be improved upon. This process has two decision points controlled by the furnace operator. A "yes" answer by the fur-
nace operator allows the process to continue, but a "no" answer requires assistance from quality control.
Phase 2: F l o w Chart A n a l y s i s
After the process is defined so that each major process step
is identified, the next phase is to assess the contribution each
step has in reaching the desired end result of the process. In
this case, the end result is a bolt (or a processing lot of bolts)
meeting all metallurgical and design requirements after the
salt heat-treating process.
Let's review the process step LOAD PARTS IN BASKET
(see Fig. 2-1). This step requires the furnace operator to verify several facts to assure compliance with meeting all quality requirements of his work order. These quality requirements are the contributions that this step has in satisfying
the metallurgical and design requirements for salt heat
treating.
The operator has to assure that all paperwork received
with the product matches. This includes drawings, manufacturing routings, the heat treat process sheet, the quality assurance control plan, etc. The operator must assure that
when the parts are loaded into the basket the parts are positioned so there will be an even transfer of heat during the
heat-treating operation. The operator must assure that the
parts are positioned to minimize distortion. And the operator must assure that if there are parts from other orders in
the same basket, that these parts have weight and mass similar to the parts for the current order. All aspects of this one
step, LOAD PARTS IN BASKET, can be evaluated as to its
overall effectiveness.
In flow chart analysis, we evaluate each step in a process
as to the severity of failing to perform the step correctly, the
capability of the process itself to perform the step correctly,
and the probability of knowing when the process is not performing as expected. We assign values to the severity, capability, and detection criteria to weigh the results so it is possible to prioritize required actions when the failure mode
and effects analysis (FMEA) is prepared. The guideline values for severity, capability, and detection are presented in
Tables 2-1, 2-2, and 2-3, respectively.
To see how these guidelines apply, let us continue to work
with our example for heat treating. In Step three (see Fig.
2-1), LOAD PARTS IN BASKET, the SPQP team made the
following decisions as shown in Table 2-4.
1. For "paper work matches," the team chose a severity rating of 3 because they felt that incorrect information as to
material type, for instance, would prevent the product
from responding as expected in the high-heat furnace. A
capability of 3 was chosen because past experience has
been positive with hardly any cases of mixed paperwork.
For detection, the team chose "1," because mixed paperwork is very easy to detect when it occurs.
2. For "parts are positioned to assure even heat transfer," a
4 was chosen on severity because failure to satisfy this
requirement could result in nonconformance to metallurgical properties. A 3 was chosen for capability because the
baskets are designed with a partition that properly spaces
the parts for even heat transfer. When it came to detection,
the team picked "2" because if the operator put more than
one part in a partition it would most likely be detected.
CHAPTER 2--STRATEGIC PLANNING
11
RECEIVE
PARTS
REVIEW
ROUTING &
DRAWING
LOAD PARTS
IN BASKET
LOAD IN •
HIGH HEAT I~l~
FORNACE I
I QUENCH IN
SALT
r
CALL FOR QC
REVIEW
J COOLTO
"~ ROOMTEMP
- ~
WATER
WASH
TEMPER IN SALTAND
VERIFY HARDNESS
NO
UNLOAD
PARTS
STAGE FOR
NEXT
OPERATION
Figure 2-1 m Basic salt bath heat treat process flow.
3. For "parts are positioned to minimize distortion," the
team gave a severity rating of 4 because failure to satisfy
this requirement could result in a dimensional defect. The
capability was 3 because of operator experience with the
effects of incorrect positioning. The selection of 2 for detection was assigned because a double check of position
prior to moving the parts to the high-heat furnace is performed by another operator.
4. For "parts have similar mass and cross-sectional area,"
ratings of 4, 3, and 2 were assigned for severity, capability,
and detection, respectively, based upon the quality history
and experience of the operators involved.
This process is completed for each step in the process of
salt heat treating. The end result is a compilation of values
that allow's management to prioritize the analyses and improvements to be made by the SPQP team. An example of
the completed process flow analysis for salt heat treating is
provided in Fig. 2-2. In this example, one can see that the
SCD values (severity rank times the capability rank times the
detection rank equals the SCD value) vary from one step to
the other and within each step depending on the controlled
characteristic.
Management must decide which controlled characteristics
require further evaluation through a FMEA. Companies usu-
12
TOTAL QUALITY MANAGEMENT MANUAL
TABLE 2-1--Service/product quality plan--severity assessment guidelines.
The severity assessment rates the overall importance of each potential product nonconformance
Severity
Assessment
5
to the process and final customer.
Safety related characteristic. Failure to satisfy this requirement could result in
unexpected and/or catastrophic failure, leading to personal injury or property
damage.
Critical characteristic. Failure to satisfy this requirement could either result in a
significant loss in performance or cause the end user to produce a product that
does not conform to his or her customer's requirements or would prevent or
significantly h a m p e r a following operation from performing its function.
Functional characteristic. Failure to satisfy this requirement could prevent the product
from being assembled and used as intended, lead to more variability in
performance than is normally anticipated, could be perceived as poor quality by the
final customer, or a subsequent operation would have some difficulty in its process
due to the nonconformance.
Nonfunctional characteristic. Failure to satisfy this requirement will not have any
appreciable impact on performance. Most cosmetic requirements shall be
considered nonfunctional characteristics unless there is a history of customer
complaints. Cosmetic requirements that have resulted in complaints will be
considered a functional characteristic. Subsequent operations would see no
appreciable difference in performance.
Process characteristic. Failure to satisfy this requirement has no impact on the
finished product or the manufacturing process.
4
3
2
1
TABLE 2-2--Service/product quality plan--capability assessment guidelines.
Capability
Assessment
For Manufacturing Processes with
Documented Process Capability Data
Cpk > 2.0
1.67 < Cpk < 2.0 or Ppk < 2.0
1.33 < Cpk < 1.67 or 1.67 < PPK < 2.0
1.00 < Cpk < 1.33 or 1.33 < Ppk < 1.67
Cpk < 1.0
For Manufacturing Processes Without
Documented Process Capability Data
N/A
N/A
Although documented process capability data are not available,
past experience with this process on similar products has
been very positive.
Very few known problems have occurred w h e n using this
process on similar products in the past.
This process has been known to be a source of scrap and/or
discrepant material when used on similar products or there
are no historical data for this process.
NOTE: This assessment uses the formula rain [x - 3g
L_SL' USL
3~- x]J for both Cpk and Ppk.
TABLE 2-3--Service/product quality plan--detection assessment guidelines.
Detection
Assessment
1
2
3
4
5
The detection assessment rates the probability that the current inspection and SPC system will
find a nonconformance should it occur.
A nonconformance will almost always be detected. Either the process automatically
detects a failure or a high capability has been established and SPC is appropriate,
understood, and used to run the process.
There is a good chance of detecting a nonconformance. SPC is generally understood
and usually reacted to in a capable process, or some form of 100% inspection is
used.
The current system may detect a failure. SPC is in place, but not fully understood
and or reacted to, or sample inspections are done throughout the run.
A nonconformance will probably not be detected. Control charts are done incorrectly
or are incomplete, or inspections are limited, such as setup only.
There is absolute certainty that a nonconformance will not be detected. No inspection
is done.
NOTE: "Detection" must take place before reaching the next applicable process/customer. Inspection by the next process
or final inspection is not appropriate in determining this rating.
CHAPTER 2 - - S T R A T E G I C PLANNING
Process Step
Load parts in
basket
TABLE 2-4--Load parts in basket.
Controlled Characteristic
SCD
Severity
Paper work matches
Parts are positioned to assure even
heat transfer
Parts are positioned to minimize
distortion
Parts have similar mass and crosssectional area
ally do n o t have u n l i m i t e d resources a n d m u s t limit the
n u m b e r of projects t h r o u g h the use of Pareto analysis.
Before going further, I feel it beneficial to p r o v i d e definitions of Pareto analysis a n d Pareto chart.
Pareto analysis: Analyses of the frequency of events
d e s c r i b e d on a Pareto c h a r t t h a t c o n t r i b u t e to a n outcome. I n the quality profession, o u t c o m e s could be rejects, scrap, a n d o t h e r c o n t r i b u t o r s to cost of quality
such as incorrect invoices, p u r c h a s e orders, m i s s i n g information, etc.
Pareto chart: A simple statistical tool t h a t r a n k s cont r i b u t i n g factors to an o u t c o m e a c c o r d i n g to either cost
o r frequency of occurrence. This allows for easy priorit i z a t i o n of c o n t r i b u t i n g factors for analysis, t h e r e b y
keeping cost of analysis low by focusing on the vital few
a n d t e m p o r a r i l y not a n a l y z i n g the trivial many.
I n o u r example, m a n a g e m e n t d e c i d e d to p e r f o r m a F M E A
on all controlled characteristics t h a t h a d a n SCD value t h a t
exceeded 50. The c a n d i d a t e s for FMEAs are s h o w n in Table
2-5. I n general, m a n a g e m e n t w o u l d also c o n s i d e r a n y controlled characteristic t h a t h a d a 5 for either c a p a b i l i t y o r
detection regardless of the SCD's value rank.
P h a s e 3: F M E A
The F M E A is a d o c u m e n t designed to a c c e p t change. It
acts as a futuristic p l a n n i n g tool b y identifying p o t e n t i a l
causes of failure t h a t s h o u l d be c o n s i d e r e d in the developm e n t of control plans. As n e w controls are i m p l e m e n t e d , the
F M E A is revisited a n d revised to reflect n e w process capabilities. FMEAs c a n be d e v e l o p e d for processes or p r o d u c t s .
In o u r example, we are c r e a t i n g a Process F M E A for the salt
h e a t treating process. A F M E A is an analytical t e c h n i q u e
utilized to assure to the b e s t o f its ability t h a t all p o t e n t i a l
concerns (failures) are identified a n d a d d r e s s e d t h r o u g h
s o m e control m e c h a n i s m . The g r o u p best suited to develop
a F M E A is m a n u f a c t u r i n g engineering o r a s i m i l a r g r o u p o r
individual t h a t u n d e r s t a n d s the process ( m a n u f a c t u r i n g o r
service). The Process F M E A identifies failure modes, explores the effects of the failure on customers, d e t e r m i n e s the
p o t e n t i a l causes of those failures, looks at c u r r e n t controls
to avoid o r identify the failure, a n d suggests actions to improve control.
The t e a m assigned to c o m p l e t e the F M E A s h o u l d consist
of those close to the process b e i n g evaluated. As m e n t i o n e d
earlier, for a m a n u f a c t u r i n g o p e r a t i o n such as h e a t treating,
the b e s t p e r s o n to l e a d the t e a m is a m a n u f a c t u r i n g engineer.
F o r o u r example, o t h e r p o t e n t i a l m e m b e r s are the p l a n t metallurgist, l a b o r a t o r y technician, furnace operator, a n d super-
Capability
Detection
9
3
3
1
24
4
3
2
24
4
3
2
24
4
3
2
13
visor o f the h e a t t r e a t d e p a r t m e n t . An e x a m p l e o f the F M E A
f o r m a t is s h o w n in Fig. 2-3.
Let's w o r k t h r o u g h a n e x a m p l e of c o m p l e t i n g a FMEA.
E a c h c o l u m n c o n t a i n s i n f o r m a t i o n t h a t leads to i n f o r m a tion/action for the s u b s e q u e n t column. O u r t e a m c a m e u p
w i t h the F M E A s h o w n in Fig. 2-4 for Process Step 4: H i g h
H e a t F u r n a c e . The following logic is a p p l i e d to fill the columns with information:
Process
I n this c o l u m n , list the p r o c e s s step t h a t creates the controlled c h a r a c t e r i s t i c u n d e r analysis. F o r o u r example, the
first e n t r y in this c o l u m n is H i g h H e a t Furnace. This process
step is the first p r o c e s s step o f t h e process flow analysis t h a t
h a d a n SCD value t h a t exceeded 50. To c o m p l e t e the FMEA,
following in order, the next entries f r o m Table 2-5 w o u l d b e
Cool, Temper, a n d H a r d n e s s Test.
Controlled Characteristics~Fail Mode
I n this column, list the c o n t r o l l e d c h a r a c t e r i s t i c a n d t h e
a n t i c i p a t e d failure mode. F o r the process step, H i g h H e a t
F u r n a c e , the c o n t r o l l e d c h a r a c t e r i s t i c is P a r t Microstructure.
The p o t e n t i a l failure m o d e s are: incorrect a t m o s p h e r e ,
i n c o r r e c t f u r n a c e t e m p e r a t u r e , a n d incorrect t i m e at
temperature.
Effects
I n this c o l u m n , list the effect the failure m o d e w o u l d have
o n the c o n t r o l l e d characteristic. I n the case of o u r example,
all failure m o d e s identified w o u l d cause the w r o n g m i c r o structure, l e a d i n g to p r o d u c t failure at a s u b s e q u e n t o p e r a tion o r in p r o d u c t application.
Likely Causes
At this juncture, we e x a m i n e the likely cause(s) of the i d e n tiffed failure modes. The likely cause of i n c o r r e c t a t m o s p h e r e
is c o n t a m i n a t e d salt. The likely cause for i n c o r r e c t tempera t u r e is a defective furnace t h e r m o c o u p l e . The likely cause
of i n c o r r e c t t i m e at t e m p e r a t u r e is an i n c o r r e c t setting o f
t h e f u r n a c e timer.
Current Control Methods
I n this column, list the p r e s e n t m e t h o d of controlling the
likely cause(s) o f the failure mode(s). I n o u r example, t h e
f u r n a c e salt is evaluated every six m o n t h s b y the c h e m i c a l
c o m p a n y the supplies the salt. The m a i n t e n a n c e d e p a r t m e n t
changes the furnace t h e r m o c o u p l e s every two weeks. The
r e m o v e d t h e r m o c o u p l e s are r e t u r n e d to the t h e r m o c o u p l e
s u p p l i e r to b e c a l i b r a t e d a n d r e b u i l t as r e q u i r e d for future
14
TOTAL QUALITY MANAGEMENT MANUAL
SERVICE / PRODUCT Q U A L I T Y PLAN
P h a s e I - P r o c e s s Flow Analysis
Revised
Salt Bath Heat Treat
Product Une:
Manufacturing Location:
ABC Company
Original
S C D
S
e a e
C
v
Original Issue Date:
January 1994
Approved By:
p
t
a
b
i
ti I
e
c
t
i
i
o
t
n
e
r
i
y
Process Flow
Diagram
Controlled
Characteristics
D
(9/30/93)
S
Ci
D
S
e
v
e
r
alI e
p t
~ e
c
C
D
i
i
t
t
y
I
i
t
Y
i
o
n
4
3
1
12
Y
1) Receive Parts
1) Parts are ready for Heat
Treat.
2) Review RoutJngs and
Drawings
2) Parts match metallurgical
requirements of the routing and drawing.
4
3
4
48
5
3
2
30
3) Load Parts Into Rack or on Wire and
Match Paperwork.
3) - Paperwork for each load
match,
- Parts are positioned to ensure
even heat transfer
- Parts are positioned to
minimize distortion.
- Parts have similar mass and
cross sectional area.
3
3
1
9
3
3
1
9
3
3
3
27
4
3
2
24
4
3
4
48
4
3
2
24
3
3
3
27
4
3
2
24
4) High Heat Furnace
J,) Part microstructure
5
3
5
75
5) Quench
5) Part hardness
Part microstructure.
3
5
3
3
5
5
45
75
8) Cool
~) Part microstructure.
5
3
5
75
7) Water Wash
~') Parts free of salt.
3
4
2
24
8) Temper
3) Part hardness
Part microstructure.
5
5
5
3
3
5
75
75
9) Clean
a) Parts free of Heat Treat
scale.
Parts free of Hea-tTreat
salts.
2
3
3
1
9
3
4
2
24
10) Hardness Test
10) Meet part hardness
requirement.
4
5
5
3
75
11) Unload Parts From Rack or Wire
and Match Paperwork.
11) Parts are free from:
- Damage
- Distor'don
- Cracks
- Salt
- Paperwork matches parts
in individual orders.
3
3
5
3
4
3
4
3
4
3
2
4
3
2
1
18
48
45
24
12
12) Stage For Subsequent Operations,
Black Oxide or Further Processing.
12) Parts are as represented.
3
3
1
9
1 of
1
2
SaRHtIA)
3
3
3
1
2
2
6
12
24
Page
Figure 2 - 2 m P r o c e s s
f l o w analysis.
CHAPTER 2--STRATEGIC PLANNING
TABLE 2 - 5 - - S a l t Bath Heat Treat Phase 1 Results: operations
in the process that exceed 50 in the SCD rating.
Operation
Step 4: High heat furnace
Step 6: Cool
Step 8: Temper
Step 10: Hardness test
Characteristic
Part microstructure
Part microstructure
Part hardness
Part microstructure
Meet part hardness
requirement
SCD Rating
75
75
75
75
75
use. The furnace o p e r a t o r s m o n i t o r the t i m e at h e a t as ind i c a t e d on the electronic furnace controller.
Responsibility (Resp. and Date)
I n this column, list the person(s) held a c c o u n t a b l e for applying the c u r r e n t controls. F o r o u r example, the h e a t t r e a t
supervisor is held a c c o u n t a b l e for having the furnace salts
e v a l u a t e d every six m o n t h s , the m a i n t e n a n c e d e p a r t m e n t is
a c c o u n t a b l e for c h a n g i n g the furnace t h e r m o c o u p l e s every
two weeks, a n d the furnace o p e r a t o r s are a c c o u n t a b l e for
m o n i t o r i n g the t i m e at heat.
Recommended Actions
This c o l u m n is used w h e n the t e a m identifies a n opport u n i t y for i m p r o v e m e n t on one of the c u r r e n t m e t h o d s of
control. In o u r example, the t e a m felt t h a t the six-week interval was too a r b i t r a r y a n d n o t b a s e d on historical data.
This m e a n t t h a t d u r i n g s o m e six-month periods, the salt b a t h
was o u t of control o r specification a n d n o t k n o w n except b y
s p o r a d i c m e t a l l u r g i c a l failures. So the t e a m d e c i d e d to a p p l y
statistical process control (SPC) to the salt b a t h analysis. A
p r o g r a m was e s t a b l i s h e d to analyze the b a t h every w e e k a n d
c h a r t the m a i n variables of the b a t h on an individual's chart.
The b a t h could then be rejuvenated/replaced b a s e d on outof-control data. In the long r u n the t e a m felt t h a t m o n e y
could be saved using this a p p r o a c h b y e l i m i n a t i n g metallurgical rejections necessitating r e w o r k or scrap. The c h e m i c a l
s u p p l i e r was p r o v i d i n g the b a t h analysis free of charge a n d
was m o r e t h a n h a p p y to acquire statistical d a t a on the life
cycle of his c h e m i c a l s for m a r k e t i n g purposes.
Date
In this c o l u m n list the n a m e of the i n d i v i d u a l r e s p o n s i b l e
for the r e c o m m e n d e d action(s) a n d the d a t e the action(s) are
expected to be i m p l e m e n t e d or completed.
All FMEAs should be p u t on a review p r o g r a m to evaluate
a n d a s c e r t a i n the c u r r e n t n e s s of the d o c u m e n t . One of the
b e t t e r m e t h o d s is to p u t d o c u m e n t n u m b e r s on the SPQP
a n d a d d t h e m to the c o m p a n y c a l i b r a t i o n software system.
This way, a one y e a r "calibration" cycle can be p r o g r a m m e d ,
a n d the review process c a n n o t be overlooked. The review
does not require a team; all t h a t is r e q u i r e d is t h a t the individual m a k i n g the review be k n o w l e d g e a b l e of the process
u n d e r review. The individual can always solicit, as necessary,
the council of others in the o r g a n i z a t i o n for expert or specific assistance.
Phase
4: C o n t r o l P l a n
The final p h a s e of an SPQP is the d e v e l o p m e n t of a control
plan. As with the FMEA, a control p l a n can be designed for
15
a process o r for a product. The decision to m a k e a process
o r p r o d u c t control p l a n is u s u a l l y d e c i d e d by the type of
organization. An o r g a n i z a t i o n t h a t provides a service, such
as a m a c h i n e shop m a n u f a c t u r i n g c o m p o n e n t s for a larger
m a n u f a c t u r e r o r a c o m p a n y t h a t provides office cleaning services, w o u l d m o s t likely e m p l o y a p r o d u c t control p l a n so
t h a t t h e y are confident of satisfying all t h e i r c u s t o m e r s '
u n i q u e requirements. On the o t h e r hand, a m a n u f a c t u r e r of
s t a n d a r d ASTM A325M 1 s t r u c t u r a l bolts o r a b a n k clearing
c u s t o m e r checks w o u l d find the process control p l a n m o r e
apropos. In either case, the control p l a n f o r m a t is the s a m e
a n d is s h o w n in Fig. 2-5.
The control plan, as the FMEA, is divided into c o l u m n s
w i t h h e a d i n g s to provide a n a t u r a l sequence of events enabling users of the control p l a n a concise a n d clear guide for
controlling the quality of the process o r product. We will
n o w w o r k o u r w a y t h r o u g h a process c o n t r o l p l a n for h e a t
t r e a t i n g an ASTM A325M s t r u c t u r a l bolt with a salt-bath
furnace.
Process Point Control
This c o l u m n contains the s a m e i n f o r m a t i o n in the s a m e
sequence as the like c o l u m n in the process flow analysis for
the salt h e a t t r e a t process. It is a listing of all steps r e q u i r e d
in the process of h e a t treating via this m e t h o d in the exact
o r d e r the steps are p e r f o r m e d .
Controlled Characteristic
This c o l u m n c o n t a i n s the s a m e i n f o r m a t i o n in the s a m e
sequence as the like c o l u m n in the process flow analysis for
the salt h e a t treat process. All characteristics controlled at
the process step in the s a m e r o w m u s t be listed in this
column.
Control Methods~Sample Plan
In this c o l u m n the m e t h o d of controlling the c h a r a c t e r i s t i c
along w i t h the specified s a m p l i n g m e t h o d is detailed. Several
m e t h o d s of control are available including first article verification, in-process i n s p e c t i o n to a s a m p l e p l a n b a s e d on lot
size o r p r o d u c t i o n rate/hour, statistical process control, a n d
100% inspection. The m e t h o d of control is b a s e d u p o n the
capability of the process step to m a i n t a i n design criteria.
Method of Evaluation
In this c o l u m n we describe the process, equipment, o r ins t r u m e n t a t i o n u s e d to evaluate e a c h controlled characteristic. Methods m a y include visual i n s p e c t i o n w i t h o r w i t h o u t
a microscope, a metallograph, a p a i r of dial calipers, a scanning electron m i c r o s c o p e (SEM), a h a r d n e s s testing machine, etc. Of i m p o r t a n c e here is the r e q u i r e m e n t t h a t for
w h a t e v e r m e t h o d of evaluation we employ, a n evaluation of
the r e p e a t a b i l i t y a n d r e p r o d u c i b i l i t y of t h a t m e t h o d be determined. One m e t h o d of c o n d u c t i n g an evaluation of the
r e p e a t a b i l i t y a n d r e p r o d u c i b i l i t y of an evaluation m e t h o d is
d e s c r i b e d in ASTM Guide for C o n d u c t i n g a R e p e a t a b i l i t y
a n d R e p r o d u c i b i l i t y S t u d y on Test E q u i p m e n t for Nondestructive Testing (F 1469).
1Specification for High-Strength Bolts for Structural Steel Joints
[Metric].
16
TOTAL Q U A L I T Y M A N A G E M E N T M A N U A L
°~
°1
t-
tO)
4"00
W
-0
t"
t~
o
-0
0
®
rw
"¢o
w
ta
@
n,,
|
®
-g
¢-
~:
n
~
.o
~ Q.
W
o
0
e.
¢5
¢J
0
"0
e..
m
0
|
=3
m
0
"0
0
E
2
I
?
2"1
R.
U.I
°o
n
e
0_
0
CHAPTER 2--STRATEGIC PLANNING
fl)
~0
(0
42
irl
~6
o
"6
E
~ o ~
o
if2
0
~
.0_
o~
-
"~n
o~
~
~l
~
W
m
m
o
~
~
r~
0
r.,
m
o
"o
o
.o
I
2
lit
I°
g
~
..
o
~
~0
i
|7
18
TOTAL
QUALITY
MANAGEMENT
MANUAL
tt~
Q.
r.
o
o
tO
t.)
!
(I)
U)
t~
t"
o
n
o
.°
t~
tY
0
..J
t"
or"
r~
tr,
t~
t"
t~
m_
Q.
0
0
c
I
u?
E
"0
0r-.
2
c
0
o
Z
5
tu
r.-
o
"0
2
to
o
o
t"
o~
...I
W
tl)
-0
0
t~.
2
I"1
t..)
CHAPTER 2--STRATEGIC PLANNING
__
B
~
.~
1-
¢,-
~- . ~ =
o
!
==
®.o
¢~
>
::3
0
0
o
~---~,~ ~
<
,
i
-
i
=
U,I
~
t/~
a.
a.
Q
I--
~ E ~..~ =
20
TOTAL QUALITY MANAGEMENT MANUAL
Responsibility
In this column, list the person(s) or department held accountable for evaluating the controlled characteristic. In the
case of persons, avoid the use of personal names; instead,
refer to the job title. This practice allows wider use of the
control plan and eliminates the need for revisions when an
individual is no longer performing the task detailed in the
plan.
Reaction of Plan to Out of Control or Specifications
In this column we specify what to do if during the course
of evaluation we find the characteristic either out of control
or out of specification. This is an important consideration,
and the team developing the control plan should be very specific so the person/department making the evaluation has
clear instructions on how to handle the situation.
Failure to properly handle an out-of-control or out-ofspecification characteristic could result in allowing the situation to continue or even permit a defective product to
reach the customer. It is recommended that the team refer
to standard operating procedures that describe in detail how
to deal with these situations. Any referenced procedure
should be available and completely understood by the individual/department that must act upon the problem.
A partially completed process control plan is shown in Fig.
2-6. So that we know how it is constructed, we will go
through the process step, Temper.
The columns entitled Process Point Control and Controlled Character in the Phase III Control Plan shown in Fig.
2-6 list the process step and the controlled characteristics,
respectively, for the temper operation. Two characteristics
are affected by the temper operation: one is "part hardness,"
and the other is "part microstruc~re." A separate line is used
for each of these characteristics.
In the Control Methods/Sample Plan column adjacent to
Part Hardness, the team put the phase "X & R Chart, 5 pieces
per furnace per order." This lets the furnace operator or anyone viewing the control plan know the statistical process
control is to be applied to this characteristic at this process
step. It also specifies the type of chart and the frequency and
size of subgroup sampling.
In the Method of Evaluation column, the team inserted the
name of the instrument required to check part hardness, in
this case, a Newage digital hardness machine.
In the colunm entitled Responsibility, the team inserted
the job title, Furnace Operator. In all cases, when assigning
accountability for action, name the individual performing
the task. With this directive comes responsibility from management. Management must assure that the person understands what is required and is properly trained to perform
the task.
The column entitled Reaction of Plan to Out-of-Control
Specification must provide enough information for the person named for responsibility to take appropriate action. In
this case, the team chose to reference a procedure that details how to deal with nonconforming material.
The controlled characteristic, part microstructure, is addressed in similar manner. However, due to the time and cost
involved in preparing metallurgical micromounts, the team
decided to check this characteristic only once per shift/furnace/material grade. This action was made possible because
the team earlier initiated more frequent check analyses of
the salt bath when an opportunity for improvement was
taken on the FMEA.
Although the SPQP program is very powerful, it does require a great deal of effort and resources to apply. This
downside, however, is nothing compared to the business
consequences of failing to plan for quality. Futuristic quality
planning pays high dividends in terms of reduced scrap and
rework. Other benefits include more satisfied customers both
in terms of the shear number of customers and in the degree
to which your customers are satisfied. This alone should be
enough incentive for the top executives of an organization
to fully support such a program.
Once the full support of top management is acquired, the
staff management should review their operations and make
recommendations for application of the SPQP process. It is
best to choose a process or product fairly well understood
by all involved in the process flow and one that shows promise for improvement. By starting with a process or product
that is going to show success, confidence in the program is
instilled in those who participate and in those who are on
the sidelines watching to see how it goes. After two or three
successes, you will find a grass roots movement by others to
apply this new technique to their own areas of responsibility.
The other three programs mentioned earlier in this chapter are best covered under continuous improvement, the
topic of Chapter 3. In Chapter 3, we will discuss critical performance indicators (CPIs), and the plan, initiate, evaluate
(PIE) processes for continuous improvement. These two programs include strategic methods for service and product improvement, employee involvement and education, and business systems.
Continuous Improvement
Analysis of the survey results should identify the critical
performance indicators (CPIs) that drive your organization.
If you recall, we earlier defined CPIs as those measures that
contribute to customer (internal and external) satisfaction.
It may not be surprising to find such factors as on-time delivery and cost of quality among the concerns of your customers and employees.
Once you have identified your CPIs, you need to know how
to track and measure these indicators so that you may find
out whether your efforts toward continuous improvement
are effective. This requires a structured and systematic approach and a few tools of statistics.
Structured and systematic means that procedures are established to assure that everyone knows what is expected
and that they do things the same way. It is important that
everyone work with the same set of data and that these data
be factual. The statistical tools are basic problem-solving
techniques employing the use of brainstorming, flow chart
analysis, and cause and effect analysis. These are simple yet
powerful techniques that anyone can apply. A more detailed
study of these techniques is discussed in Chapter 7, Statistical Quality Control.
The next step is to flow chart the process that affects the
CPI. An example of a flow chart was presented in Chapter 1,
Fig. 1-3. A flow chart is simple to construct and can be done
by the employees who do the processes that lead to the final
output of that process. For example, let's say that one of our
company CPIs was to ship the customer order on time. If we
examine the processes (steps) that affect shipping the customer's order on time, we may find, depending on the size
of the organization, that as many as 30 processes contribute
to that CPI. For the sake of simplicity, let's cut the number
of processes to a more manageable level for this example.
The first step is to assemble representatives from each department that have an influence on shipping the customer's
order on time. In our fictional company, these representatives will come from the customer service, design engineering, manufacturing engineering, production control, purchasing, manufacturing, quality, and the shipping departments.
The entire process is represented in Fig. 3-1.
Each of the steps in this Ship Customer Order On Time
flow chart has flow charts of its own. For instance, the last
step, Shipping Packs & Ships Order, requires several steps
before the customer order is actually shipped out the door.
Documents must be assembled, packing and shipping instructions read, boxes selected and assembled, labels prepared, the product containerized, and the method of transportation scheduled.
IN THE FIRST CHAPTERwe discussed management's role in
providing the leadership necessary for the company to meet
its business objectives. One business objective of primary importance is continuous improvement. If a company is dedicated to continuous improvement, it will constantly improve
its internal performance, customer service, and quality. Such
improvement automati~cally strengthens the company's competitive position and its ability to respond to customer needs.
Continuous improvement begins with an understanding of
where you are and where you want to be. Everyone wants
to be the best in their field; however, our ambitions should
be realistic and in line with our resources. Goals should be
obtainable while providing enough challenge to allow employees the opportunity to extend their current abilities.
While moving along the path of continuous improvement,
keep in mind that the journey never ends! The present is now
and the future is only the next step along the way. You cannot stop because, if you do, someone will pass you by. There
is a saying from the Great North: "If you're not the lead dog,
the scenery never changes." This saying applies to a company's journey along the path of continuous improvement.
If you're not the leader in your industry, you won't see future
opportunities until your competitor has passed that point,
leaving only the spoils for you.
So, where do we begin to move along this path of continuous improvement? Like any journey, we have to determine
where we are and where we want to go. Most companies
have a pretty good idea of where they are through historical
data that provide a measure of how well they are meeting
the needs of their customers. These data include ratings on
customer quality system surveys, customer returns, the number of Service requests, employee absentee rates, efficiency
ratios, the ratio of quotes accepted to those given, employee
turnover, customer certification awards, cost of quality, JIT
delivery performance, lost time injuries, and hundreds, even
thousands more.
The data include information from internal as well as external customers. The two cannot be separated, as both contribute to the strength of the company. In the first chapter,
we talked about utilizing surveys to assess the current pulse
of the company. This is a good place to begin.
Top management should form a steering committee to
evaluate all the summary information available from the
data acquired from this historical data mentioned earlier.
From that information, intelligent questions can be formed
to ask employees, customers, and suppliers in the form of a
survey. The purpose of this survey is to discover your
strengths and weaknesses.
21
22
TOTAL QUALITY MANAGEMENT MANUAL
Customer Service
Received CustomerOrdeI
Design Engineering Gets
Customer Requirements
ManufacturingEngineering
ReceivesManufacturing
Drawings
PurchasingContractsFor
OutsideService&
Components
Production Control
Schedules Order
Manufacturing
Processes Order
t~
Shipping Packs & Ships i
Order
I
Figure 3-1 inFlow chart for processing a customer order.
Every step requires time and employee input. Does each
step contribute value to the product and is each step necessary? These basic questions must be answered by everyone
along the process chain. If a step is required, the next questions center around the overall efficiency of that step.
Throughout this analysis, the collection and evaluation of
data should be observed by the employee team from the process. Some of the best methods of presenting data are the
simplest. The run chart is very effective in tracking progress
over time (Fig. 3-2).
The on time shipment chart in Fig. 3-2 shows improvement over a twelve-month period. The chart could very well
have shown a downward or even a random pattern. It is important to know when to react to trends on run charts. It is
a mistake to assign cause every time the chart makes a move
in either the positive or negative direction. Normal forces of
variation are ever present, and until a process is in control
and control limits are calculated via statistical calculations
of control chart data, reaction to movement should be
with caution. More on control charts will be discussed in
Chapter 7.
Through analysis of data collected, opportunities for improvement will become evident. Management must determine which opportunities to work toward first. These decisions are usually based upon cost effectiveness, quality
improvement, or criticality of correcting an undesirable conclifton. Whatever the reasons for choosing a particular op-
portunity as a project for improvement, the process is the
same•
The improvement process has been defined by more than
one quality guru as the plan, act, measure, and evaluate cycle.
I call the process PIE (plan, initiate, evaluate) (Fig. 3-3).
PLAN
The most important part of a project is the planning phase;
this is certainly true for continuous improvement projects.
The better the plan, the better the implementation and the
results. When developing a plan, the team needs to consider
all action steps in the process expected to lead to the improvement desired. Once all action steps are identified, the
next step is to decide the sequence in which these steps
should be implemented. After the sequence is determined,
the time allotted to complete each step is calculated, and
responsibility for each step is assigned.
This planning process can work only if a few basic guidelines are applied during this phase.
Planning Guidelines
• Obtain upper management commitment through sponsorship.
• Form the right combination for the team.
CHAPTER 3--CONTINUOUS IMPROVEMENT 23
92%
91%
90%
89%
88%
87%
86%
85%
84%
83%
82%
--
Jan
I
I
I
I
I
I
I
I
I
I
I
Feb
March
April
May
June
July
August
Sept
Oct
Nov
Dec
Figure 3-2--On-time-shipments trend chart.
• Develop a vision and a policy statement for the team.
• Develop objectives and guidelines.
• Review current programs and projects.
A closer study of each of these planning rules will make
your planning easier.
Obtain Upper Management Commitment
Through Sponsorship
Whenever a project is being considered, it is wise, indeed
imperative, that the most senior m e m b e r of the organization
be firmly established as sponsor of that project. The project
needs his endorsement and the understanding that his door
is always open to discuss progress on the project.
Form the Team
This phase of planning should not be taken lightly. Picking
names and then throwing these individuals together in a
room does not create a team. Each function involved in the
project should be represented, and these representatives
should have a good working knowledge of the area they rep-
PLAN
resent. They must possess attributes that foster teamwork.
These attributes include honesty, good communication skills,
dependability, leadership, empathy, and a willingness to
work with others and share.
Develop a Vision and a Policy Statement
The team needs to know when they have achieved their
objective. The vision is where the organization wishes to be
when all phases of the program are implemented and successful. The vision statement should be concise and easy to
understand. It should be measurable and should fit with the
organization's business policy. It becomes a policy statement
when endorsed and signed by the senior manager at the
facility.
Develop Objectives and Guidelines
The team must be provided with the objectives of their
project and the guidelines to be followed to achieve those
objectives. For instance, an objective may be to reduce the
lead time in turning around a "request for quote" to a customer. A guideline (or restriction) may be that we are only
interested at this point in reducing in-house lead time. We
wish to tackle the outside sales and marketing function at
another time.
Review Current Programs and Projects
EVALUATE
INITIAT
Figure 3-3--PIE.
After the team has been formed and several meetings have
been held describing the project and its vision statement,
policy statement, objectives, and guidelines, the team should
thoroughly review the project. The objective of this review is
to determine if the team has everything at their disposal to
initiate the project and to successfully achieve the vision. A
list of needs should be prepared and submitted to the senior
manager for his consideration and action.
The two previous examples provide a good starting point
for describing how we can work with CPIs and the PIE
method to achieve continuous improvement. Management
provides the resources for service and product improvement,
24
TOTAL QUALITY MANAGEMENT MANUAL
employee involvement and education, and business systems,
discussed in Chapter 2, to gain the fullest benefits of these
terms as follows:
SERVICE AND PRODUCT IMPROVEMENT
Service and product improvement comes from initiating
new programs or techniques and monitoring the CPIs associated with the process undergoing change. Advantages of
service and product improvement are many and varied as
shown below:
• Reduced scrap.
• Less rework.
• Improved capacity.
• Fewer returned goods.
• Less service calls.
• Improved earnings through lower cost of quality.
• Improved earnings through more efficient operations.
• Satisfied customers.
• Satisfied employees.
• Gaining a competitive advantage over your competition.
REASONS FOR EMPLOYEE INVOLVEMENT
Employee involvement and education is one of the main
ingredients in creating continuous improvement and cannot
be avoided when using the PIE methodology. The reasons
for gaining employee involvement are described below:
• To bring, to the fullest extent possible, common values and
procedures to the workplace.
• To produce the lowest-cost, highest-quality products and
services for world markets and meet customer expectations.
• To put employees in the decision process to:
• Provide capable systems and manufacturing processes.
• Provide clear expectations in terms of operations and
quality.
• Provide a means to measure progress.
• Provide a means to correct any situation not meeting
expectations.
• Provide the environment for all employees to work together
toward the accomplishment of organizational goals.
• To strive to achieve "total" commitment to quality and productivity by all employees.
• To have an action plan developed through representation
of all employees.
• To desire all employees to have ownership of the process
of continuous improvement and an understanding and
commitment to the organization's goals.
• To have total commitment to customer service, whoever
that customer may be.
• To create an interesting, challenging, enjoyable, and safe
work environment.
• To develop a system of communication and feedback to
solve organizational problems and to keep employees informed by:
• Intra/inter department communications.
• Management-level communications.
• Employee-to-employee communications.
• Horizontal and vertical.
• External and internal.
• To have sufficient knowledge of company operations, customer needs, and individual job responsibilities.
• For all employees to have a better or complete knowledge
of the working part of the company's product or service to
be a better judge of acceptable quality.
It is difficult to dispute the advantages employee involvement brings to an organization, yet many company executives still feel threatened by employees who "know too
much." The truth of the matter is that the more employees
know about their business contribution, the better they are
able to contribute to the overall success of the organization.
New business systems are created and existing ones refined through the CPI and PIE programs. There has never
been a business system that worked perfectly the first time,
but how many times have you heard somebody say, "But we
always did it like that!" Why are some people so afraid to
change the way things are done? The answer lies in the company's management style. A management philosophy should
embrace W. Edwards Deming's 14 Points of Management
Obligations. 1 His 14 management obligations are paraphrased below:
1. Create constancy of purpose toward improvement of
product and service with the aim to become competitive, stay in business and provide jobs.
2. Adopt the philosophy: We are in a new economic age
created by global competition. A transformation of
management style is necessary to halt the continued decline of industry.
3. Cease depending on inspection to achieve quality. Eliminate the need for inspection on a mass basis by building quality into the product in the first place.
4. End the practice of awarding business on the basis of
price tag alone. Purchasing must be combined with design of product, manufacturing, and sales when dealing
with chosen suppliers. The aim is to minimize total
cost, not just initial cost.
5. Improve constantly and forever every activity in the
company to improve quality and productivity and thus
constantly decrease costs.
6. Institute training and education on the job for everyone,
including management.
7. Institute supervision. The aim of supervision should be
to help people and machines do a better job.
8. Drive out fear so that everyone may work effectively for
the company.
9. Break down barriers between departments. People in
the research, design, sales, and production departments
must work as a team to tackle usage and production
problems encountered with the product or service.
10. Eliminate slogans, exhortations, and targets for the
work force that ask for zero defects and new levels of
productivity. Such exhortations only create adversarial
relationships; the bulk of the causes of low quality and
1"Out of the Crisis," Massachusetts Institute of Technology, Center
for Advanced Engineering Studies, 1986.
CHAPTER 3--CONTINUOUS IMPROVEMENT 25
low productivity belong to the system and lie beyond
the power of the work force.
11. Eliminate work standards that prescribe numerical
quotas for the day. Substitute aids and helpful supervision. (Such aids would be CPIs.)
12a. Remove the barriers that rob hourly workers of their
right to pride of workmanship. The responsibility of supervisors is to change the goal from sheer numbers to
quality of the product or service.
12b. Remove the barriers that rob people in management
and in engineering of their right to pride of workmanship. This means, among other changes, abolition of the
annual or merit rating and of management by objective.
13. Institute a vigorous program of education and retraining. New skills are required for changes in techniques,
materials, and service.
14. Put everybody in the company to work in teams to accomplish the transformation.
Let's work through an example of how CPIs can be used
to bring about awareness and thus improvement. Let's take
another look at the run chart we created for on time
shipments.
Our management team has decided that our on time shipment performance may not continue to improve unless a
greater emphasis is placed on that goal. At a meeting that
included all staff management, a decision was made to create an employee team to study and find ways to improve our
on time shipment performance. A representative from the
management team was selected to serve on this employee
team as a facilitator. The management team also set objectives for the employee team. Among these were an overall
improvement of on time shipments to 96%. The management team felt that, with a concerted effort by the employees
and with full support of management, this goal was obtainable. During the last quarter, the company achieved an average of 91.4%, and the last two months nearly 92%. During
the last twelve months, each month was an improvement
over the previous month's performance with only two
exceptions.
The goal of 96% represents a 5% improvement over the
last quarter results. A 5% improvement can be significant or
insignificant. It all depends on the time block during which
management wishes this goal to be reached and on the level
of difficulty of change to reach each milestone. As discussed
earlier, by the time management has come up with the
vision, most obstacles have been thought out and addressed,
making it possible to reach that vision through the talent
pool that makes up the improvement team. For our example,
let's say the vision is to reach a level of 96% on time shipment in six months. The vision has been approved, and the
general manager has affixed her signature to the vision statement securing her support and making it management
policy.
With our team in place and the objectives and guidelines
understood, responsibilities are established to carry out the
project. It is important to point out that the team was made
aware that, even though the goal is to improve on time shipments, there is a broader objective--to improve on time performance in each process step along the process chain from
receiving the order from the customer to shipping the order
out the door.
Even with this expanded objective, you can see that management put in some guidelines or restrictions. For this project, we are not concerned with the process chain between
the customer's request for quote and the moment the customer receives our quote. Management, at this time, is also
not interested in the process from the time the order leaves
the facility to the time it reaches the customer's dock. These
two process chains certainly contribute significant time to
the overall process, but there is little this facility can do to
influence these process steps, with the possible exception of
design engineering the concept. Let's go back to the flow
chart shown in Fig. 3-1 for processing a customer order.
The team formed to improve upon this process consists of
talented employees from each of the departments represented in the process chain. Working together, they conclude
that each department in the chain needs to track the amount
of time an order spends in their area. This may differ for
different departments_ For example, the time spent in the
quality department can be measured in hours, whereas the
time spent in the manufacturing department should be measured in days. Also, it is clear that some departments require
further breakdown in their contribution. For instance, in
manufacturing there are possibly several cost centers that
make up the entire department. In manufacturing an ASTM
A325M2 fastener, for instance, we could have wire annealing, wire draw, boltmaker, heat treat, and hot dip galvanizing
all contributing time to the process. And let's not forget the
queue time between operations; sometimes these delays take
more time than value-added steps. Even these subprocesses
need steps of their own to make them effective. Let's look at
the boltmaker step in manufacturing the ASTM A325M fastener. Steps in this process may include gathering process
drawings, tooling, and inspection gauging. All aspects of the
process are under investigation when our task is to improve
our on time shipment CPI.
At this point it is usually important to have each team
member construct a detailed flow chart of their department's
process. They may wish to enlist help from their department
and form an ad hoc team to give a full evaluation of each
process step performed in their department. They would be
the ones closest to the action and should know the ins and
outs of their operations better than anyone. The ad hoc team
would try to identify opportunities for improvement and
eliminate redundant or unnecessary steps. After a new section of the process is selected for evaluation, a CPI can be
chosen and data collected and tracked. As a change is made
to the process, it can be determined if that change has an
effect by seeing a shift in the CPI.
Let's take a closer look at this example. Assume the team
for the boltmaker department decided they would track how
long it took the boltmaker operator to acquire tooling, gauging, and process drawings to run an order. They decide to
do this for a six-month period to see if any one category
might benefit from more attention. The results of their sixmonth study are shown in Fig. 3-4.
If we rearrange the above data to include only the CPIs
and occurrences, it becomes evident that the time spent
2Specification for High-Strength Bolts for Structural Steel Joints
[Metric].
26
TOTAL QUALITY MANAGEMENT MANUAL
JUN
MAY
\\\\\\\\\\\1
\\\\\\\\\\\\\\\
APR
MAR
l[] DRAWINGSI
[3TOOLING I
• GAUGING J
\\\\\\\\\\'l
I
\\\\\\\\\\\\\\1
\\\\\\\\\\\\]
FEB
JAN
\\\\\\\\\\\
0
\\\1
I
!
I
I
I
I
50
100
150
200
250
300
Figure 3-4--Set-up CPI analysis.
waiting for tooling is an opportunity for improvement. The
result is Fig. 3-5.
Now the boltmaker team has an area of focus to isolate
reasons for delays in getting tooling to the boltmaker. They
will choose to select CPIs that contribute to having tooling
available. Examples may be tool location, setup time, or tool
availability. The process goes on until all causes are identified and presented to management for resolution.
There are times when an identified opportunity requires
extra planning to initiate change. Let's look at another example. This one was identified by the quality department.
The representative from that department found that orders
were sometimes delayed at final inspection because the inspector on duty was not always familiar with the product or
the inspection techniques necessary to determine if the product met requirements.
A separate employee involvement team was established to
develop the plan to improve the knowledge of inspection
techniques of the inspectors. The team was comprised of the
inspection supervisor, several inspectors, a design engineer,
and a quality engineer. After several brainstorming sessions,
the team came up with a progression of steps that would
lead to a well-informed and educated quality technician.
Note that the team felt so strongly that the training to be
provided to the inspectors was so much beyond the current
job description that a new job title had to be created. After
all steps in the process were finalized, the team created a
project timetable for developing quality technicians. The
project timetable they came up with is shown in Fig. 3-6.
This project time table represents an overview of the project to train inspectors to be certified quality technicians
through the American Society of Quality Control (ASQC),
Milwaukee, WI. Each and every step in the process has its
own project timetable detailing the progression necessary to
complete that objective and the individual responsible to
make it happen. Some of these activities may be only a few
steps, such as Steps 5 and 6, while some may be as large and
detailed as the overview, such as Step 7.
INITIATE
The next step in the PIE process is initiating actions identified in the planning phase. In my example for the planning
phase, it was important to demonstrate how plans are initiated through the use of identifying and tracking CPIs. We
also explored how to expand upon acquired data to further
analyze avenues to improvement.
CHAPTER 3--CONTINUOUS IMPROVEMENT
27
Six Month Sum for Boltmaker CPIs
CPI
DRAWINGS
TOOLING
GAUGING
!
200
g
400
|
600
*
800
g
1000
|
1200
!
1400
i
1600
Figure3-5--Six-monthParetoanalysis ~rboltmakerCPIs.
What's i m p o r t a n t to r e m e m b e r in initiating a c t i o n to act
u p o n a p l a n is to involve the people w h o m a k e things happen. It m a y be necessary to provide t r a i n i n g for selected individuals o r groups of individuals to p r e p a r e t h e m to cont r i b u t e to the success of the p r o g r a m . This i n v e s t m e n t in
people is a n i n v e s t m e n t in b o t t o m line i m p r o v e m e n t , as detailed earlier in this chapter.
Involvement is a two-way street. In a d d i t i o n to involving
employees, supervisors a n d m a n a g e r s m u s t be active m e m bers of the action teams. M a n a g e r s a n d supervisors m a k e for
g o o d t e a m facilitators to assure t h a t the t e a m stays the
course. The t e a m s m u s t be ever m i n d f u l of the vision statem e n t a n d p l a n objectives. Once the t e a m has achieved the
goals of the project, three steps s h o u l d be taken.
First, the t e a m s h o u l d be congratulated, a n d d e p e n d i n g on
the significance of the achievement, r e w a r d s should be
a w a r d e d . Second, the t e a m s h o u l d be disbanded; otherwise,
t e a m s could go on m e e t i n g forever with no agenda. This is
n o t only a waste of resources, b u t prevents t h e m from pursuing n e w o p p o r t u n i t i e s for i m p r o v e m e n t . Third, the CPIs
i m p r o v e d u p o n should be m o n i t o r e d for a p e r i o d of t i m e to
assure t h a t the gains are held.
EVALUATE
Total quality m a n a g e m e n t is a b o u t m e a s u r e m e n t a n d evaluation. The only w a y to k n o w if i m p r o v e m e n t is taking place
is b y m e a s u r i n g w h e r e we are a n d c o m p a r i n g it to w h e r e we
were a n d w h e r e we w a n t to be. If we develop a p l a n for
i m p r o v e m e n t , initiate action to improve, a n d do not m e a s u r e
the o u t c o m e of o u r actions, we are u n a w a r e . We do n o t
k n o w if we are improving, r e m a i n i n g constant, or losing
ground.
During the initiation p h a s e of the i m p r o v e m e n t project,
evaluation should be frequent, s o m e t i m e s daily. As the prog r a m continues for six m o n t h s o r more, less frequent studies
can be m a d e on results. W h e n a project is d e e m e d complete,
the frequency of evaluation will vary w i t h the d y n a m i c s of
the CPI. I r e c o m m e n d , at a m i n i m u m , that m o n t h l y summ a r y reports be a n a l y z e d to look for changes due to business
swings on first-tier CPIs.
This simple philosophy, w h e n a d o p t e d b y m a n a g e m e n t ,
will a l m o s t always g u a r a n t e e success: Make continuous improvement a way of life in your organization. This applies to
all m a n a g e r s in the orgapization. Obviously, the m o s t s e n i o r
m a n a g e r should share this philosophy, b u t so s h o u l d all dep a r t m e n t heads a n d supervisors b e c a u s e their o r g a n i z a t i o n s
are those w h o w o r k for them.
D e m o n s t r a t e to all m e m b e r s of y o u r o r g a n i z a t i o n that y o u
expect i m p r o v e m e n t . We n e e d to d e m o n s t r a t e t h a t we will
not be satisfied w i t h the status quo. E n c o u r a g e y o u r people
to ask, "Why can't things be better?," "How can I i m p r o v e
this process?," etc.
W h e n p r o b l e m s o r issues arise, treat t h e m as o p p o r t u n i t i e s
to i m p r o v e u p o n the situation. Every solved p r o b l e m contributes to i m p r o v e m e n t . We s h o u l d be on the l o o k o u t for
p r o b l e m s b e c a u s e we i m p r o v e o u r competitive a d v a n t a g e b y
identifying a n d solving them.
Pay a t t e n t i o n to W. E d w a r d s Deming's p o i n t of driving o u t
fear. At all levels of the organization, people s h o u l d be able
to discuss p r o b l e m s a n d mistakes. The m e s s e n g e r s h o u l d
never be shot. We are all h u m a n a n d subject to the actions
of the systems in place. If there is a p r o b l e m , c h a n c e s are
the system is at fault b e c a u s e the issue was never a d d r e s s e d
o r b e c a u s e a change has o c c u r r e d external to the system.
To the fullest extent possible, b a s e decisions on fact, n o t
intuition. Look to d a t a a n d assure t h a t these d a t a are true.
28
TOTAL QUALITY MANAGEMENT MANUAL
CLua!ity Techfii~!~ D~Veidpm~t :~ :i: :
, ! r e e d by i ~ b ~ e , t y
/
~
~
~DmUU~It~
~WE
~i~i~i~i:~i~ii~
:l ~ii~Def~i~:i~:bi~!~i~!i~!~i~i~:i!~!~!!~!:~:;~ii~i:!~i~i!;~au~i~i!~!Ma~ager:~!:!~!~!~
i~i!!:!i!~ii
!Pli~:i!~::i~!~i~i~li~!ii~i~!![;~!i:~i~!!i]i!:i~!~i~:ii:ii~ili
:!i~]i:!~i
~i~ili::ii!
!!~!~i i~i!:i~!:it~/!:i!i~]:~i:~i~il
~
5
:.~onsu!t::::wtheach::::
:6::: Deve!op:t~aini~g:~::::
] i:]~i/I
Q u a l i t y SuperVisor:
OAStaff
:::
:::
Evaluate effective-
~ess:~of~tralnmg~
:10:
A
] :: ]::
C o m m e n c e : t r a i n i n g : Qgality,Sta~f::& : ;: ]:;:;; : :
9
: : A ]: ] :: ::: : :
::::
: : ~!:~:1 ~ :1 : ,~i~1:~::::I 1
7 :~] Develop::tmining]
Quality: Supervisor &: I
QualityEng,eer:
I:
:
i
t
::
i :
I :: l
::
::
I
~1:
i
A
:l t~
: ~:1 ~:~1:~1 I~ :t I ~ l I I I ~i
certifY:::inspec~o~s:as Gene~:al: Manager & : :
~,:
:
Figure 3-6--Project time table.
Decisions based on intuition are almost always wrong at the
operations level. For higher-level continuous improvement,
intuition sometimes cannot be avoided and oftentimes is the
basis for decisions that move an organization to the next
level of achievement. Marketing sometimes m u s t m a k e decisions based on customer innuendo, but a shop f o r e m a n or
office m a n a g e r should rely on data.
Utilize statistical methods to evaluate and study processes.
Once processes are under statistical control, the need for extensive inspection is eliminated. You will still need to carry
out audit inspections (or verifications), but total inspection
time should be reduced. Concentrate on doing the job right
the first time. Do not rely on inspecting quality into the job
after it is complete. Th e process of quality by inspection only
perpetuates the hidden "rework and remake" departments of
your organization.
Part 2: Quality Organization Function
Quality Systems
QUALITY SYSTEMS are made up of the quality organization
and the written guidelines used to define the quality organization as they relate to the rest of the organization. Quality
systems are the result of the quality policy established by the
executive management team. The two most important elements of quality systems are the quality manual and the organization's standard operating procedures. When developing the quality manual, it is recommended that attention be
paid to following the guidelines established by the ANSU
ASQC Q9000-1, Q9001-1, Q9002-1, Q9003-1, and Q9004-1
standards. These are the American equivalents to the ISO
9000 series of quality standards. The ANSI/ASQC standards
are available from the American Society for Quality Control,
611 East Wisconsin Avenue, Milwaukee, WI 53202 and from
ASTM. Even if the organization has no intention of applying
for ISO registration, the quality guidelines in the ANSI/ASQC
Q9000-1 series of quality systems are among the best available to control quality.
To proceed further at this point without defining who in
the organization is responsible for quality would possibly
lead some down the wrong path when we discuss the contents of the quality manual and associated procedures that
supplement implementation of manual policies. I don't want
to start off with the notion that quality is the responsibility
of the quality department. Nor do I want to simply state that
quality is everybody's responsibility.
Let's look one more time at the definition of quality I provided in Chapter 2, which is: Quality is achieved when we
provide goods and services that meet or exceed customer
requirements.
To meet this definition, the part or service provided must
conform to design or process requirements. The design or
process must conform to its market requirements, and market requirements must conform to customer expectations.
Therefore, three major groups with their necessary support
groups are responsible for quality: marketing, engineering,
manufacturing/operations, and their support groups. For the
purposes of simplicity, I would like to call manufacturing/
operations by the single term: manufacturing. This one word
will mean either a facility that produces a part or a facility
that provides a service. And I would like to use the term
product to mean either a part or a service. The question of
who is responsible for quality is now easier to define.
Responsibility for quality in an organization rests with
marketing, engineering, and manufacturing along with the
support groups that provide services to them. Each must be
held accountable for their contribution to the overall effort.
Marketing must make sure their concept of customer needs
and requirements is fully understood and that they convey
this information to the engineering group. Engineering must
assure that they fully translate the marketing requirements
to designs and processes that allow manufacturing to produce the product. Manufacturing must assure that the end
product they provide to the customer conforms to the facility's design engineering requirements.
You may be asking, "Where does the quality department
fit into this picture?" First let me say that we must agree that
the quality department or any of its people should not be
held responsible for the quality of the product provided by
the organization. How can they be if they did not market,
design, or manufacture the product?
The quality department's function is to facilitate continuous improvement by providing services to marketing, engineering, manufacturing, and all their support groups. Their
role is similar to that of another service group in the organization, the accounting department. I do not think I would
find too many people who suggest that the accounting department is responsible for the organization's profit and loss
statement. The results on this statement are only a report of
what actually happened. So to with the quality department's
r o l e - - t h e y report on what took place. And, like the accounting department, the quality department provides assistance
in identifying opportunities for improvement through measurement and communication. The quality department also
has experts in the area of quality engineering and reliability,
and technicians and inspection equipment to assist all other
facility functions in their improvement projects.
The Quality Manual
With all this in mind, who is responsible for the quality
manual and the standard operating procedures that augment
it? In my opinion, the quality department. The quality department must work with all other departments within the
organization to provide them with the guidelines they need
to assure quality in their operations. Each individual department should have a hand in developing the quality manual, but the ultimate responsibility for writing and maintaining it rests with the quality function.
The guidelines for quality management and quality system
elements are fully described in the ANSI/ASQC Q9004-1
document. I recommend that readers acquire and review this
document when establishing their own quality system and
manual. I provide, for convenience, in Fig. 4-1 the table of
contents of the guidelines recommended in that standard.
The list of topics in Fig. 4-1 looks very much like the table
31
32
TOTAL QUALITY MANAGEMENT MANUAL
Contents
Page
1 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1
2 Normative references . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1
3 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1
4 Management responsibility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2
5 Quality-system elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5
6 U~nancial considerations of quality systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
7
7 Quality in marketing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
8
8 Quality in specification and design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
8
9 Quality in purchasing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
11
lO Quality of processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
12
l l Control of processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
13
12 Product verification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
15
13 Control of inspection, measuring, and test equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
15
14 Control of nonconforming product . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
16
15 Corrective action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
17
16 Postproduction activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
17
17 Quality records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
18
18 Personnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
19
19 IMxtuct safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
20
20 Use of statisfi~ methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
20
Annex
A
Bibliography. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
21
Figure 4-1 mANSI/ASQE Q9004-1-1994.
of contents to be f o u n d in the ANSI/ASQC 91, 92, a n d 93
s t a n d a r d s , b u t the difference is t h a t the Q9004-1 d o c u m e n t
describes the m a n a g e m e n t p h i l o s o p h y b e h i n d each topic,
w h e r e a s the Q9001-1, Q9002-1, a n d Q9003-1 d o c u m e n t s describe the w o r k i n g systems. In Chapters 8, 9, a n d 10, I pro-
vide a s a m p l e quality mar/ual for a m a n u f a c t u r i n g , a service,
a n d a d i s t r i b u t o r organization, respectively.
F i g u r e 4-2 r e p r e s e n t s the different levels of d o c u m e n t a t i o n
r e q u i r e d for ISO 9001 a n d 9002. The quality m a n u a l discussed earlier is called a Level 1 d o c u m e n t a n d translates
CHAPTER 4--QUALITY SYSTEMS
33
Translates ISO 9000 requirements to your
organization'slanguageand includesthe quality policy.
I Procedures I
Translates the requirements of the quality
manual into proceduresrequiredfor departx mental complianceto quality requirements.
Documents specific tasks performed to
'~atisfy the requirements established
y department/facility procedures
including forms and records.
I Work Instructions I
/
Figure 4-2--1S0 documentation pyramid.
ISO 9000 r e q u i r e m e n t s to the language of y o u r organization.
M a n a g e m e n t procedures are Level 2, a n d they d o c u m e n t dep a r t m e n t (or division) r e q u i r e m e n t s for compliance to the
quality m a n u a l . Work i n s t r u c t i o n s a n d forms are Level 3 a n d
c o n t a i n document-specific tasks necessary to complete a n
activity defined i n the m a n a g e m e n t procedures. Quality records are Level 4 d o c u m e n t s a n d c o n t a i n the necessary docum e n t a t i o n or records of quality activities to meet the requirem e n t s of the quality m a n u a l . As you c a n deduce from the
chart, the lower the level of d o c u m e n t a t i o n , the more detail
is provided. The quality m a n u a l need n o t be as thick as the
New York City telephone book, n o r does it need as m u c h
detail as the i n s t r u c t i o n m a n u a l for the space shuttle. A welldeveloped quality m a n u a l need only c o n t a i n between 20 a n d
50 pages d e p e n d i n g on the size a n d complexity of the
organization.
Procedures
Let's take a closer look at how m a n a g e m e n t procedures
a n d work i n s t r u c t i o n s tie together. For a n organization's
metrology d e p a r t m e n t (the area i n which technicians apply
the science of m e a s u r e m e n t to calibrate test a n d m e a s u r i n g
equipment), m a n a g e m e n t will have a procedure o n how to
calibrate a n d m a i n t a i n gauges a n d m e a s u r i n g e q u i p m e n t ,
b u t in order for the facility to i m p l e m e n t that procedure,
there has to be a work i n s t r u c t i o n o n how to calibrate each
category of gauge a n d m e a s u r i n g i n s t r u m e n t in use at the
facility. I n this case, one could have u p to 25 work instructions to satisfy a single m a n a g e m e n t procedure. I'll provide
a n example of each for clarification.
The first example is a m a n a g e m e n t procedure o n equipm e n t calibration, a n d the second is a work i n s t r u c t i o n for
calibrating a dial a n d vernier caliper.
STANDARD PROCEDURE
ANY COMPANY
SUBJECT:
Certification I n s t r u c t i o n s E q u i p m e n t Calibration
PROCEDURE NO.:
REVISION:
PAGE:
DATE:
PREPARED BY:
ANY 11-01
1.0
1 OF 4
Insert date
Insert a u t h o r
1.0 Purpose
1.1 The purpose of this procedure is to define the general conditions and requirements for implementing and maintaining a certified calibration program for our test equipment.
1.2 Compliance with this procedure will ensure through the
consistent examination and control of measuring devices
and accessories the means for manufacturing accuracy.
2.0 Application
2.1 This procedure shall apply to all equipment, whether privately or company owned, that is used or may be used for
the appropriate measuring and/or judging of the manufactured products' conformance to specification.
3.0 Materials and Equipment
3.1 IBM PC computer and PQ systems Gage Pack®calibration
software (or equivalent).
3.2 Test equipment serialization procedure, ANY 11-02.
3.3 Gauge Repeatability and Reproducibility Study work instruction ANY 11-01-01.
4.0 Procedure
4.1 All test equipment that is used or may be used to determine the acceptability of manufactured product must be
certified as accurate by the metrology department.
4.1.1 Employees must submit their test equipment to
the metrology department for certification prior
to use in manufacturing.
4.1.2 New company purchased test equipment must be
certified by the metrology department prior to use
in manufacturing.
4.1.3 All test equipment of new or unique design is subject to qualification through a Gage Repeatability
and Reproducibility study in accordance with
work instruction ANY 10-45.
34
TOTAL QUALITY MANAGEMENT MANUAL
4.2
4.3
4.4
4.5
4.6
4.7
4.8
4.9
4.10
4.11
4.12
4.13
4.14
All test equipment submitted for initial certification will
be permanently marked, if possible, with an identification/serial number, in accordance with ANY 11-02.
Test equipment will be certified in accordance with appropriate Quality Assurance Work Instructions, and shall
be tested against devices certified and traceable to the
National Institute of Standards and Technology (NIST).
Test equipment determined to be accurate and reliable
through examination by Metrology will be certified and
the results of the examination recorded on the computer
through application of the calibration software.
Certified test equipment then shall be released by Metrology for approved use within the limitations of the test
equipment's intended application.
Test equipment determined to be inaccurate/unreliable
through this process will be routed to an appropriate
calibration or repair facility and the results of this action
recorded.
All test equipment returned from calibration or repair
facilities must be routed through Metrology for reexamination.
Following the initial examination and certification of
each type of test equipment, subsequent test equipment
examinations will be scheduled using the gauge calibration software system.
Test equipment due for examination and recertification
will be printed out off the gauge calibration software on
a weekly basis.
Metrology will exchange due test equipment with certified test equipment so as not to interrupt the manufacturing process.
Test equipment may be submitted to Metrology for additional examinations at any time, regardless of the
scheduling program.
Test equipment found to be in use with expired certification tags or labels will be confiscated and/or prohibited
from use until the appropriate recertification of the test
equipment can be accomplished.
Test equipment examination intervals shall be scheduled
on the basis of frequency of use, fragility, and the accuracy required of the test equipment.
Except for test equipment being returned for routine certification, rejection tags must be affixed to uncertified
test equipment in inventory to prevent accidental reuse.
5.0 Auditing Procedure
5.1 Metrology shall be responsible for conducting sporadic,
unannounced shop-wide audits/inspections for the test
equipment governed by this procedure.
5.2 Audits shall evaluate the present condition of the test
equipment audited versus the same test equipment at the
last recorded Metrology examination.
5.3 Audits will ensure control of measuring devices and accessories by requiring corrective action for any violations
of this procedure.
5.4 Test equipment found to be in violation of this procedure,
or designated tolerances and parameters, through Metrology auditing, may be confiscated and/or prohibited
from use until appropriate recertification of the test
equipment can be accomplished.
5.5 The auditor may grant an "operational deviation" for any
equipment found to be in violation of this procedure or
of the designated tolerances and parameters established
for the test equipment.
5.6 Test equipment cited with an "operational deviation" must
be submitted to Metrology within five working days of the
citation for examination and appropriate adjustment. Example: A gauge block is out of specification, but used to
complete an order. A correction factor is calculated to
compensate for the error.
The p r e c e d i n g ex am p l e is the system m a n a g e m e n t procedure i m p l e m e n t e d to co n t r o l test e q u i p m e n t calibration a nd
certification. The method(s) by w h i c h the m e t r o l o g y departm e n t carries out this p r o c e d u r e is detailed in w o r k instructions. Fo r m o s t o r g an i zat i o n s t h er e are m u c h m o r e w o r k instructions than m a n a g e m e n t p r o c e d u r e s simply be c a us e of
the b r e a d t h of the area b ei n g m a n a g e d . In o u r e xa mpl e for
calibration, this p r o c e d u r e applies, as stated in 2.0, to application to all test e q u i p m e n t w h e t h e r privately or c o m p a n y
owned. There m a y be t h o u s a n d s of m e a s u r i n g devices covered by this definition. At least each category of m e a s u r i n g
device should have a w o r k i n st r u ct i o n that details h o w it is
to be certified. H e r e is an ex am p l e of a w o r k i ns t r uc t i on
that ties in with the calibration p r o c e d u r e p r e s e n t e d as
ANY 11-01.
ANY COMPANY
STANDARD WORK INSTRUCTIONS
SUBJECT:
Calibration Procedure For Digital Calipers,
Dial Calipers, and Vernier Calipers
Work Instruction No.
Page 1 of 2
Date Prepared
Prepared By:
Approved By:
11-01-24
Insert Date
Insert Name
Insert Name
1.0 Purpose
1.1 The following work instruction is for use by Quality Control in establishing accuracy requirements of digital, dial,
and vernier calipers.
2.0 Application
2.1 This work instruction is applicable to all calipers which
are either in use or may be used to measure and/or determine the manufactured product's conformance to
specifications.
3.0 Equipment
3.1 Gauge blocks certifiable to NIST.
3.2 Calibration test stand.
3.3 Cleaning solvent.
3.4 Lint free towels.
4.0 Documentation
4.1 Calibration control software.
4.2 Test equipment calibration data sheet (form 11-01-90)
5.0 Procedure
5.1 Clean all surfaces of the caliper with cleaning solvent and
line-free towels.
5.2 Readings are taken at 0.500-in. (1.27 cm) and 1.000-in.
(2.54 cm) intervals throughout the measuring range of the
measuring device for outside measurements using gauge
blocks.
5.3 Readings are taken in three random locations along the
measurement range for inside and depth measurements
using the calibration test stand.
6.0 Acceptance Criteria
6.1 All readings are to be within one graduation mark of true
value to the nearest 0.001 in. (0.002 54 cm).
6.2 The caliper must repeat within +.0005 in. (0.001 27 cm)
on a second test at the same value.
6.3 Any caliper failing to pass all check points must be repaired before releasing for production.
CHAPTER 4 - - Q U A L I T Y S Y S T E M S
6.3.1
All repaired calipers must be examined by Metrology and meet the requirements of this work instruction for acceptance.
6.3.2 Calipers not meeting the requirements after repair
shall be removed from service.
6.4 All calipers meeting all criteria shall be certified and released to manufacturing.
7.0 Records
7.1 Results of this examination shall be recorded on both the
software system and on the calibration data sheet for hard
copy backup.
7.2 The data entered into the software system shall be backed
up daily on a disk and on the main computer's hard drive.
This provides for three records, one of which is offsite.
8.0 Calibration Schedule
8.1 Calipers shall be recalled for calibration and certification
every twelve months.
The w o r k i n s t r u c t i o n provides i n f o r m a t i o n the m e t r o l o g y
t e c h n i c i a n can follow so t h a t the r e q u i r e m e n t s of the m a n a g e m e n t p r o c e d u r e can be satisfied. W o r k instructions
should be p r e p a r e d by s o m e o n e in the d e p a r t m e n t w h o is
actually p e r f o r m i n g the t a s k being defined. The reasons for
this are many, b u t a very obvious one is that the only p e r s o n
w h o fully u n d e r s t a n d s the a c t u a l p r o c e d u r e for d o i n g the
t a s k is the one w h o p e r f o r m s it.
If we have the individual closest to the t a s k p r e p a r e the
w o r k instruction, we m u s t a s s u r e that he o r she u n d e r s t a n d s
the c o n t e n t a n d intent of the m a n a g e m e n t p r o c e d u r e t h a t
governs t h e i r responsibilities. Therefore, it is i m p e r a t i v e to
have involvement f r o m the d e p a r t m e n t t a s k p e r f o r m e r s
35
w h e n m a n a g e m e n t p r o c e d u r e s are p r e p a r e d . The b e s t w a y
to a c c o m p l i s h this is to ask for assistance f r o m the t a s k performers w h e n the p r o c e d u r e s are going t h r o u g h p h a s e one
of their development.
If you take a n o t h e r look at the two e x a m p l e procedures,
you will notice s o m e t h i n g else if y o u are f a m i l i a r with the
ISO standards. In ISO 9001, the table of contents has Inspection, Measuring, and Test Equipment listed in Section 11.
The p r o c e d u r e n u m b e r a n d the w o r k i n s t r u c t i o n n u m b e r s
b o t h start with the n u m b e r 11. This f o r m a t of n u m b e r i n g
will be of assistance to y o u r employees a n d to outside auditors w h e n reviewing y o u r c o m p l i a n c e to ISO r e q u i r e m e n t s
o r to a n y quality system if you t a i l o r y o u r p r o c e d u r e topic
n u m b e r s to coincide with the n u m b e r s in the table of contents of y o u r quality m a n u a l .
A n o t h e r w o r t h w h i l e a d d i t i o n to y o u r p r o c e d u r e s a n d w o r k
instructions is to include a process flow chart. This allows
for two advantages; one, the flow c h a r t provides a g r a p h i c
d i a g r a m of the s t e p s necessary to c o m p l y with the proced u r e / w o r k instruction; secondly, it allows the p r o c e d u r e to
be short on w o r d s b e c a u s e a p i c t u r e truly is w o r t h a thous a n d words.
Organizing For Quality
Setting u p the quality o r g a n i z a t i o n is as i m p o r t a n t a t a s k
as anything we have discussed earlier. However, titles in the
quality o r g a n i z a t i o n are n o t as i m p o r t a n t as the j o b descriptions of the individuals assigned to assure that quality systems are followed. M e d i u m to large o r g a n i z a t i o n s will find
Marketing
Design
Engineering
Manufacturing
Engineering
QUALITY
Figure 4-3--TQM interaction.
36
TOTAL QUALITY MANAGEMENT MANUAL
it beneficial to have a separate group in the organization responsible for maintaining the systems. Smaller companies
will have many key individuals who perform multifunctional
tasks.
Even if the quality organization is a separate group or is
an individual who has other duties, the checks and balances
should be in place. There should not, for instance, be conflict
between producing the product and making the product to
customer requirements. With this in mind, there are a few
guidelines that should be observed. An individual responsible for assuring that the product is shipped on time is not
always a good choice for quality manager. When organizing,
conflicts of interest must be identified and avoided. Obviously this is easier to accomplish in medium to large companies than in smaller ones.
Before assigning responsibility for quality, look at what the
primary duties are for those in the quality function. There
are two main responsibilities. First and most important is
preventing nonconforming products from reaching the customer. The second is finding ways to improve all functional
activities.
Preventing nonconforming products from reaching the
customer applies to both internal and external customers.
Focusing on this responsibility not only satisfies those who
purchase the product but, just as importantly, provides for
efficiency of operations, reducing internal costs. A great deal
can be saved by doing the job correctly the first time. Some
estimates have put the cost of nonconformance as high as
35% of production costs. This cost is totally unacceptable
and can be avoided through training and leadership.
The second function of a quality organization is to find
methods of improvement. This function is carried out
through measurement, analysis, evaluation, management reports, and participation on continuous improvement teams.
These two functions do not necessarily fit in with other job
functions whose task is to produce a product in a certain
time p e r i o d - - t h e y are even opposing. The quality department's role is not to expedite or "move" a product through
the process c h a i n - - t h a t responsibility rests solely with the
group responsible for the process chain. If a job is held up
by the quality department due to some nonconformance, it
is not the responsibility of the quality department to find a
solution to this problem. The quality department should assist, but the primary responsibility rests with the responsible
group. To satisfy these two main functions, quality must be
in a liaison with all other functions.
Figure 4-3 displays the interaction that must take place
between quality and all other functions when seeking continuous improvement through the SPQP process. It also is a
good example of an organization chart of interactions. All
functions have a dotted line relationship with each other under the team management concept. All department managers
in Fig. 4-3 ideally will report to the general manager or
equivalent senior manager in the organization.
No matter what the organizational structure, what's important is that the quality manager is on a par with other
department managers. And the quality manager usually
needs a persuasive personality that can influence his peers
in day-to-day interaction to make quality the number one
objective.
Quality Reporting
CONTRARYTO SOME who believe that quality is free, I submit
that customer satisfaction has costs associated with it. These
costs are a legitimate business expense, and like all business
expenses we would like a return on that investment. I like to
think of the cost of quality as an investment in both the hard
and soft technologies of the business. The hard technologies
are office equipment, machinery, buildings, gauges, test
equipment, and similar items. The soft technologies are the
people and their interactions with the hard technologies.
TCQ as a percent of manufacturing cost, and (4) scrap as a
percent of total pieces produced.
The collection of these data, as you can see, requires information from both the quality and the accounting departments. The quality department usually has the information
on customer returns, the number of pieces scrapped and reworked, and the number of items recalled due to nonconformance. The accounting department has all cost data associated with the data supplied by Quality, as well as
information on labor, shipments, and overhead. A simple
cost-of-quality report may look like the sample shown in
Fig. 5-1.
To provide more visibly to the CPIs at lower levels in the
organization, one can develop run charts that display the
TCQ over time. This allows everyone the opportunity to see
just how well the facility is performing. If the TCQ CPIs are
exhibiting continuous improvement, the employees gain a
sense of achievement for their efforts. If the trend is in the
opposite direction for any given CPI, the employees can see
where they must seek better ways. A run chart could look
like Fig. 5-2.
In this example, both the percent scrap and the cost of
quality show a continuous improvement curve. This information is vital to reinforce employee self-esteem and to give
everyone in the organization direction for future efforts. The
input for future direction comes from analysis of the various
components that make up the cost of quality. Many of the
largest gains in continuous improvement oftentimes come
from departments outside of quality. This is what can be expected when the quality function and the other functions
work as teams as I discussed in Chapter 4.
COST OF QUALITY
The cost of quality is generally 5 to 20% of sales, and this
accounts only for costs that can be quantified. Some costs
cannot be determined, such as the price a company pays for
dissatisfying a customer. Sure, we can count the cost of the
returned item and the time we spend analyzing the complaint, but we cannot count the negative impression we
made on our customer. Even when we look just at assignable
costs, in a manufacturing facility this can amount to $1500
to $2500 per year per employee. This certainly gives management reason to study the cost of quality and find ways to
reduce it. This figure can be reduced effectively through a
well-managed cost-of-quality program. Experience with effective cost-of-quality programs has shown the return on investment to be approximately 5:1 to 10:1.
Now that we have demonstrated how valuable these costs
can be to management, let us see how a good cost-of-quality
program can be structured. First and foremost, the top executive management of the organization must support the
program. The quality department and the accounting department become business partners in this management
tool. Together they collect the data necessary to assemble the
report for staff management. The output from the Cost of
Quality Report are CPIs that can and should be displayed for
employee awareness.
A few basic components are required to provide enough
information to analyze accounting expenses and statistics.
One needs certain pertinent data, such as cost of shipments
(sales), cost of manufacturing (production), facility labor
and overhead rates, rework hours, scrap costs, and cost of
returns. These are broken down to: (1) total prevention costs,
(2) total appraisal costs, (3) total internal failures, and (4) total
external failures. Then, through analysis, we can arrive at our
critical performance indicators. The CPIs as a minimum are:
(1) total cost of quality (TCQ), (2) TCO/product shipped, (3)
QUALITY S Y S T E M S AUDITS
Another management tool is the quality systems audit. I
have found this tool to be my most effective key to achieving
continuous improvement. Properly applied, it gives an honest and candid appraisal of how your organization is following the established quality systems and how effective t h e y
are.
There are different levels of system audits, and most segments of the organization can find one that can be used for
their own self-assessment. Quality systems audits can be
conducted on top management all the way down the organization chart to the person doing the actual labor on any
given task. All it takes is for someone to format the survey
to fit the scope of the audited system. Everyone can benefit
37
38
TOTAL QUALITY MANAGEMENT MANUAL
ANY C O M P A N Y
COST OF QUALITY REPORT
FY 1 9 9 4
1.00
PERTINENT INFORMATION
1.1
1.2
Total Direct Labor Hours
Total Shipments
1.3
1.4
1.5
1.6
1.7
Ave. Mfg. Cost of Shipments
Scrap Pieces
Rework Pieces
Rework Hours
Plant Overhead & Labor Rate
• :::
:
:
: :: ::::::::::::::::::::::::::::::::::::::::::::
45,580 46,425
46,245
125,877 127,630 125,721 3~9~i228
Pcs
2.00
25.02
1,546
1,865
578
57.00
28.73
1,285
1,279
599
57.00
20,553
19,975
23.76 :;::i:::::::25i84:
1,115 ::::ii3:~9~6
1,042 :: ~i!~1~.!8;6i
475
; i:i65i2:
57.00
57i50
=======================
::::::::::::::::::::
PREVENTION COSTS
2.1
2.2
2;3::: :
Plant Prevention Costs
Miscellaneous
~otai Pteye~yi~ C~sts
:::: ::
19,575
20i553 : : i 9 i 9 7 5
19,575
49,345
35,754
48,222 : i ~5~888
34,875 1 0 4 i 8 5 6
APPRAISAL COSTS
3.00
3.1
3.2
3.3
Quality Assurance Labor
Quality Assurance Expenses
Miscellaneous
48,321
34,227
:::::
i
83,097 2 5 O i 7 ~
4.00
INTERNAL FAILURE COSTS
4.1
4.2
:::
5.00
::::::::
Scrap
Rework
38,681
32,946
4i3 ...... :: To~ai I~tem~i Fa!lurb Costs ::. . . .
36,918
34,143
:
:
: :::::
26,492 ~i 02;09 i
34,143 :::10t;;!i232
60,635 : 203,323
i::::
EXTERNAL FAILURE COSTS
5.1
5.2
5.3
Justified Customer Returns
Stock Recalls
Miscellaneous
9,100
875
8,975
0
10,100 28,1:75:
500 ::: :::/:t375::
:::
::::: :: ::::: :::: ::::: :::::
10,600
6.00
.... !~iiiii~iiii:i iiiiiiiiiiiiii
CRITICAL PERFORMANCE INDICATORS
::: ............
: :
6.2
6.3
6.4
Plant Scrap Rate (% pcs)
TCQ/Product Shipped
TCQ / Manufacturing Costs
i87;2:54:182~5:59 173,907
1.21 %
1.00%
0.88% ; i ilO3%
1.49
1.43
1.38 i:;': t i 4 3
5.95%
4.98%
5.82%
5!55 ~:
Figure 5-1 --Cost of quality report.
from this exercise because no one can ignore themselves.
Examples of systems that can be audited are numerous; I
include a few here so one can appreciate the magnitude of
scope: the quality manual, contract review, drawing control,
calibration records, purchasing procedures, personnel train-
ing records, customer service procedures, manufacturing inspection procedures, invoicing procedures, and preventive
maintenance schedules.
Some audits will be formal, while others can be informal.
This depends on the management procedure on quality sys-
CHAPTER 5 - - Q U A L I T Y REPORTING
39
6
COST OF QUALITY
5
}Z
UJ
tJ
4
3
UJ
2
SCRAP
1
0
FEB
i
i
i
i
i
i
,
i
i
i
MAR
APR
MAY
JUN
JUL
AUG
SEP
OCT
NOV
DEC
1994
Figure 5-2mPercent scrap and percent cost of quality.
tern audits and on how each department develops its own
work instructions to satisfy those requirements. Formal audits require documentation and follow-up corrective action
on deficiencies discovered during the audit. Informal audits
are usually management tools used to assess day-to-day operations. Reports as a result of informal audits are generally
verbal and used as personnel development aids.
The structure of the survey used in formal system audits
should follow in sequence the steps in the procedure or work
instruction. For instance, if we were developing a system audit of the management procedure explained in Chapter 4
(ANY 11-01), there would be questions designed to assure
that the requirement in Paragraphs 1.0 through 5.6 of the
management procedure were being adhered to. A sample
question for Paragraph 4.1.1 may be: "Is all employee-owned
test equipment certified? Submit a list of all production employees that shows test equipment owned and the date of
last certification. Are there any exceptions to being current?"
The formal quality systems audits should be conducted by
a cross-functional team and contain no one from the system
being audited. In other words, the audit must be conducted
free of bias. As an example, if we were auditing purchasing
procedures, we may have on our auditing team members
from quality, engineering; and customer service. This auditing team would tour the purchasing department with the
purchasing manager or supervisor.
Immediately after the survey, the team and the person representing the audited system should sit down and discuss the
results, including any deficiencies. This is very important because disagreements can be resolved much easier then, instead of a week or two later when the request for corrective
action is received.
This brings us to the next phase of the quality systems
audit, the request for corrective action. Each deficiency requires a corrective action request to be sent to the department manager for resolution. The department manager
should be given sufficient time to respond, but a response
should be expected in a reasonable time frame. Usually 15
working days is provided unless the deficiency is a threat to
customer satisfaction, which would demand immediate
action.
The quality department along with the human resources
department are responsible to assure that auditors are properly trained and qualified to conduct audits. Only personnel
who have received and successfully completed the training
should be permitted to conduct audits. Special attention is
given to working in teams, understanding differences, and
problem solving to assure constructive and positive audits.
Documentation of all formal audits is best channeled
through the quality department for retention and followthrough. A system should be established to assure that corrective action identified on the Request for Corrective Action
reports is in fact in place. Usually a member of the audit
team from that area is given the responsibility to revisit the
department and reaudit the deficient item after a sufficient
amount of time has elapsed for the department to initiate
corrective measures. This follow-through is only required on
more serious problems.
What is important to understand is that quality systems
audits are a look at your own operations and are intended
to be constructive. Many times procedures are revised because systems audits find that deviation from original procedures result in an improvement. It is only natural for people to continually seek better methods to do their jobs.
Supplier Qualification
PARTNERSHIPS
mended. Depending on the current order status, these
meetings can be conducted as brief telephone conversations
or as face-to-face meetings at either party's place of business.
In addition, time should be devoted annually for an information seminar at your facility or off-site in which you present your business plan to all key suppliers. This will be discussed later in this chapter when we discuss supplier
involvement.
Depending on the nature of your business, another major
objective is maintaining and controlling confidential and/or
proprietary information. Your business is your business; to
survive in today's global economy, only those who have a
common interest in your organization's goals and objectives
should know the details of your journey to satisfy these objectives. Some common sensitive areas are: pricing, bid/
quote information, process information, design specifications, company plans and goals, profit information, wage
and salary scales, customer lists, supply sources, and supplier information.
ORGANIZATIONS that consider their suppliers to be part of
their overall business strategy are going to be way ahead of
their competition. Suppliers are an integral part of any organization's ability to operate in a cost-effective way. Companies who realize they are not always best at performing
certain tasks and utilize the expertise and experience of suppliers will be rewarded with long-lasting business partnerships with selected suppliers. When developing a business
partnership with a supplier, certain objectives need to be
considered.
Objectives
One of the more important objectives is improved product
quality. Business partners need to share information from
the earliest stages of product development. I recommend
that suppliers in a partnership relationship be permitted and
encouraged to participate in your SPQP (service/product
quality planning) process. Through this interaction, there
may be processes or design changes identified that result in
significant cost savings. Improved quality is also achieved
through analysis of your supplier's quality systems. Through
quality system audits, opportunities for supplier improvement are identified, and by working w i t h the supplier to
meet these challenges, both benefit. Meeting this objective is
discussed later.
Another objective is to maintain or reduce costs associated
with purchased material. In some organizations the material
costs associated with purchased items can approach 100%
in the case of companies whose value-added contribution to
the end product is mainly to assemble/build that product. A
similar situation exists with distributors; they rely solely on
their supplier for product cost, as the value added comes
from the service they can provide. Even in organizations
whose purchased material costs are only 20%, there is considerable saving to be gained through a well-orchestrated
supplier partnership.
To consider in a supplier partnership are blanket orders
versus spot or single-purchase orders one lot at a time, value
analysis through the SPQP process, and reduction in your
supplier base.
Creating or maintaining outstanding supplier delivery performance is another objective. This objective is achieved by
opening up those communications necessary in partner relationships. Much can be gained when purchaser and supplier meet on a regular basis. Weekly meetings are recom-
Sourcing Considerations
There are three main considerations when selecting suppliers. One is the effectiveness of their quality systems, another is their process capability or capacity, and the other is
their price. In a nutshell it comes down to quality, delivery,
and value.
The key to assessing the expected quality performance of
a future supplier is the Supplier Quality Systems Survey as
part of the overall "partners in quality" concept. The survey
should be designed to give objective analysis of the supplier's
quality systems, management goals, drawing and change
control, procurement methods, production control, fixture
and gauge control, process control, product control, documentation and records, packaging and shipping methods,
and employee awareness of these systems.
Supplier Measures
The Partners In Quality Program should also provide
for methods of measuring a supplier's performance to
established criteria, including such things as on-timeperformance, quality of supplied product, response to corrective action requests, cost containment, and meeting other
value-added benefits. Many of these criteria are easily reported as CPIs and can be distributed to the supplier on a
monthly or quarterly basis.
Examples of purchasing reports will now be discussed and
40
CHAPTER 6--SUPPLIER QUALIFICATION 41
TABLE 6-1--Partner's in quality supplier rating summary.
Supplier~
Survey Score 2
Audit Inspection3
SupplierStatus4
A
B
C
D
E
F
G
H
I
J
K
L
M
N
O
P
Q
R
91.10
90.00
90.00
81.40
79.60
78.20
77.70
76.40
72.90
72.50
72.10
71.40
67.10
55.40
55.00
48.60
26.40
26.10
100.00
100.00
97.00
98.10
99.80
99.20
99.40
98.60
100.00
98.50
98.30
100.00
100.00
91.60
99.50
99.20
94.70
100.00
Certified
Certified
Preferred
Preferred
Preferred
Preferred
Preferred
Preferred
Approved
Approved
Approved
Approved
Approved
Conditional
Conditional
Conditional
Conditional
Conditional
tSupplier code identifier.
achieved on an on-site quality systems survey.
3Measure of incoming inspectionresults on a pieces received/acceptedbasis.
4Status of supplier based on composite of survey and audit scores.
2Score
displayed for i n f o r m a t i o n a n d suggestions. The three examples given are very powerful CPIs w h e n shared with y o u r
suppliers. All key suppliers would receive m o n t h l y the report
s h o w n in Table 6-1, allowing t h e m to observe their c u r r e n t
p e r f o r m a n c e as c o m p a r e d with other suppliers who share
your p a r t n e r s h i p agreement. By coding the suppliers as A
t h r o u g h R, n o confidentiality is compromised, as the supplier knows only that he is A or Q a n d does n o t k n o w w h a t
code applies to others.
Figure 6-1, the PIQ Rating Summary, allows the supplier
to see how the overall p e r f o r m a n c e of the supplier base is
87.5
m e e t i n g established goals. By k n o w i n g his individual score,
he has a feel for how valuable his individual c o n t r i b u t i o n is
to that effort. If the supplier's score is below the average, we
can assume we are n o t getting as m u c h value added as we
would from a supplier who is above average. This assists
y o u r p u r c h a s i n g d e p a r t m e n t at negotiation time.
Figure 6-2 is a n overall picture of y o u r ability to receive
orders from suppliers o n time, which i n t u r n provides confidence to y o u r o w n p r o d u c t i o n scheduling d e p a r t m e n t i n
your ability to m a n a g e the p u r c h a s i n g function.
SUPPLIER INVOLVEMENT
One of the better ways to c e m e n t a p a r t n e r s h i p a n d to
show y o u r suppliers you are serious is to sponsor a "supplier
day" at your facility. If you don't have adequate facilities,
c o n d u c t the s e m i n a r off site at a local conference center. The
objectives of the s e m i n a r are to review y o u r company's business p l a n a n d goals, to discuss y o u r c o n t i n u o u s improvem e n t progress, to establish supplier goals a n d i m p r o v e m e n t
objectives, a n d to encourage i n v o l v e m e n t a n d participation.
One m e t h o d for s t r u c t u r i n g a p r o g r a m such as this is detailed i n the following paragraphs.
If you do n o t have a list of your top 20 or so suppliers,
prepare one u s i n g criteria that provide some m e a s u r e to
identify supplier worth such as dollar volume or critical
c o m p o n e n t s . After you k n o w your top suppliers, send t h e m
a letter telling t h e m a b o u t the s e m i n a r a n d invite t h e m to
attend by enclosing a n RSVP form a n d a self-addressed envelope. If you do n o t get a response from some of your key
suppliers, you m a y wish to consider asking suppliers w h o m
you w a n t to develop as future top suppliers to assure full
attendance.
After you receive responses a n d k n o w which suppliers are
• PIQ G O A L
87
86.5
D A V E . PIQ R A N K
86
~
¢n
85.5
85
83.5
83
.
J
.
F
.
.
M
.
A
M
J
J
1994
Figure 6 - 1 - PIQ rating summary.
A
S
O
N
D
42
TOTAL QUALITY MANAGEMENT MANUAL
interested, send a follow-up letter with a simple survey for
them to complete. The survey should be designed to allow
your suppliers to appraise your company as a business partner. A sample survey is shown as Fig. 6-3.
The rating scale goes from 5 to 1, with 5 representing excellent and 1 meaning a very poor performance. The results
of this survey should be analyzed carefully and shared with
your suppliers. Where improvement is indicated, it should
be pursued with a team approach including your suppliers
whenever possible.
Shortly before the seminar, provide the attendees with an
agenda for the program. This gives the attendees time to develop the frame of mind you are hoping they bring to the
meeting. Included in the program should be a general business update by the top manager of the facility. This manager
should also introduce the staff management and give a brief
description of the continuous improvement programs underway. Each staff manager should give at least a 20-minute
talk on the continuous improvement projects in their respective departments. This demonstrates to the audience
that continuous improvement can be applied to any discipline. It's not just a quality thing. This should consume most
of the morning. In the afternoon, devote attention to your
purchasing department's quality improvement objectives for
suppliers. This part of the program should be shared by the
purchasing and quality managers. Leave an hour open for
reviewing the supplier survey (Fig. 6-3) and for open
discussion.
I have participated in several of these types of supplier
involvement programs, and every one of them h a s been a
success. When they are properly administered, both parties
go away with a feeling of cooperation.
Supplier Quality Systems Survey
The Supplier Quality Systems Survey is a management
tool that does many things for both the customer and the
supplier. As the customer, you share with your supplier the
quality philosophy your organization has chosen to apply to
your business. You also have a consistent measure by which
your can evaluate each supplier against their systems and
each supplier with their competition. The survey requires
communication between organizational counterparts in
quality, purchasing, and others in each organization and develops understanding and relationships. The supplier gains
because the survey provides a critical look at how well he is
doing business and to what extent he is satisfying the customer. All in all, the survey can serve both the customer and
the supplier as they journey along the path of continuous
improvement.
It is recommended that the quality systems survey be developed to follow closely your own quality manual since this
survey will transfer your quality philosophy to your supplier.
As an aid, I have prepared a model survey that follows the
quality manual I present in Chapter 8. The Supplier Quality
Systems Survey is in Appendix D.
When setting up the parameters of the supplier quality
survey, special attention should be focused on assessing the
supplier's management and their attitude toward teamwork
and continuous improvement. Control systems to be assessed include document and change control, materials control, fixture and test equipment control, process control,
product control, auditing methods, and quality reporting.
Let us look at each of these elements in detail beginning
with supplier management.
Supplier Management
A sense of the attitude carried by management in regard
to TQM principles has to be gained through the survey. We
discussed these at length in Chapter 1. Is the management
committed to team-oriented management and activities? Is
there a customer focus that includes internal as well as external customers? Are there programs in place and planned
for the future that assure the continued upgrading of employees through training? Does the management utilize the
inherent job knowledge of their employees through empowerment and involvement of the workforce? And, is there a
95
9O
80
75
7O
1Q93
2Q93
3Q93
4Q93
1Q94
i
i
2Q94
3Q94
Figure 6-2--Supplier on-time performance.
4Q94
CHAPTER 6--SUPPLIER QUALIFICATION 43
SUPPLIER SURVEY FORM
5
4
3
2
1
Requests for quotation are clear and complete.
Blueprints and job specifications are accurate and legible.
I
I
Satisfactory follow-up is given if a contract is not awarded on a quote.
I
Purchase order format is clear.
I
I
I
I
I
I
I
I
I
I
Purchase order information is accurate.
I
I
I
I
Invoices are paid according to stated terms and conditions.
I
I
I
I
Purchase orders are issued within stated leadtimes.
I
I
I
I
Adequate planning information is provided beyond your leadtime horizon. I
I
I
I
Our company provides the following information on a regular basis.
Production plans
Current supplier delivery and quality ratings
Quarterly and annual financial summaries
Significant personnel changes
We communicate the level of quality that is required for our products.
I
You are notified within a reasonable period of time after shipment
that material does not meet specification.
I
Returned material is properly packaged and identified.
I
I
I
I
I
I
We communicate sampling and inspection plans for our product.
I
I
I
I
I
I
I
I
I
I
I
I
Purchasing / Quality Assurance employees are cooperative and
respond to requests for information on a timely basis.
In the following space, or on additional paper please list any
questions or issues you want us to discuss at our seminar.
Figure 6-3--Supplier survey form.
44
TOTAL QUALITY MANAGEMENT MANUAL
measurement system in place to track progress, such as
CPIs?
Document and Change Control
There must be a system in place to assure that current
documents and procedures are available to all users at the
supplier's facility. It should also be established that obsolete
documents and procedures are not available to those who
are not aware of possible revisions. Finally, the documents
under control should be available at all locations where operations essential to the effective functioning of the quality
system are performed.
Materials Control
There should be a system in place to assure that material,
either purchased or produced, that is in inventory is identified as to inspection status and part identification. There
should be a procedure for controlling suppliers, nonconforming material, corrective action, receiving inspection,
packaging, and shipping. Work instructions for those who
perform these functions should also be available.
Fixture 1 and Test Equipment Control
Periodic calibration of test equipment and fixturing are essential for control and verification of product quality. Controlled master standards shall be maintained and traceable
to either national standards or manufacturer's standards.
Key elements of a successful fixture and test equipment program are:
• Calibration and certification of analytical equipment used
to determine physical, chemical, or mechanical properties.
• Repeatability and reproducibility studies for equipment
used to collect variable data.
• Equipment history and inventory data.
• Records that include location, method of calibration, date
of next certification, and current status.
• Marking system to identify equipment and its due date for
certification.
• Procedures/work instructions for disposition of nonconforming equipment and fixturing.
Process Control
The supplier should have systems in place that provide a
plan for production and identification of product. Better sys~This applies only if fixtures are used as a final acceptance inspection
device.
tems assign production to process proven to be capable of
achieving high levels of quality and output. This requires an
analysis of the process through statistical methods discussed
in Chapter 7. As a minimum, a supplier's system should provide for:
• Documented work instructions.
• Compliance with the quality manual.
• Monitoring and controlling process parameter and product
critical characteristics during production and assembly.
• Workmanship acceptance criteria via work standards or
samples where possible.
• A safe, dean, and well-organized work environment.
Product Control
Product inspection and quality should be controlled to the
fullest extent possible by the individual doing the job. I call
this point of control responsibility; where it can be applied, it
is the most effective method of assuring product quality. The
supplier's elements of product control should include:
• Receiving inspection.
• First article inspection.
• Measurement system verification.
• In-process inspection
to statistical sampling plans that
specify zero defects.
• Final product audits.
Auditing Methods
Procedures must be in place to assure that all quality systems are functioning as written. This is carried out through
quality system audits as discussed in Chapter 5. These audits
should be scheduled according to the current status and importance of the activity. Results of the audits must be documented and deficiencies noted. All identified deficiencies
require documented corrective action. Management responsible for the activity under evaluation should initiate and
assure effective corrective action.
Quality Reporting
The supplier should have a cost-of-quality report in place
that, at a minimum, tracks rework and scrap. The report
should be distributed to appropriate management that can
effect process and product improvements.
When all eight criteria described above are in place and
effectively implemented, one can be confident in the supplier's ability to satisfy your requirements and provide quality products.
Part 3: Statistical Quality Control
Statistical Quality Control
When the industrial revolution began, other influences
arose that determined the quality of a product, the market,
or the end user. In the beginning o f this period, factories
were small and located in the "industrial" cities. It was difficult to move commerce across the landscape, so industries
served local communities. This provided for small lot sizes
and screening (100% inspection) as a method to control
quality.
During the 1920s and into the 1940s the pace of manufacturing changed from small production lots to larger and
larger production runs. Included with this increase in production were advances in engineering, which led to more
complex design and assemblies. It was during this period
that lot-by-lot inspection gained wide acceptance by management. During the 1940s and 1950s, lot-by-lot inspection
was the only way quality control personnel (i.e., inspectors)
could keep up with production because screening slowed the
process too much.
However, it was not long before everyone realized that lotby-lot inspection, although fast, had serious shortcomings,
not the least of which was the possibility of accepting a lot
containing nonconforming parts simply because the sample
taken was free of these parts. Thus, the customer or end user
would receive a percentage of parts that were either useless,
or worse yet, dangerous.
During the 1960s and 1970s, the shortcomings of both
screening (time consuming and ineffective) and lot-by-lot inspection (not fully acceptable to the customer) encouraged
management to develop what came to be known as inprocess inspection. In-process inspection was usually accomplished by an inspector who patrolled the manufacturing
floor checking on equipment, materials, methods, people,
and output. In-process inspection was also sometimes carried out by the machine operator responsible for a particular
phase of the manufacturing process. For example, a machine
operator may measure a few pieces every hour during the
production run to make sure the parts are within engineering specifications, or a plater may check the coating thickness on a fastener on one or two pieces every tenth barrel
or rack to assure conformance.
In-process inspection coupled with lot-by-lot inspection
was much more acceptable from the consumers' point of
view because they were assured of a better chance of receiving a product to their requirements. But it still had its short
comings:
ONE OF THE MORE effective tools available to organizations
that apply total quality management (TQM) is found in the
applications of statistical quality control (SQC). The more
common applications in use today include:
• Pareto analysis.
• Frequency distribution analysis.
• Multivari analysis.
• Measurement error analysis.
• Control charts.
• Cause and effect diagrams.
• Process capability analysis.
• Correlation analysis.
• Design of experiments.
• Acceptance sampling.
Some of these applications can be used by nonstatisticians, and others require in-depth knowledge of statistical
theory. The point is that everyone in the organization from
top management to employee can use at least some or all of
these techniques to improve their effectiveness.
As discussed in earlier chapters, the commitment and understanding of upper management must be present for any
program to succeed; this is especially true with a statistical
quality control program. More often than not, when we apply statistical tools such as process capability and process
control, we find out more about the process than we may
have expected. We may find that our fixturing is not capable
of positioning our part piece to assure precise contact with
the tool or die. This may require significant expense to remedy. Unless there is commitment from upper management,
the decision more often than not is: Do the best you can,
we'll sort any defects if necessary.
It is not my intent to present a complete study on statistical methods. Primarily, this is a book on TQM; however, it
is important to provide a brief overview on the subject so
those in upper management understand how SQC came to
be and how some of the applications are applied to propel
practitioners along the path of continuous improvement.
QUALITY
CONTROL
Quality control has been with us for thousands of years,
but it was not until about 200 years ago, at the beginning of
the Industrial Revolution, that we began to drift away from
the craftsman method of assuring quality. The craftsman's
method of controlling quality was a very personal one. He
made sure that whatever he produced was, to his way of
thinking, acceptable for commerce. It met his standards.
• There was no way of knowing what went on between visits
by the inspector.
• Lot-by-lot inspection still permitted nonconforming parts
47
48
TOTAL QUALITY
MANAGEMENT
MANUAL
to be shipped, even w i t h zero as the a c c e p t a n c e n u m b e r
for rejects.
• W h e n n o n c o n f o r m i n g p a r t s were discovered, it c a u s e d prod u c t i o n delays t h a t were u n p l a n n e d .
• The costs of s c r a p a n d r e w o r k for the m a n u f a c t u r e r were
very high.
• The system b r e d m i s t r u s t b e t w e e n i n s p e c t o r a n d m a c h i n e
operator.
The ineffectiveness of screening, lot-by-lot inspection, a n d
in-process i n s p e c t i o n along with a business c l i m a t e t h a t dem a n d e d b o t h i n c r e a s e d profits a n d c o n s u m e r i s m led m a n a g e m e n t to a n i n c r e a s e d interest in m o d e r n SQC m e t h o d s .
c a u s e v a r i a t i o n - - a source of c h a n c e v a r i a t i o n
t h a t is always present; p a r t of the n a t u r a l v a r i a t i o n i n h e r e n t
in the process itself.
• S p e c i a l c a u s e v a r i a t i o n - - a source of v a r i a t i o n that is intermittent, u n p r e d i c t a b l e , a n d unstable. It is signaled b y a n
out-of-control c o n d i t i o n on a control chart.
• C o n t r o l c h a r t - - a g r a p h i c r e p r e s e n t a t i o n of the o u t p u t of a
p r o c e s s showing plotted values of s o m e statistic g a t h e r e d
f r o m t h a t output, a central line, a n d one o r m o r e c o n t r o l
limits. It is u s e d to detect special causes of variation.
• Common
STATISTICAL APPLICATIONS
The n e e d to better u n d e r s t a n d o u r m a n u f a c t u r i n g processes led to a p p l i c a t i o n of statistics a n d statistical process
control (SPC). M a n a g e m e n t saw the use of SPC as a m e a n s
of providing a b e t t e r p r o d u c t for their c u s t o m e r s while at
the s a m e t i m e r e d u c i n g the overall cost of quality. W h e n imp l e m e n t i n g a n effective SPC p r o g r a m , o r g a n i z a t i o n s n e e d e d
to w o r k u n d e r m a n y o f the p h i l o s o p h i e s f o u n d in W. Edw a r d s Deming's 14 Points of M a n a g e m e n t (see C h a p t e r 3).
These 14 points, a l t h o u g h m e a n t for m a n a g e m e n t , have wide
a p p l i c a t i o n for all employees once u p p e r m a n a g e m e n t is applying TQM principles t h r o u g h o u t the organization.
DESCRIPTIVE STATISTICS
Variation is p r e s e n t in all "like" things in the universe.
There have never b e e n a n y two things t h a t are exactly alike.
No two p e o p l e are exactly alike, no two grains of sand, no
two m e t a l stampings, a n d so on. As long as we have the
Raw Material
means, w e c a n e x a m i n e a n d analyze until we find a difference. This is an i m p o r t a n t c o n c e p t to u n d e r s t a n d b e c a u s e
v a r i a t i o n is the c o r n e r s t o n e of o u r f o u n d a t i o n for SPC.
I n a n y industry, v a r i a t i o n is c a u s e d b y c o m m o n a n d special causes t h a t are p r e s e n t in any process stream. F i g u r e
7-1 r e p r e s e n t s a typical process s t r e a m m a d e u p of r a w m a terials, people, m e t h o d s , equipment, a n d t h e e n v i r o n m e n t
s u r r o u n d i n g the process. All o r any one of the elements of a
process s t r e a m m a y c o n t a i n variation t h a t could affect the
output. By accepting v a r i a t i o n as a fact of a n y process, we
c a n deal w i t h it in a scientific m a n n e r as statisticians.
The v a r i a t i o n one can e n c o u n t e r in this process s t r e a m
m a y be c o m m o n or special:
People
I n the process stream, m a t e r i a l s are expected to have certain properties, a n d the elements t h a t c o n t r i b u t e a n d define
those p r o p e r t i e s are a source of variation. W h e n the process
m a k i n g the m a t e r i a l contains only c o m m o n causes of variation, the process is said to be in control. If one of the p r o p erties s h o u l d exhibit a n e w trait or characteristic, it m a y be
a source of special variation. This m u s t be evaluated carefully so as n o t to identify this v a r i a n c e as special w h e n it
m a y b e c o m m o n - - w e just d i d n o t see this side of the material before. M a n y sources of special v a r i a t i o n can be influenced b y the p e r s o n r u n n i n g the process a n d to s o m e extent
Methods
7->
Equipment
Environment
Figure 7-1 --Typical process stream,
CHAPTER 7--STATISTICAL QUALITY CONTROL
H a r d n e s s Data
36
34
35
36
36
34
35
36
38
36
36
36
37
36
35
37
35
37
35
37
35
37
37
36
38
35
36
37
35
36
36
35
35
36
36
35
35
37
37
34
38
36
34
36
36
37
34
36
36
37
37
37
35
38
35
35
36
37
37
38
36
37
37
38
38
38
36
39
37
36
Figure 7-2mHistogram of 70 hardness tests.
can be overcome. The sources of c o m m o n v a r i a t i o n are n o t
controllable b y the process operator. They are p r e s e n t a n d
will influence the process no m a t t e r w h a t the p e r s o n r u n n i n g
it a t t e m p t s to do to o v e r c o m e t h a t influence. Only a c h a n g e
in the process s t r e a m will change the v a r i a t i o n i n h e r e n t in
the process.
We could look at e a c h of the o t h e r e l e m e n t s of the process
s t r e a m - - p e o p l e , environment, m e t h o d s , a n d e q u i p m e n t - a n d see the s a m e d i l e m m a . They all c o n t a i n v a r i a t i o n - s o m e we can c o n t r o l a n d s o m e we cannot. A h e a t - t r e a t i n g
process has all kinds of elements t h a t c o n t r i b u t e to the successful e n d of m e e t i n g all the m e c h a n i c a l p r o p e r t i e s specified in the engineering specification.
Let us look at a n e x a m p l e of the h a r d n e s s of an ASTM A
4901 bolt h e a t t r e a t e d to a specified core h a r d n e s s of HRC
( H a r d n e s s Rockwell C-Scale) 33/39. Data were collected on
1Specification for Heat-Treated, Steel Structural Bolts, 150 ksi (1035
MPW) Tensile Strength. ASTM Committee F16 on Fasteners.
a 50-piece s a m p l e a n d the following values were observed as
s h o w n in Fig. 7-2.
A statistician could describe these d a t a in the form of a
h i s t o g r a m as s h o w n in Fig. 7-3.
W h e n one looks at the two m e t h o d s of d e s c r i b i n g the
h a r d n e s s data, it b e c o m e s obvious that the h i s t o g r a m provides a m u c h clearer view t h a n the table of values for the
s a m e data. W h e n we look at the table, it is n o t readily app a r e n t w h a t the range of values is, w h a t the m o s t c o m m o n
value is, w h a t d a t a are in specification, o r h o w the d a t a are
distributed. By having the s a m e d a t a in h i s t o g r a m format,
we see at a glance t h a t the r a n g e of values is f r o m HRC 34
to 38; we see HRC 36 as the m o s t c o m m o n value; we see the
values of all fall w i t h i n the HRC 33-39 specification; a n d we
k n o w t h a t the values are evenly d i s t r i b u t e d a b o u t the m i d p o i n t of the specified range.
It would be useful to further evaluate the d a t a in Fig. 7-2
a n d l e a r n a little m o r e a b o u t the central tendency. There a r e
three m e a s u r e s of central t e n d e n c y t h a t find a p p l i c a t i o n in
statistical analysis; they are the mean, the m e d i a n , a n d the
mode. The mean is the n u m e r i c a l average calculated b y adding all n u m b e r s in the set of d a t a a n d dividing the s u m b y
the n u m b e r of I n d i v i d u a l values in the d a t a set. The median
is the m i d d l e value in a set of d a t a a r r a n g e d f r o m the smallest to the largest. The mode is the m o s t frequently o c c u r r i n g
value in a d a t a set.
A small set of d a t a (Fig. 7-4) will serve to illustrate these
definitions. In this set of data, the m e a n is (33 + 36 + 35 +
37 + 37) + 5 o r 35.6. The m e d i a n value is 36, a n d the m o d e
is 37. To the i n d u s t r i a l u s e r of statistics, the mean, usually
referred to as the average, is the m o s t u s e d statistic from a
set of data. The average along with m e a s u r e s of d i s p e r s i o n
is u s e d to further define h o w the process is performing.
There are two t e r m s t h a t relate to dispersion; they are range
a n d standard deviation. The r a n g e is defined s i m p l y as the
difference b e t w e e n the highest a n d lowest values in a set of
data. The r a n g e of the d a t a in Fig. 7-2 is 5, the difference
b e t w e e n the high value of 39 a n d the low value of 34.
There are m a n y ways to define standard deviation, b u t the
one generally u s e d in classic examples for SPC is: standard
25
2O
>0
Z
UJ
;;)
0
uJ
r~
I.I.
15
10
5
33
34
35
49
36
HARDNESS
Figure 7-3mHardness data.
37
38
39
50
TOTAL Q U A L I T Y M A N A G E M E N T M A N U A L
Test Data
[
33
36
35
37
37
I
Figure 7-4--Test data.
deviation--a m e a s u r e of the d i s p e r s i o n of a series of d a t a
a r o u n d their average (mean), expressed as the square r o o t
of the q u a n t i t y o b t a i n e d b y s u m m i n g the squares of the deviations from the average of the results a n d dividing b y the
n u m b e r of d a t a points m i n u s one. This looks m o r e complic a t e d t h a n it is. Today, the calculation of the s t a n d a r d devia t i o n (or) is a c c o m p l i s h e d w i t h only an u n d e r s t a n d i n g of the
b a s i c m a t h e m a t i c a l skills of addition, subtraction, multiplication, a n d division. And if we are lucky, it can all be h a n d l e d
b y a simple c o m p u t e r m a c r o c o m m a n d once the r a w d a t a
are entered. F o r the sake of c o m p l e t i n g the example, the
s t a n d a r d deviation for the d a t a in Fig. 7-2 is: a = 1.178 723,
o r r o u n d e d off to two significant figures, 1.18, the m e a n is
36.28, the m e d i a n is 36, a n d the m o d e is 36.
This t e c h n i q u e is useful w h e n studying r a w d a t a collected
f r o m a larger p o p u l a t i o n of d a t a a n d has a p p l i c a t i o n to b o t h
office a n d l a b o r a t o r y analysis. Better techniques are available to i n d u s t r i a l a p p l i c a t i o n s t h a t n o t only provide the descriptive statistics p r e s e n t e d above, b u t that also give the
a n a l y s t an i d e a of w h a t the process is doing a n d c a p a b l e of
doing. This is called statistical process control or SPC.
SPC
SPC is a m e t h o d of studying a process t h r o u g h the use of
c o n t r o l charts. A control c h a r t is a tool for the o p e r a t o r of a
process, the m a n u f a c t u r i n g engineer w h e n evaluating the
process, or a n y o n e else w h o has a n interest in the process.
Control charts are b a s e d u p o n data. The d a t a m u s t be collected in such a m a n n e r as to r e m o v e as m u c h bias as possible. This requires the evaluation Of devices u s e d to m e a s u r e
the characteristics that b e c o m e data. There are two definitions of data:
• Variable d a t a - - C h a r a c t e r i s t i c s that can be m e a s u r e d a n d
expressed in values f r o m a c o n t i n u o u s scale. This type of
d a t a m u s t be collected t h r o u g h a gauge o r test device.
• Attribute data--Characteristics t h a t can be defined as eit h e r pass/fail, yes/no, c o n f o r m i n g / n o n c o n f o r m i n g , etc. A
gauge or test device m a y be used as well as a c c e p t a n c e
criteria.
F o r example, the h a r d n e s s values in Fig. 7-2 are variable
d a t a b e c a u s e the values are f r o m a c o n t i n u o u s scale (i.e., 20
to 70 on a C-scale of a h a r d n e s s tester). If we were determ i n i n g w h a t d a t a in Fig. 7-4 are less t h a n 36 b e c a u s e any
value less t h a n 36 was defective, we are w o r k i n g with attribute d a t a in the f o r m of c o n f o r m i n g / n o n c o n f o r m i n g . In this
case, t h e r e are two values n o n c o n f o r m i n g a n d three values
conforming.
Typical gauges u s e d in the collection of variable d a t a
w o u l d include: m i c r o m e t e r s , calipers, dial indicators, coord i n a t e m e a s u r i n g m a c h i n e s (CMMs), electronic testers,
h a r d n e s s testers, etc. Gauges for a t t r i b u t e d a t a include go/
no-go fixtures, c o l o r charts, t h r e a d ring gauges, etc. Regard-
less of the type gauge u s e d in evaluating the object u n d e r
investigation, the gauge m u s t have r e p e a t a b i l i t y a n d r e p r o ducibility. There are several tests to a p p l y to d e t e r m i n e a n
i n s t r u m e n t ' s r e p e a t a b i l i t y a n d r e p r o d u c i b i l i t y (R&R); the
one p r o v i d e d for y o u in Appendix A is ASTM F 1469, G u i d e
for Conducting a R e p e a t a b i l i t y a n d R e p r o d u c i b i l i t y S t u d y on
Test E q u i p m e n t for N o n d e s t r u c t i v e Testing. This s t a n d a r d
describes fully h o w to c o n d u c t the test a n d h o w to i n t e r p r e t
the results. It also contains a n e x a m p l e for the u s e r to follow.
Briefly, w h e n we evaluate for r e p e a t a b i l i t y we are analyzing the i n s t r u m e n t ' s precision, bias, a n d accuracy. In evaluating reproducibility, we are d e t e r m i n i n g the i n s t r u m e n t ' s
ability to p r o d u c e the s a m e m e a s u r e m e n t on the s a m e piece
b e t w e e n two o r m o r e operators. There are several r e a s o n s
one s h o u l d c o n d u c t a gauge R&R. A m o n g t h e m are:
• To provide a criterion to a c c e p t n e w m e a s u r i n g devices.
• To c o m p a r e one m e a s u r i n g device a g a i n s t another.
• To c o m p a r e m e a s u r i n g devices before a n d after c a l i b r a t i o n
o r repair.
• To provide a basis for evaluating a m e a s u r i n g device susp e c t e d of b e i n g deficient.
• To p r o v i d e a reliable m e a s u r i n g device for collecting d a t a
for SPC.
Variable Gauge Analysis
The variable gauge analysis is c o n d u c t e d with two o r three
o p e r a t o r s a n d k test parts of different values. E a c h of the
two o r three o p e r a t o r s m e a s u r e s e a c h test p a r t in such a
m a n n e r as to prevent o p e r a t o r bias in evaluation. It is advisable to have a t h i r d o r f o u r t h p a r t y p a r t i c i p a t e in the s t u d y
by collecting d a t a f r o m the o p e r a t o r ' s m e a s u r e m e n t s . This
w a y n e i t h e r o p e r a t o r will k n o w w h a t the o t h e r got for a
m e a s u r e m e n t until all d a t a are collected.
All d a t a are listed on a w o r k sheet, a n d the n e c e s s a r y calculations are p e r f o r m e d to c o m p l e t e the analysis. I n m o s t
cases, a gauge e r r o r of 10% of the specification tolerance, o r
less, is c o n s i d e r e d an a c c e p t a b l e v a r i a n c e for statistical control. If the e r r o r is greater t h a n 10%, the device m u s t either
be i m p r o v e d or r e p l a c e d w i t h one t h a t is acceptable. M o r e
detail is p r o v i d e d in ASTM F 1469.
There is also a study for a t t r i b u t e d a t a one can a p p l y to
test devices t h a t provide a go or no-go evaluation of the test
part. The study is not as scientific as the one for variable
type equipment, b u t it provides for s o m e a s s u r a n c e of the
m e a s u r i n g system.
Attribute Gauge Analysis
The a t t r i b u t e gauge analysis is c o n d u c t e d w i t h two operators t h a t each evaluate 20 test parts a g a i n s t two s t a n d a r d s
of k n o w n value, one c o n f o r m i n g a n d the o t h e r n o n c o n f o r m ing. I n c o n d u c t i n g this evaluation, it is desirable t h a t s o m e
of the parts being tested be either slightly above o r b e l o w
the specification limits so as to truly test the m e a s u r e m e n t
system. The test is r u n twice b y e a c h operator, a n d the results are r e c o r d e d on the analysis w o r k sheet. A s a m p l e attribute gauge analysis w o r k sheet is p r o v i d e d in Appendix E.
As w i t h the variable gauge analysis, it is r e c o m m e n d e d t h a t
a t h i r d p a r t y be involved so as to lessen o p e r a t o r bias.
The m e a s u r e m e n t system is c o n s i d e r e d a c c e p t a b l e if all
CHAPTER 7--STATISTICAL
Raw Material
\
INPUT
People
Methods
\
\
\\
2
Equipment
QUALITY CONTROL
51
\
OUTPUT
Environment
Figure 7-5--Cause and effect diagram.
evaluation decisions are in agreement with each other. If any
of the evaluations disagree, the system must be improved
and then reevaluated for effectiveness. If the measuring system cannot be improved, it is considered unacceptable and
an alternate measuring system must be developed.
Understanding variability, data, the process, and gauge
R&R are requisites to evaluating the process through the use
of control charts. There are many control charts available to
study processes. There are variable and attribute control
charts.
& R c h a r t - - C o n t r o l chart for averages and range.
& s c h a r t - - C o n t r o l chart for averages and sigma (a).
• Median c h a r t - - C o n t r o l chart for median and range.
• Chart for individuals--Control chart for a moving range.
• X
• ~:
We apply attribute charts whenever we are collecting data
that have only two options, right or wrong, yes or no, etc.
The more common attribute control charts are:
• p - c h a r t - - C o n t r o l chart for fraction defective.
• n p - c h a r t - - C o n t r o l chart for number defective.
• c - c h a r t - - C o n t r o l chart for defects per unit
(constant
subgroup).
Variable Control Charts
• u-chart--Control
We can apply variable control charts whenever we are able
to collect variable type data. The more common variable
control charts are:
Raw Material
AIAnneal
S1038
I e~~d
chart for defects per unit (variable
subgroup).
All of the above control charts have unique characteristics
that render them useful under given conditions. I will not
People
Methods
Noset~
Mary ~ ~
Joe
1"diameter~ /
filledu ~ ~
Low
INPUT
Atmosphere/
lig"
Furnace/ ~
Heavy
fume/
Equipment
Environment
Figure 7-6--Cause and effect diagram.
Hardness
52
TOTAL Q U A L I T Y M A N A G E M E N T M A N U A L
--Investigatesteelwithboronadded
RawMaterial~-J°eneed;~oi~leg withthe fumacI Methods
Annealed ~
Mary ~
1"diameter \ ~
~
INPUT
'~
/
/
Noset --~
procedure ~
x" ,
Atmosphere/
S
~2_.__~Low
Hardness
/
Poorlighting~
/
U,omon,
Writeprocedure
Improvelighting
. /~Addexhaustfans
nv,ronmon,
z---Contml chartthe fumaceparameters
Figure7-7--Causeandeffectdiagram.
a t t e m p t in this study to p r o v i d e a step-by-step m e t h o d for
c o n s t r u c t i n g the eight c h a r t s listed above, b u t I will provide
s o m e b a s i c guidelines t h a t s h o u l d b e followed regardless of
the type c h a r t selected to m o n i t o r a process. There are two
b o o k s I r e c o m m e n d for t h e r e a d e r w h o is interested in learning m o r e a b o u t the c o n t r o l charts a n d their construction.
The first is Understanding Statistical Control,2 a n d the s e c o n d
is Recommended Practices for Statistical Process Control. 3
Guidelines for Control Charting
• Management training--Management m u s t u n d e r s t a n d the
value of SPC a n d the basics of application. They m u s t drive
fear f r o m the c o r p o r a t e culture so t h a t a c c u r a t e r e p o r t i n g
can occur. E m p l o y e e s m u s t b e p e r m i t t e d to c o n c e n t r a t e on
quality, n o t n u m b e r s . M a n a g e m e n t m u s t u n d e r s t a n d t h a t
SPC will identify o p p o r t u n i t i e s for i m p r o v e m e n t t h a t m a y
require capital i n v e s t m e n t in the process.
• Employees training--Employees n e e d to be t r a i n e d in b a s i c
SPC. They n e e d to k n o w h o w to d e t e r m i n e w h e n a subg r o u p is o u t of control. They n e e d to be able to recognize
t r e n d s a n d runs for sequential subgroups. They n e e d to realize that all opportunities identified for improvement m a y
not be addressed in the short t e r m due to the need for capitol
expenditures. They need to understand what they can control
a n d what m u s t be changed by m a n a g e m e n t in a process.
• Understand the process--Flow c h a r t the process to unders t a n d h o w a n d w h e r e p a r t characteristics are affected during the process stream. D e t e r m i n e all c o n t r i b u t i n g elem e n t s f r o m the process stream: material, m e t h o d s , people,
e q u i p m e n t , a n d environment. Ask w h a t e a c h c o n t r i b u t e s to
2Wheeler, D. J. and Chambers, D. S., Understanding Statistical Control, Statistical Process Controls, Inc., Knoxville, TN, 1986.
3Compilation from contributing authors, "Recommended Practices
for Statistical Process Control," Industrial Fastener Institute, Cleveland, OH, 1991.
the characteristics being evaluated d u r i n g the c h a r t i n g
process.
• Choose the characteristics for charting--Base y o u r decisions on n e e d for i m p r o v e m e n t . Do n o t a t t e m p t to c h a r t
every c h a r a c t e r i s t i c a process produces. Paretoize to determ i n e w h i c h ones have the m o s t effect on c h a n g i n g the output. Use the SPQP process to c h a r a c t e r i z e c h a r a c t e r i s t i c s
as to t h e i r i m p o r t a n c e in satisfying the c u s t o m e r a n d c h a r t
high achievers f r o m that list.
• Choose your method of measurement--Determine the test
a n d m e a s u r i n g e q u i p m e n t by c h o o s i n g ones t h a t m e a s u r e
to at least 10% of the characteristic's stated t o l e r a n c e a n d
one t h a t has a gauge R & R -< 10%.
• Remove sources of variation--When the process is studied,
find ways to r e m o v e as m a n y sources of v a r i a t i o n as possible. The e n d result s h o u l d leave only c o m m o n causes of
v a r i a t i o n in the process s t r e a m to the greatest extent possible. As the process is charted, m a n a g e m e n t s h o u l d evalu a t e the results to find ways to reduce the c o m m o n causes
f r o m the system b y c h a n g i n g the process.
• Process capability analysis--Prior to allowing the o p e r a t o r
to c h a r t the process, one s h o u l d first evaluate the p r o c e s s
TABLE 7-1 ~ P a r e t o
analysis.
1st week 2nd week 3rd week 4th week 5th week 6th week
Missing B/P
B/P
clarification
Service
Off-load
Priority
Tooling/
fixtures
System down
35
60
37
58
25
42
30
52
27
75
23
50
65
15
5
30
78
12
8
25
60
20
7
20
88
18
6
11
79
5
8
21
72
10
5
15
3
5
0
0
3
4
CHAPTER 7--STATISTICAL QUALITY CONTROL
System Down
53
I
Priorities
Off-Load
Tool'g/Fixtures
Missing BIP
B/P Clarification
Service
0
i
i
t
i
i
t
i
i
i
50
100
150
200
250
300
350
400
450
Figure 7-8--Pareto Chart 1.
for process capability. The first thing a process capability
s t u d y will tell us is if the process is in a state of statistical
control. There is no p o i n t in going f u r t h e r with c h a r t i n g
until this state has been achieved. This gives m a n a g e m e n t
a starting p o i n t in d e t e r m i n i n g h o w well the process will
a n s w e r the call to p r o d u c e p r o d u c t w i t h i n engineering
specifications. A m e t h o d to c o n d u c t process capability
analysis is p r o v i d e d in ASTM F 1503, S t a n d a r d Practice for
Machine/Process Potential S t u d y Procedures. 4 F o r y o u r
convenience, this s t a n d a r d is r e p r o d u c e d in Appendix A.
Cause and Effect Diagrams
A very simple yet powerful tool is the cause a n d effect diagram, o r fishbone analysis. This tool utilizes the process
s t r e a m m o d e l with a few modifications. A typical cause a n d
effect d i a g r a m starts off as s h o w n in Fig. 7-5.
You can see w h y it is s o m e t i m e s referred to as a fishbone
diagram. This tool has its greatest p o t e n t i a l w h e n a t e a m is
a s s e m b l e d to b r a i n s t o r m a process. It w o u l d be good at this
p o i n t to provide an e x a m p l e of h o w this tool is used. We will
a s s u m e we have a t e a m p u l l e d t o g e t h e r to evaluate the heattreating process for ASTM A 325 bolts. The h a r d n e s s requirem e n t is HRC 25-32, a n d we are having difficulty m e e t i n g this
specification on a consistent basis. S o m e thoughts the t e a m
m i g h t c o m e u p with are s h o w n in Fig. 7-6.
The next step w o u l d be to find ways to i m p r o v e the system
o r to r e m o v e variables that c o n t r i b u t e to the u n d e s i r a b l e output, low hardness. Our t e a m f o u n d m a n y a r e a s in the present system that n e e d e d i m p r o v e m e n t . Not all w o u l d contribute to resolving the low h a r d n e s s p r o b l e m , b u t even those
c o n t r i b u t e to quality of w o r k life, so it was d e c i d e d to reco m m e n d all i m p r o v e m e n t s to m a n a g e m e n t for action. The
t e a m ' s r e c o m m e n d a t i o n is r e p r e s e n t e d as Fig. 7-7.
4ASTM Committee F16 on Fasteners.
Pareto Analysis
It is s o m e t i m e s useful to g r o u p d a t a in d e s c e n d i n g o r d e r
to d e t e r m i n e w h a t inputs have the m o s t i m p a c t on the d a t a
o r situation. The tool used to a c c o m p l i s h this is called Pareto
analysis, n a m e d after the I t a l i a n economist, Pareto. His theory was that to gain the m o s t from o u r resources we s h o u l d
c o n c e n t r a t e on the vital few, a n d n o t w o r r y a b o u t the useful
many. There are m a n y a p p l i c a t i o n s for this t h e o r y w h e n opp o r t u n i t i e s for i m p r o v e m e n t are so n u m e r o u s that full-scale
analysis c a n n o t be d o n e on t h e m all. We can focus on the
vital few that a c c o u n t for 80% o r m o r e of the total
opportunities.
A case study of a n a p p l i c a t i o n of the Pareto principle
w o u l d serve as a g o o d example. At K e n n a m e t a l , Inc. in Solon, Ohio, we k n e w we h a d an o p p o r t u n i t y to i m p r o v e o u r
o n - t i m e p e r f o r m a n c e to c u s t o m e r ship dates if we could reduce the l e a d t i m e in o u r process engineering d e p a r t m e n t .
We e s t a b l i s h e d a t e a m f r o m the process engineering dep a r t m e n t to flow c h a r t the process. After the process was
fully identified, we asked the t e a m to find ways to r e d u c e
r o a d blocks to doing t h e i r j o b in an efficient manner. Several
items were identified as c o n t r i b u t i n g to their failure to process a n order. These were: m i s s i n g blueprints, u n c l e a r blueprints, service, off-loading, priorities, tooling/fixturing availability, a n d system p r o b l e m s . An e x p l a n a t i o n is r e q u i r e d h e r e
to m a k e you a w a r e of w h a t each category represented. We
process an o r d e r t h r o u g h Process E n g i n e e r i n g b y w o r k i n g
on a j o b p a c k e t f r o m C u s t o m e r Service. The j o b p a c k e t contains: p a r t blueprints, p r o m i s e d delivery date, special cust o m e r requirements, a n d the n u m b e r of pieces required. It
is the j o b of Process E n g i n e e r i n g to develop a process routing to m a n u f a c t u r e the order.
Offloading m e a n s the j o b could not be r u n on the equipm e n t originally s c h e d u l e d for processing. Service is w h e n a
process engineer is called to clarify process instructions for
an o p e r a t o r on a m a c h i n e or w h e n the engineer needs to call
C u s t o m e r Service o r Design E n g i n e e r i n g for clarification.
Priorities are j o b s t h a t i n t e r r u p t the j o b they are c u r r e n t l y
54
TOTAL QUALITY MANAGEMENT MANUAL
Missing B/P
Service
BIP Clarification
System Down
Priorities
Tool'g/Fixtures
Off-Load
0
i
i
i
i
i
i
i
10
20
30
40
50
60
70
Figure7-9--Pareto Chart2.
working on. System problems represented those times when
the CAD/CAM program was down. The other categories are
self-explanatory.
This list became our CPIs, and systems were put in place
to track the number of occurrences for each of these indicators. We tracked results for six weeks and paretoized the
data to identify opportunities for improvement. The accumulated data are shown in Table 7-1.
To make the data more meaningful and to present it in a
fashion that would instantly define opportunities for improvement, we put the data in the form of a Pareto chart (Fig. 7-8).
From the analysis, service had the greatest number of occurrences, blueprint clarification had the second most, and
missing blue prints were next in number of occurrences.
These three categories represented 79% of all reasons for
delay. The next step was to develop an action plan to reduce
the occurrences of these three factors. The strategies employed included cross training between design and process
engineers and creating product-specific teams of design and
process engineers, customer service representatives, and machine operators.
Several opportunities were identified as the result of this
exercise. Through better tolerancing of our product (based
on capability) we reduced tooling costs, programming costs,
and manufacturing costs. By utilizing geometric dimension-
ing and tolerancing (GD&T), we improved our processing
capabilities. Through a better understanding of our CAD
geometric features and through silo tumbling we were able
to utilize features of our standard parts on our customengineered parts.
The results of this project included reduced service and
blueprint clarification occurrences, better communications
between departments, better quality programming, and better efficiencies.
After six months had passed, another Pareto analysis was
performed and other opportunities were identified. The
problems identified in the first analysis were all but eliminated as causes of delay (see Fig. 7-9).
The team now had a new set of challenges for continuous
improvement, and they set about finding ways to reduce delays due to off-loading and the unavailability of tooling and
fixtures and dealing more effectively with priorities.
The other statistical tools listed in the beginning of this
chapter require a broader knowledge of statistics than covered in this book. Information on multi-vari analysis, correlation analysis, and design of experiments should be pursued in text books dedicated to those subjects. The effort
would be well worthwhile as these tools are very effective in
defining the root causes of variance, which in turn should
lead to better efficiencies.
Part 4: The Quality Assurance Manual
Introduction to Part IV: The
Quality Assurance Manual
THE DEVELOPMENTof the quality assurance manual is a task
that requires close coordination between all members of the
management team. The written quality assurance manual
describes how the quality systems are applied to each operating unit in the organization. As King Ramses of Egypt (he
was one of the eleven kings of Egypt, B.C.) said, "So it is
written, so it shall be." This is how auditors will interpret
the contents of your manual. It is how your top management
should convey the written document to the entire
organization.
The quality assurance manual should be formatted after
guidelines that satisfy organizational goals, customer requirements, and international standards on quality. This is a
huge task and not the sole responsibility of the quality department. It becomes necessary for all department and operating unit managers to supply input to the quality department as they formulate the document.
The model quality assurance manuals I provide in this
book satisfy only national and international quality requirements. It is not possible to include organizational goals or
customer requirements as they are dependent upon particular and unique demands. However, those requirements can
be integrated where necessary throughout the models.
The models are formatted to satisfy the quality requirements specified in ANSI/ASQC Q9000-1994 (the United
States equivalent to ISO 9000). For the manufacturing model
in Chapter 8, I use ANSI/ASQC Q9001-1994 and ASME FAP-1.
For the service industry model in Chapter 9 (heat treaters,
platers, contract machine shops, etc.), I use ANSI/ASQC
Q9002-1994, for the distributor's model in Chapter 10, I use
ANSI/ACQC Q9003-94 and ASME FAP-1.
To provide more understanding with regard to the referenced standards, they are defined as follows:
ASME FAP-1 is Quality Assurance Program Requirements
for Fastener Manufacturers and Distributors. 1
ANSI/ASQC Q9000-94 is Quality Management and Quality
Assurance Standards--Guidelines for Selection and Use. 2
ANSI/ASQC Q9001-1994 is Quality Systems--Model for
Quality Assurance in Design/Development, Production, Installation and Servicing. 2
ANSI/ASQC Q9002-1994 is Quality Systems--Model for
Quality Assurance in Production and Installation. 2
ANSI/ASQC Q9003-1994 is Quality Systems--Model for
Quality Assurance in Final Inspection and Test. 2
1The American Society of Mechanical Engineers, United Engineering Center, 345 East 47th Street, New York, NY 10017, 1990.
2American Society for Quality Control, 611 East Wisconsin Avenue,
Milwaukee, WI 53202, 1987.
57
Manufacturing Company
Quality Assurance Manual
MANUFACTURING COMPANY QUALITY
ASSURANCE MANUAL
through quality system audits in accordance with documented procedures. Audits are performed by trained
personnel independent of the function being audited.
1.4 The Corporate Quality Assurance Manager functions as
the management representative and has the responsibility and authority for assuring that the requirements of
this manual are implemented and maintained. Facility
Quality Assurance Managers act as management representatives for their facilities.
2.0 Quality System
2.1 Company's Quality system is documented and implemented through the following documents:
2.1.1 Corporate Quality Manual--Defines the scope of
the corporation's Quality System and provides
overall direction to the development of corporate
and facility procedures.
2.1.4 CorporateProcedures--Provides direction to help
manufacturing facilities comply with the Quality
Manual by defining specific corporate requirements or providing general technical guidance.
2.1.5 Facility Procedures--Defines the standard operating practices at each manufacturing facility. Facility procedures satisfy corporate procedure requirements and the Corporate Quality Manual.
2.1.6 Company Facility Work Instructions--Provides
specific directions for the completion of tasks affecting quality.
3.0 Order Review
3.1 New products are reviewed for manufacturabilityand to
assure that adequate production capacity and tooling are
available for product introduction.
3.2 After an item becomes a standard stocked item, the company's primary interface occurs between the manufacturing facility's production and inventory control (P&IC)
department and the production scheduler in the company's distribution facilities. The interface between
manufacturing P&IC and the distribution facilities is defined in written procedures.
3.3 Requests for customer special products may be entered
to our manufacturing facilities from our distribution
centers, field sales, or direct from the customer. Written
procedures describe the order review process and ensure
order completeness and manufacturability. Discrepancies are resolved before manufacturing begins.
3.5 Each facility maintains records of quotations, purchase
orders, engineering drawings, and other documentation
in accordance with written procedures.
4.0 Product Design and Development Control
4.1 The design and/or development of new standard products is the responsibility of corporate product engineering. Quality system requirements for the design and development of standard products are documented in their
Procedures Manual.
Table of Contents
1.0
2.0
3.0
4.0
5.0
6.0
ZO
8.0
9.0
10.0
11.0
12. 0
13.0
14.0
15.0
16. 0
17. 0
18.0
19.0
20. 0
21.0
Management Responsibility
Quality System
Order Review
Product Design and Development Control
Document Control
Purchasing Control
Customer Supplied Product
Product Identification and Traceability
Process Control
Inspection and Testing
Inspection, Measuring and Test Equipment
Inspection and Test Status
Control of Non-Conforming Product
Corrective Action
Handling, Storage, Packaging and Delivery
Quality Records
Internal Quality Audits
Train ing
Servicing
Statistical Methods
Quality Improvement Program
1.0 Management Responsibility
1.1 Company management is responsible for communicating the Company's Corporate Quality Policy throughout
the organization. Corporate and facility management are
responsible for assuring that this policy is understood
and implemented.
1.2 Corporate and facility Quality Assurance is organized to
be independent of production. Quality Assurance, working in conjunction with facility management, has the responsibility and authority to:
1.2.1 Initiate action to prevent the occurrence of product nonconformity;
1.2.2 Identify and record any product quality problems;
1.2.3 Initiate, recommend, or provide solutions
through designated channels;
1.2.4 Verify the implementation of solutions; and
1.2.5 Control further processing, shipment, or installation of nonconforming product until the
deficiency or unsatisfactory condition has been
corrected.
1.3 The quality system outlined in this manual is reviewed
annually by Corporate Management and revised or
reaffirmed as appropriate. Compliance is evaluated
59
60
TOTAL QUALITY MANAGEMENT MANUAL
4.2
The design of customer specials may be performed
within the product engineering department at the manufacturing facilities. Customer specials are defined as
nonstandard products, unique to a specific customer request or application.
4.3 Engineering functions at the manufacturing facilities
maintain procedures that explain how:
4.3.1 Design work is completed and verified in a manner which assures that all specified requirements
are met.
4.3.2 Design activities are assigned to qualified personnel.
4.3.3 Customer design requirements which are incomplete, ambiguous, or do not comply with internal
engineering guidelines are reviewed with the
customer for clarification and final approval
before design documentation is released for
manufacture.
4.3.4 Designs comply with appropriate regulatory and
safety requirements where such requirements
exist.
4.3.5 Design characteristics and tolerances are reviewed for manufacturability and contain or reference acceptance criteria, as appropriate.
4.4 Engineering maintains procedures to assure proper review, documentation, and approval of all design revisions.
5.0 Document Control
5.1 Manufacturing facilities maintain procedures which describe the approval process for all product drawings generated within their facility. These procedures also cover
the approval of drawing revisions.
5.2. Plant drawing control procedures describe how and
where drawings are maintained throughout the facility
and the method used to collect and dispose of outdated
drawings.
5.3 Procedural controls are documented and assure that:
5.3.1 Procedures are reviewed by those affected and
any suggestions resolved before the procedure is
approved by authorized personnel and issued;
5.3.2 Distribution is controlled and documented so that
all recipients are notified of procedural changes;
5.3.3 Revisions to a procedure are reviewed and approved by the originating author or function, and
the nature of the change is documented where
practical;
5.3.4 Procedures are reviewed periodically to assure
they are still current.
5.4 Unless otherwise stipulated, the Quality Assurance department is responsible for the control and issue of all
procedures which impact product quality. Quality Assurance also maintains a current procedures index.
6.0 Purchasing Control
6.1 The purchase of raw materials, supplies, components,
finished products or services is performed in accordance
with written procedures which ensure that:
6.1.1 Purchasing documents clearly identify the product or service being purchased, including information regarding type, style, class, or grade,
where such information is appropriate;
6.1.2 Special requirements, such as specifications,
drawings, reference standards, technical data,
or quality system/certification requirements are
stated on the purchase order;
6.1.3 Purchase orders are reviewed for completeness
and approved prior to release; and
6.1.4
An approved supplier list is used to select suppliers. The selection of suppliers for inclusion on
the approved supplier list is dependent upon the
type and criticality of product or service provided.
Supplier evaluations may be based on their participation in the company's "Partners In Quality"
supplier certification program or previously demonstrated capability and performance.
6.2 The company's customers may conduct source inspection at a manufacturing facility when stipulated in the
purchase order. The company retains responsibility for
quality regardless of such inspection.
6.3 Incoming audits may be initiated by Quality Assurance
to assure conformance to dimensional, metallurgical,
marking, and cosmetic requirements.
7.0 Customer Supplied Product
7.1 Products provided by customers for use or processing at
our company (e.g., special gauges or templates) are controlled in accordance with written procedures. Standard
processing, inspection, and test procedures are used unless otherwise specified.
7.2 Product which is lost, damaged, or scrapped is reported
to the customer and returned to him if possible.
8.0 Product Identification and Traceability
8.1 Incoming raw materials are identified with a unique
batch or heat number as appropriate in accordance with
written procedures.
8.2 Company facilities identify each order or batch of product with a unique traceability code and maintain such
code throughout all stages of manufacture.
8.3 Finished product and/or finished product packaging is
marked with the traceability code and/or a date code in
accordance with written procedures.
8.4 The degree of traceability required for a given product
or product component is based on the item's criticality
to the final customer as well as any physical limitations
which would prohibit product marking.
9.0 Process Control
9.1 Company facilities plan and control production through
the use of manufacturing routings. Routings specify the
raw materials required, the sequence of operations necessary to produce the product, and the applicable drawing, including revision level. Individual facilities may
include additional information with the routing to facilitate manufacturing. Routings are developed in accordance with written procedures.
9.2 Documentation is required for those aspects of manufacturing where the absence of such would adversely affect product quality. Documentation may consist of procedures, work instructions, control plans, reference
standards, or Product/Service Quality Plans.
9.3 Processes are controlled through the monitoring of
appropriate product or process characteristics. The
method used to control the process is documented in
written procedures, work instructions, or control plans.
Where appropriate, statistical process control (SPC) is
utilized to monitor manufacturing processes, reduce
sources of variation, and identify opportunities for improvement. SPC is implemented in accordance with written procedures or accepted industry standard practice.
9.5 New processes or equipment are reviewed to assure
compliance with specified requirements. When appropriate, new equipment is subject to process qualification
tests in accordance with written procedures.
10.0 Inspection and Testing
10.1 Quality Assurance is responsible for approving inspection and test procedures to assure outgoing quality. In-
CHAPTER 8--MANUFACTURING COMPANY QUALITY ASSURANCE MANUAL
11.0
spection and test will normally consist of the following
elements:
10.1.1 Receiving Inspection
10.1.1.1 Quality Assurance is responsible for
implementing adequate controls at
receiving inspection. These controls
may include 100% incoming inspections, audits, or reviews of supplier
certification reports. Quality records
of incoming inspections, tests, or certifications are retained in accordance
with established record retention procedures.
10.1.1.2 Except as noted below, manufacturing follows procedures which prevent
the use of incoming materials until
all receiving inspection requirements
are met.
10.1.1.3 Quality Assurance may release material for production before incoming
inspections or material evaluations
are completed. If this is done and
subsequent receiving inspections
identify a discrepant condition, production is halted and any suspect material is quarantined for further review and disposition.
10.1.2 In-Process Inspection
10.1.2.1 In-process inspections are performed
by inspection and/or production personnel in accordance with approved
product quality plans, internal procedures, work instructions or control
plans. To the extent necessary, inspection documents define sampling requirements, the method of measurement used, a reaction plan if nonconforming material is found and
qualitative standards for visual/cosmetic requirements.
10.1.3 Final Inspection
10.1.3.1 Final inspection is conducted, as required, in accordance with approved
Product Quality Plans, internal procedures, work instructions, or control
plans.
10.1.4 CertificationInspection
10.1.4.1 Product certifications are completed
by Quality Assurance in accordance
with specific customer requests and
requirements.
10.1.4.2 Certificates of conformance must be
approved by the plant QA Manager or
his designate.
10.1.5 Nonconforming product found during inspection is identified, segregated from normal production, and placed on hold pending further review and disposition.
10.1.6 Critical in-process inspection and test results
are documented. Inspection results are retained and are traceable to the order.
Inspection, Measuring and Test Equipment
11.1 Quality Assurance is responsible for the control and
calibration of measurement and test equipment and fixtures, including employee owned gauges, which are
used to verify product quality.
11.2
61
Quality Assurance may select, or participate in the selection of, new gauging and test equipment and ensures
that the gauging is of the proper type, accuracy, and
repeatability for the intended measurement.
11.3 Calibrations are performed at prescribed intervals,
using certified measurement standards traceable to the
National Institute of Standards and Technology (NIST)
or equivalent. Where standards do not exist, the basis
or method for verifying accuracy is documented.
11.4 Calibration procedures are written which describe the frequency and method of calibration, the required equipment, whether or not an outside service is employed, records to be retained, applicable acceptance standards, and
the actions to be taken when results are unsatisfactory.
11.5 Quality Assurance maintains a gauge identification and
calibration scheduling system at each manufacturing
location. The gauge scheduling system includes the type
and serial number of the gauge to be calibrated, its
physical location within the plant, and the date when
the next calibration is due. Records of all calibrations
are maintained.
11.6 Quality Assurance maintains metrology laboratory facilities for gauge, fixture, and test equipment calibration. Metrology facilities provide adequate security, environmental controls, and appropriate storage facilities
to safeguard gauge masters, gauges under calibration,
and gauging not currently in use.
12.0 Inspection and Test Status
12.1 The inspection and/or test status of product is identified
by tag, marking, authorization stamp, or other suitable
means in accordance with written procedures.
12.2 All required tests, inspections, and documentation must
be complete before the product can be released for
shipment. Inspection documentation may be retained
with order packet, or in various Quality Assurance databases as deemed appropriate. Inspection records must
provide actual inspection results or a signoff (e.g., approval tags, employee signature or number, approval
stamp, etc.) which verifies that the inspection was
completed.
12.3 Inspection records identify the individual(s) responsible for releasing conforming product.
13.0 Control of Nonconforming Product
13.1 Products which do not conform to specified requirements are segregated from normal production and
clearly identified with the reason for rejection in accordance with approved procedures. Final disposition of
nonconforming product may involve rework or repairs
to comply with product specifications, scrapping the
product under review, or requesting a waiver (concession) from specification.
13.2 Quality Assurance and production review significant
nonconformances to determine root cause and to make
final disposition on the product in question.
13.3 Requests for waivers are initiated by Quality Assurance
and approved by the appropriate product engineering personnel in accordance with approved waiver procedures.
13.3.1 Waivers to deviate from customer requirements
on special products must be approved by the
customer.
13.4 Product which is reworked or repaired is reinspected
in accordance with approved procedures.
14.0 Corrective Action
14.1 Corrective action procedures are used to identify, analyze, and eliminate conditions which adversely affect
product or service quality.
14.2 Requests for corrective action may be initiated as the
62
TOTAL QUALITY MANAGEMENT MANUAL
result of recurring customer complaints, scrap, rework,
po()r service quality, or any other issue where improvement is required.
14.3 Corrective action procedures consist of the following
elements:
14.3.1 A dear, concise description of the problem or
concern.
14.3.2 Appropriate containment actions as required to
prevent the further processing, shipment, or
sale of suspect material.
14.3.3 An analysis of the problem for the purpose of
determining root cause. Problem analysis may
include a review of individual processes or process flows, Product/Service Quality Plans, failure mode and effects analyses, scrap, rework,
customer returns data, quality records, or other
pertinent information.
14.3.4 Development and implementation of permanent corrective actions to prevent a recurrence.
14.3.5 Provisions for followup to assure that corrective actions are implemented and effective.
14.4 Quality Assurance documentation, such as procedures,
work instructions, Product/Service Quality Plans, or
control plans, are updated as appropriate to reflect implemented improvements.
15.0 Handling, Storage, Packaging and Delivery
15.1
16.0
Manufacturing follows procedures which protect product from damage, contamination or deterioration during storage and manufacture.
15.2 Raw materials and scrap awaiting shipment
for disposal or reprocessing are controlled and
stored in accordance with written procedures.
Quality Records
16.1 Quality records are retained and maintained for the
time periods specified in written corporate procedures.
16.2 Quality records consist of documentation generated
during purchase, manufacture, or testing which demonstrates that the required quality levels were met or
that the quality system in place was effective.
16.3 Quality records are stored in a manner which assures
legibility and facilitates sorting. Adequate storage facilities are provided which prevent deterioration or loss.
17.0 Internal Quality Audits
17.1
17.2
Corporate Quality Assurance conducts periodic audits
at manufacturing facilities to ensure conformance
to the Quality Manual and selected procedures. In
addition, Corporate Quality Assurance conducts periodic product audits on material in inventory in accordance with approved Corporate Quality Assurance
procedures.
Manufacturing facilities conduct internal quality system audits to assure conformance to relevant Corporate
and plant procedures. Quality system audits are conducted in accordance with written procedures.
17.3
Manufacturing facilities conduct final product audits in
accordance with approved audit procedures.
17.4 Audit results are reported to appropriate levels of management for review. Management personnel in the department audited are responsible for corrective action
responses in a timely manner.
18.0 Training
18.1 The company maintains procedures for identifying
training needs and provides for the training of personnel performing activities affecting quality.
18.2 Training records and job requirements are documented
and retained by the department manager or the Human
Resources function.
18.3 Individuals assigned specific tasks which impact quality
are qualified based on education, training, or experience, as appropriate.
19.0 Servicing
19.1 Where applicable, the company establishes and maintains procedures for providing appropriate levels of service to customers.
19.2 The company is responsible for direct customer service.
Corporate Quality Assurance provides technical support to the manufacturing facilities, as well as analysis
and disposition of performance related customer returns.
20.0
Statistical Methods
20.1
Statistical methods are employed, as appropriate, to facilitate problem identification and analysis and the
control, improvement, or qualification of processes or
systems.
20.2 When employed, statistical methods are conducted in
accordance with internal procedures or accepted standard practice.
20.3 Management is responsible for providing adequate
training for those employees using or interpreting statistical results.
20.4 Statistical methods may include, but are not limited to:
20.4.1 Pareto analysis
20.4.2 Process capability analysis
20.4.3 Statistical process control
20.4.4 Design of experiments
20.4.5 Regression analysis
21.0 Quality I m p r o v e m e n t P r o g r a m
21.1 Corporate and facility management are responsible for
developing the company's Quality Improvement Program. The Quality Improvement Program consists of a
three-year strategic plan, as well as detailed annual
quality improvement projects. This plan is submitted to
the Board of Directors for final approval. Quarterly updates are issued to management to monitor progress.
21.2 Cost of Quality reports are issued by each facility.
21.3 Where appropriate, quality improvement plans include
provisions for advanced quality planning for significant
new product developments.
Service Industry Quality
Assurance Manual
S E R V I C E I N D U S T R Y QUALITY A S S U R A N C E
MANUAL
1.4 The company's Quality Assurance Manager functions as
the management representative and has the responsibility and authority for assuring that the requirements of
this manual are implemented and maintained.
2.0 Quality System
2.1 The company's quality system is documented and implemented through the following documents:
2.1.1 Quality Manual--Defines the scope of the company's quality system and provides overall
direction to the development of the company's
procedures.
2.1.4 Procedures--Provides direction to help the production facility comply with the Quality Manual
by defining specific company requirements or
providing general technical guidance.
2.1.6 Work Instructions--Provides specific directions
for the completion of tasks affecting quality.
3.0 Order Review
3.1 All orders are reviewed to assure that adequate instructions
exist to fully understand the customer's requirements.
3.2 A through review of the requirements is made to compare them with existing requirements from the same
customer. Quality plans are modified as required.
3.3 The company xadll assure that we have the necessary capacity to perform the job in the time requested on the order.
3.4 Records of quotations, purchase orders, engineering
drawings, and other documentation will be maintained
in accordance with written procedures.
4.0 Document Control
4.1 The company shall maintain procedures which describe
the approval process for all product drawings procedures and specifications received by customers and regulatory agencies. These procedures also cover the approval of revisions to these documents.
4.2 Company drawing control procedures describe how and
where drawings are maintained throughout the facility
and the method used to collect and dispose of outdated
drawings.
4.3 Procedural controls are documented and assure that:
4.3.1 Procedures are reviewed by those affected and
any issues resolved before the procedure is approved by authorized personnel and issued;
4.3.2 Distribution is controlled and documented so that
all recipients are notified of procedural changes;
4.3.3 Revisions to a procedure are reviewed and approved by the originating author or function, and
the nature of the change is documented where
practical;
4.3.4 Procedures are reviewed periodically to assure
they are still current.
4.4 Unless otherwise stipulated, the Quality Assurance department is responsible for the control and issue of all
procedures which impact product quality.
Table of Contents
1.0
2.0
3.0
4.0
5. 0
6.0
7.0
8.0
9.0
10.0
11.0
12.0
13.0
14.0
15.0
16.0
17. 0
18.0
1.0
Management Responsibility
Quality System
Contract Review
Document Control
Purchasing
Purchaser Supplied Gauging & Test Equipment
Product Identification and Traceability
Process Control
Inspection and Testing
Inspection, Measuring, and Test Equipment
Inspection and Test Status
Control of Nonconforming Product
Corrective Action
Handling, Storage, Packaging, and Delivery
Quality Records
Internal Quality Audits
Training
Statistical Techniques
Management Responsibility
1.1 It is the policy of the company to market and provide
products of such quality that they will reliably perform
their intended function so that the company is recognized as a quality leader in the industry. It is the responsibility of company senior management to communicate
the corporate quality policy throughout the company.
1.2 The company's Quality Assurance is organized tO be independent of production. Quality Assurance, working in
conjunction with company management, has the responsibility and authority to:
1.2.1 Initiate action to prevent the occurrence of product nonconformity;
1.2.2 Identify and record any product quality problems;
1.2.3 Initiate, recommend, or provide solutions
through designated channels;
1.2.4 Verify the implementation of solutions; and
1.2.5 Control further processing, shipment, or installation of nonconforming product until the
deficiency or unsatisfactory condition has been
corrected.
1.3 The quality system outlined in this manual is reviewed
annually by company management and revised or reaffirmed as appropriate. Compliance is evaluated through
quality system audits in accordance with documented
procedures. Audits are performed by trained personnel
independent of the function being audited.
63
64
TOTAL Q U A L I T Y M A N A G E M E N T M A N U A L
4.5
5.0
6.0
7.0
8.0
Quality Assurance maintains an index of all procedures
that affect the quality of our production and service to
the customer.
P u r c h a s i n g Control
5.1 The purchase of raw materials, supplies, components,
finished products or services is performed in accordance
with written procedures which ensure that:
5.1.1 Purchasing documents clearly identify the product or service being purchased, including information regarding type, style, class, or grade,
where such information is appropriate;
5.1.2 Special requirements, such as specifications,
drawings, reference standards, technical data,
or quality system/certification requirements are
stated on the purchase order;
5.1.3 Purchase orders are reviewed for completeness
and approved prior to release; and
5.1.4 An approved supplier list is used to select suppliers. The selection of suppliers for inclusion on
the approved supplier list is dependent upon the
type and criticality of product or service provided.
Supplier evaluations may be based on their participation in the company's "Partners In Quality"
supplier certification program or previously demonstrated capability and performance.
5.2 The company may conduct source inspection at a supplier's facility when stipulated in the purchase order. The
supplier retains responsibility for quality regardless of
such inspection.
5.3 Incoming audits may be initiated by Quality Assurance
to assure conformance to dimensional, metallurgical,
marking, and cosmetic requirements.
Customer Supplied Product
6.1 Products provided by customers for use or processing at
our company (e.g., special gauges or checking fixtures)
are controlled in accordance with written procedures.
Standard processing, inspection, and test procedures are
used unless otherwise specified.
6.2 Product which is lost, damaged, or scrapped is reported
to the customer and returned to him if possible.
P r o d u c t Identification a n d Traceability
7.1 Incoming raw materials are identified with a unique
batch or heat number as appropriate in accordance with
written procedures.
7.2 Each order or batch of product is identified with a
unique traceability code which is maintained throughout
all stages of production.
7.3 Finished orders and/or finished order packaging is
marked with the traceability code and/or a date code in
accordance with written procedures.
7.4 The degree of traceability required for a given order is
based on the item's criticality to the customer as well as
any physical limitations which would prohibit marking.
Process Control
8.1 The company plans and controls production through the
use of production routings. Routings specify the raw materials required, the sequence of operations necessary to
complete the order, and the applicable drawing, including revision level. Routings are developed in accordance
with written procedures.
8.2 Documentation is required for those aspects of production where the absence of such would adversely affect
product quality. Documentation may consist of procedures, work instructions, control plans, reference standards, or Product/Service Quality Plans.
8.3 Processes are controlled through the monitoring of
appropriate product or process characteristics. The
9.0
method used to control the process is documented in
written procedures, work instructions, or control plans.
Where 'appropriate, statistical process control (SPC) is
utilized to monitor manufacturing processes, reduce
sources of variation, and identify opportunities for
improvement. SPC is implemented in accordance
with written procedures or accepted industry standard
practice.
8.5 New processes or equipment are reviewed to assure
compliance with specified requirements. When appropriate, new equipment is subject to process qualification
tests in accordance with written procedures.
Inspection and Testing
9.1 Quality Assurance is responsible for approving inspection and test procedures to assure outgoing quality. Inspection and test will normally consist of the following
elements:
9.1.1 Receiving Inspection
9.1.1.1
Quality Assurance is responsible for
implementing adequate controls at receiving inspection. These controls may
include 100% incoming inspections,
audits, or reviews of supplier certification reports. Quality records of incoming
inspections, tests, or certifications are retained in accordance with established
record retention procedures.
9.1.1.2 Except as noted below, production follows procedures which prevent the use
of incoming materials until all receiving
inspection requirements are met.
9.1.1.3 Quality Assurance may release material
for production before incoming inspections or material evaluations are completed. If this is done and subsequent receiving inspections identify a discrepant
condition, production is halted and any
suspect material is quarantined for further review and disposition.
9.1.2
In-Process Inspection
9.1.2.1
in-process inspections are performed by
inspection and/or production personnel
in accordance with approved product
quality plans, internal procedures, work
instructions or control plans. To the extent necessary, inspection documents define sampling requirements, the method
of measurement used, a reaction plan if
nonconforming material is found and
qualitative standards for visual/cosmetic
requirements.
9.1.3 FinalInspection
9.1.3.1
Final inspection is conducted, as required, in accordance with approved
Product Quality Plans, internal procedures, work instructions, or control
plans.
9.1.4 CertificationInspection
9.1.4.1
9,1.5
Product certifications are completed by
Quality Assurance in accordance with
specific customer requests and requirements.
9.1.4.2 Certificates of conformance must be approved by the plant Quality Assurance
Manager or his designate.
Nonconforming product found during inspection
is identified, segregated from normal production,
CHAPTER 9 - - S E R V I C E I N D U S T R Y QUALITY ASSURANCE MANUAL
9.1.6
10.0
and placed on hold pending further review and
disposition.
Critical in-process inspection and test results are
documented. Inspection results are retained and
are traceable to the order.
12.3.1
12.4
13.0
Inspection, Measuring and Test Equipment
Quality Assurance is responsible for the control and
calibration of measurement and test equipment and fixtures, including employee owned gauges, which are
used to verify product quality.
10.2 Quality Assurance may select, or participate in the selection of, new gauging and test equipment and ensures
that the gauging is of the proper type, accuracy, and
repeatability for the intended measurement.
10.3 Calibrations are performed at prescribed intervals,
using certified measurement standards traceable to the
National Institute of Standards and Technology (NIST)
or equivalent. Where standards do not exist, the basis
or method for verifying accuracy is documented.
10.4 Calibration procedures are written which describe the
frequency and method of calibration, the required
equipment, whether or not an outside service is employed, records to be retained, applicable acceptance
standards, and the actions to be taken when results are
unsatisfactory.
10.5 Quality Assurance maintains a gauge identification and
calibration scheduling system. The gauge scheduling
system includes the type and serial number of the gauge
to be calibrated, its physical location within the company, and the date when the next calibration is due.
Records of all calibrations are maintained.
10.6 Quality Assurance maintains metrology laboratory facilities for gauge, fixture, and test equipment calibration. Metrology facilities provide adequate security, environmental controls, and appropriate storage facilities
to safeguard gauge masters, gauges under calibration,
and gauging not currently in use.
Corrective action procedures are used to identify, analyze, and eliminate conditions which adversely affect
product or service quality.
13.2 Requests for corrective action may be initiated as the
result of recurring customer complaints, scrap, rework,
poor service quality, or any other issue where improvement is required.
13.3 Corrective action procedures consist of the following
elements:
13.3.1 A clear, concise description of the problem or
concern.
13.3.2 Appropriate containment actions as required to
prevent the further processing, shipment, or
sale of suspect material.
13.3.3 An analysis of the problem for the purpose of
determining root cause. Problem analysis may
include a review of individual processes or process flows, Product/Service Quality Plans, failure mode and effects analyses, scrap, rework,
customer returns data, quality records, or other
pertinent information.
13.3.4 Development and implementation of permanent corrective actions to prevent a recurrence.
13.3.5 Provisions for foflow-up to assure that corrective actions are implemented and effective.
13.4 Quality Assurance documentation, such as procedures,
work instructions, Product/Service Quality Plans, or
control plans, is updated as appropriate to reflect implemented improvements.
14.0 Handling, Storage, Packaging and Delivery
14.1
11.1
12.0
Corrective Action
Inspection and Test Status
The inspection and/or test status of an order is identified by tag, marking, authorization stamp, or other suit°
able means in accordance with written procedures.
11.2 All required tests, inspections, and documentation must
be complete before the order can be released for shipment. Inspection documentation may be retained with
order packet, or in various Quality Assurance databases
as deemed appropriate. Inspection records must provide actual inspection results or a signoff (e.g., approval
tags, employee signature or number, approval stamp,
etc.) which verifies that the inspection was completed.
11.3 Inspection records identify the individual(s) responsible
for releasing conforming product.
14.2
15.0
Products which do not conform to specified requirements are segregated from normal production and
clearly identified with the reason for rejection in accordance with approved procedures. Final disposition of
nonconforming product may involve rework or repairs
to comply with product specifications, scrapping the
product under review, or requesting a waiver (concession) from specification.
12.2 Quality Assurance and production review significant
nonconformances to determine root cause and to make
final disposition on the product in question.
12.3 Requests for waivers are initiated by Quality Assurance
and approved by the appropriate management personnel in accordance with approved waiver procedures.
15.2
15.3
16.0
Production follows procedures which protect product
from damage, contamination, or deterioration during
storage and manufacture.
Raw materials and scrap awaiting shipment for disposal or reprocessing are controlled and stored in accordance with written procedures.
Quality Records
15.1
Control of Nonconforming Product
12.1
Waivers to deviate from customer requirements
must be approved by the customer.
Product which is reworked or repaired is reinspected in
accordance with approved procedures.
13.1
10.1
11.0
65
Quality records are retained and maintained for the
time periods specified in written corporate procedures.
Quality records consist of documentation generated
during purchase, production, or testing which demonstrates that the required quality levels were met or that
the quality system in place was effective.
Quality records are stored in a manner which assures
legibility and facilitates sorting. Adequate storage facilities are provided which prevent deterioration or loss.
Internal Quality Audits
16.1
16.2
16.3
The company conducts periodic audits of operations to
ensure conformance to the Quality Manual and selected
procedures. In addition, the company conducts periodic
product audits on material in inventory in accordance
with approved Quality Assurance procedures.
The Quality Assurance manager conducts internal quality system audits to assure conformance to relevant
company procedures. Quality system audits are conducted in accordance with written procedures.
Audit results are reported to appropriate levels of management for review. Management personnel in the department audited are responsible for corrective action
responses in a timely manner.
66
17.0
18.0
TOTAL QUALITY MANAGEMENT MANUAL
Training
17.1 The company maintains procedures for identifying
training needs and provides for the training of personnel performing activities affecting quality.
17.2 Training records and job requirements are documented
and retained by the department manager or the Human
Resources function.
17.3 Individuals assigned specific tasks which impact quality
are qualified based on education, training, or experience, as appropriate.
Statistical M e t h o d s
18.1
Statistical methods are employed, as appropriate, to facilitate problem identification and analysis and the control,
improvement, or qualification of processes or systems.
18.2
When employed, statistical methods are conducted in
accordance with internal procedures or accepted standard practice.
18.3 Management is responsible for providing adequate
training for those employees using or interpreting statistical results.
18.4 Statistical methods may include, but are not limited to:
18.4.1 Pareto analysis
18.4.2 Process capability analysis
18.4.3 Statistical process control
18.4.4 Design of experiments
18.4.5 Regression analysis
Distributor Industry Quality
Assurance Manual
INTRODUCTION
their intended function so that the company is recognized as a quality leader in the industry. It is the responsibility of company senior management to communicate
the corporate quality policy throughout the company.
1.2 The company's Quality Assurance is organized to be independent of production. Quality Assurance, working in
conjunction with company management, has the responsibility and authority to:
1.2.1 Initiate action to prevent the shipment of nonconforming product;
1.2.2 Identify and record any product quality problems;
1.2.3 Initiate, recommend, or provide solutions
through designated channels;
1.2.4 Verify the implementation of solutions; and
1.2.5 Control further acceptance or shipment, of nonconforming product until the deficiency or unsatisfactory condition has been corrected.
1.3 The quality system outlined in this manual is reviewed
annually by company management and revised or reaffirmed as appropriate. Compliance is evaluated through
quality system audits in accordance with documented
procedures. Audits are performed by trained personnel
independent of the function being audited.
1.4 The company's Quality Assurance Manager functions as
the management representative and has the responsibility and authority for assuring that the requirements of
this manual are implemented and maintained.
2.0 Quality System
2.1 The company's quality system is documented and implemented through the following documents:
2.1.1 Quality Manual--Defines the scope of the company's quality system and provides overall direction to the development of the company's
procedures.
2.1.4 Procedures--Provides direction to help the operating departments comply with the Quality Manual by defining specific company requirements or
providing general technical guidance.
2.1.6 Work Instructions--Provides specific directions
for the completion of tasks affecting quality.
3.0 Order Review
3.1 All orders are reviewed to assure that adequate instructions
exist to fully understand the customer's requirements.
3.2 A thorough review of the requirements is made to compare them with existing requirements from the same
customer. Quality plans are modified as required.
3.3 Records of quotations, purchase orders, engineering
drawings, customer specifications and other documentation will be maintained in accordance with written
procedures.
4.0 Document Control
4.1 The company shall maintain procedures which describe
the approval process for all product drawings proce-
IN MY OPINION the ANSI/ASQC Q9003-1994 a n d ISO 9003
standards fall short w h e n specifying quality system requirem e n t s for final inspection a n d test facilities that typically are
the general description of 80% of the distributor industry.
I n reviewing the use of the s t a n d a r d guidelines in Q90001994, Q94 r e c o m m e n d s they use Q9003-1994 w h e n conform a n c e to specified r e q u i r e m e n t s are to be assured by the
supplier solely at final i n s p e c t i o n a n d test. One would apply
Q92 w h e n c o n f o r m a n c e to specified r e q u i r e m e n t s is to be
assured by the supplier d u r i n g p r o d u c t i o n a n d installation.
Very few distributors get involved in p r o d u c t i o n (i.e., mac h i n i n g or installation). However, m a n y are involved in services such as metallic coatings a n d parts kitting (the practice
of c o m b i n i n g two or more different parts to make a whole,
such as m a k i n g a kit consisting of five M20 b y 2.5 by 8 0 - m m
heavy hex structural bolts, five M20 by 2.5 heavy hex nuts,
a n d five h a r d e n e d washers). Therefore, I i n c l u d e d sections
i n the quality m a n u a l that provide for the control of these
activities.
D I S T R I B U T O R S H I P QUALITY A S S U R A N C E
MANUAL
Table of Contents
1.0
2.0
3.0
4.0
5.0
6.0
7.0
8. 0
9.0
10.0
11.0
12.0
13.0
14.0
15.0
16.0
Management Responsibility
Quality System
Order Review
Document Control
Purchasing
Product Identification and Traceability
Inspection and Testing
Inspection, Measuring, and Test Equipment
Inspection and Test Status
Control of Nonconforming Product
Corrective Action
Handling, Storage, Packaging, and Delivery
Quality Records
Internal Quality Audits
Training
Statistical Techniques
1.0 Management Responsibility
1.1 It is the policy of the company to market and provide
products of such quality that they will reliably perform
67
68
TOTAL Q U A L I T Y M A N A G E M E N T M A N U A L
4.2
4.3
4.4
4.5
5.0
dures and specifications received by customers and regulatory agencies. These procedures also cover the approval of revisions to these documents.
Company document control procedures describe how
and where documents are maintained throughout the facility and the method used to collect and dispose of outdated documents.
Procedural controls are documented and assure that:
4.3.1 Procedures are reviewed by those affected and
any issues resolved before the procedure is approved by authorized personnel and issued;
4.3.2 Distribution is controlled and documented so that
all recipients are notified of procedural changes;
4.3.3 Revisions to a procedure are reviewed and approved by the originating author or function, and
the nature of the change is documented where
practical;
4.3.4 Procedures are reviewed periodically to assure
they are still current.
Unless otherwise stipulated, the Quality Assurance department is responsible for the control and issue of all
procedures which impact product quality.
Quality Assurance maintains an index of all procedures
that affect the quality of our distribution and service to
customers.
ing quality. Inspection and test will normally consist of
the following elements:
7.1.1 ReceivingInspection
7.1.1.1
7.1.1.2
7.1.1.3
Purchasing Control
The purchase of supplies, components, finished products
or services is performed in accordance with written procedures which ensure that:
5.1.1 Purchasing documents clearly identify the product or service being purchased, including information regarding type, style, class, or grade,
where such information is appropriate;
5.1.2 Special requirements, such as specifications,
drawings, reference standards, technical data,
or quality system/certification requirements are
stated on the purchase order;
5.1.3 Purchase orders are reviewed for completeness
and approved prior to release; and
5.1.4 An approved supplier list is used to select suppliers. The selection of suppliers for inclusion on
the approved supplier list is dependent upon the
type and criticality of product or service provided.
Supplier evaluations may be based on their participation in the company's "Partners In Quality"
supplier certification program or previously demonstrated capability and performance.
5.2 The company may conduct source inspection at a supplier's facility when stipulated in the purchase order. The
supplier retains responsibility for quality regardless of
such inspection.
5.3 Incoming audits may be initiated by Quality Assurance
to assure conformance to dimensional, metallurgical,
marking, and cosmetic requirements.
7.1.3 FinalInspection
5.1
6.0
Product Identification and Traceability
6.1
6.2
6.3
7.0
Incoming materials are identified with a unique batch or
lot number as appropriate in accordance with written
procedures.
Each order or batch of product is identified with a
unique traceability code which is maintained throughout
all stages of storage through shipping.
Finished orders and/or finished order packaging is
marked with the traceability code and/or a date code in
accordance with written procedures.
Inspection and Testing
7.1
Quality Assurance is responsible for approving inspection and test procedures to assure incoming and outgo-
Quality Assurance is responsible for
implementing adequate controls at receiving inspection. These controls may
include 100% incoming inspections,
audits, or reviews of supplier certification reports. Quality records of incoming
inspections, tests, or certifications are retained in accordance with established
record retention procedures.
Except as noted below, the warehouse
and distribution functions follow procedures which prevent the storage or shipment of incoming materials until all receiving inspection requirements are met.
Quality Assurance may release material
for inventory before incoming inspections or material evaluations are completed. If this is done and subsequent
receiving inspections identify a discrepant condition, the material must be quarantined for further review and disposition.
7.1.3.1
Final inspection is conducted, as required, in accordance with approved
Product Quality Plans, internal procedures, work instructions, or control
plans.
7.1.4 CertificationInspection
7.1.4.1
Product certifications are completed
by Quality Assurance in accordance
with specific customer requests a n d
requirements.
7.1.4.2 Certificates of conformance must be approved by the facility Quality Assurance
Manager or his designate.
7.1.5 Nonconforming product found during inspection
is identified, segregated from normal process
flows, and placed on hold pending further review
and disposition.
7.1.6 Inspection and test results are documented. Inspection results are retained and are traceable to
the order.
8.0
Inspection, Measuring and Test Equipment
8.1
Quality Assurance is responsible for the control and calibration of measurement and test equipment and fixtures, including employee owned gauges, which are used
to verify product quality.
8.2 Quality Assurance may select, or participate in the selection of, new gauging and test equipment and ensures
that the gauging is of the proper type, accuracy, and repeatability for the intended measurement.
8.3 Calibrations are performed at prescribed intervals, using
certified measurement standards traceable to the National Institute of Standards and Technology (NIST) or
equivalent. Where standards do not exist, the basis or
method for verifying accuracy is documented.
8.4 Calibration procedures are written which describe the
frequency and method of calibration, the required equipment, whether or not an outside service is employed,
records to be retained, applicable acceptance standards, and the actions to be taken when results are
unsatisfactory.
CHAPTER IO--DISTRIBUTOR INDUSTRY QUALITY ASSURANCE MANUAL 6 9
8.5
Quality Assurance maintains a gauge identification and
calibration scheduling system. The gauge scheduling system includes the type and serial number of the gauge to
be calibrated, its physical location within the company,
and the date when the next calibration is due. Records
of all calibrations are maintained.
8.6 Quality Assurance maintains metrology laboratory facilities for gauge, fixture, and test equipment calibration.
Metrology facilities provide adequate security, environmental controls, and appropriate storage facilities to
safeguard gauge masters, gauges under calibration, and
gauging not currently in use.
9.0 Inspection and Test Status
9.1 The inspection and/or test status of an order is identified
by tag, marking, authorization stamp, or other suitable
means in accordance with written procedures.
9.2 All required tests, inspections, and documentation must
be complete before the order can be released for shipment. Inspection documentation may be retained with
order packet, or in various Quality Assurance databases
as deemed appropriate. Inspection records must provide
actual inspection results or a sign-off (e.g., approval tags,
employee signature or number, approval stamp, etc.)
which verifies that the inspection was completed.
9.3 Inspection records identify the individual(s) responsible
for releasing conforming product.
10.0 Control of Nonconforming Product
10.1 Products which do not conform to specified requirements are segregated from the normal process flow and
clearly identified with the reason for rejection in accordance with approved procedures. Final disposition of
nonconforming product may involve rework or rejection to the supplier to comply with product specifications, scrapping the product under review, or requesting a waiver (concession) from specification.
10.2 Quality Assurance reviews significant nonconformances with the supplier to make final disposition on
the product in question.
10.3 Requests for waivers are initiated by the supplier's
Quality Assurance representative and reviewed with
our customer by our quality assurance management in
accordance with approved waiver procedures.
10.3.1 Waivers to deviate from customer requirements must be approved by the customer.
10.4 Pro.duct which is reworked is reinspected in accordance
with approved procedures.
11.0 Corrective Action
11.1 Corrective action procedures are used to identify, analyze, and eliminate conditions which adversely affect
service quality.
11.2 Requests for corrective action may be initiated as the
result of recurring customer complaints, poor service
quality, or any other issue where improvement is
required.
11.3 Corrective action procedures consist of the following
elements:
11.3.1 A clear, concise description of the problem or
concern.
11.3.2 Appropriate containment actions as required to
prevent further instances of the problem.
11.3.3 An analysis of the problem for the purpose of
determining root cause. Problem analysis may
include a review of individual processes or pro-
12.0
13.0
14.0
15.0
16.0
cess flows, Service Quality Plans, failure mode
and effects analyses, customer returns data,
quality records, or other pertinent information.
11.3.4 Development and implementation of permanent corrective actions to prevent a recurrence.
11.3.5 Provisions for follow-up to assure that corrective actions are implemented and effective.
11.4 Quality Assurance documentation, such as procedures,
work instructions, Service Quality Plans, or control
plans, are updated as appropriate to reflect implemented improvements.
Handling, Storage, Packaging, and Delivery
12.1 All processes follow procedures which protect product
from damage, contamination, or deterioration during
product receipt, storage, and packaging.
12.2 Product awaiting shipment for disposal or reprocessing
are controlled and stored in accordance with written
procedures.
Quality Records
13.1 Quality records are retained and maintained for the
time periods specified in written procedures.
13.2 Quality records consist of documentation generated
during purchase, rework or testing which demonstrates
that the required quality levels were met or that the
quality system in place was effective.
13.3 Quality records are stored in a manner which assures
legibility and facilitates sorting. Adequate storage facilities are provided which prevent deterioration or loss.
Internal Quality Audits
14.1 The company conducts periodic audits of all processes
to ensure conformance to the Quality Manual and selected procedures. In addition, the company conducts
periodic product audits on material in inventory in accordance with approved Quality Assurance procedures.
14.3 Audit results are reported to appropriate levels of management for review. Management personnel in the department audited are responsible for corrective action
responses in a timely manner.
Training
15.1 The company maintains procedures for identifying
training needs and provides for the training of personnel performing activities affecting quality.
15.2 Training records and job requirements are documented
and retained by the department manager or the Human
Resources function.
15.3 Individuals assigned specific tasks which impact quality
are qualified based on education, training, or experience, as appropriate.
Statistical Methods
16.1 Statistical methods are employed, as appropriate, to facilitate problem identification and analysis and the
control, improvement, or qualification of processes or
systems.
16.2 When employed , statistical methods are conducted in
accordance with internal procedures or accepted standard practice.
16.3 Management is responsible for providing adequate
training for those employees using or interpreting statistical results.
16.4 Statistical methods may include, but are not limited to:
16.4.1 Pareto analysis
16.4.2 Gauge and test equipment repeatability and reproducibility studies
16.4.3 Statistical process control
Part 5: Fastener Quality Assurance Act
11
Public Law 101-592
ON 16 NOV. 1990, President George Bush signed into law
HR-3000, enacting Public Law 101-592 (hereafter referred to
as the Fastener Quality Act, or FQA). The FQA was necessary
in large part because there exists in the fastener industry
those who are more interested in making money in fraudulent ways than in conducting business in an ethical manner.
The business practices of these individuals included supplying fasteners with false certifications, unauthorized material
substitutions, head marks inconsistent with performance
levels, and other deviations from the standards they represented.
This phenomenon surfaced during the mid-1980s, and because of the seriousness of the consequences of applying
substandard fasteners, the U.S. Government became involved. The results of misapplied fasteners included: loss of
life, human injury, equipment failure--including military
tanks, and millions of dollars in costs associated with these
losses.
All of this could have been avoided if those who purchased
the fraudulent fasteners had applied TQM principles. The
fastener industry could have escaped becoming a regulated
industry with all the added costs to the industry and to the
American taxpayer if good business practices had existed.
Many in the industry are bitter, and who can blame them?
From a quality professional's point of view, I am both elated
and disappointed by the result. On balance, however, I am
more disappointed because the absence of continuous improvement in operations resulted in unnecessary costs. The
added costs will affect the American taxpayer more than the
fastener industry. As I read the FQA, I see easy compliance
for those companies who follow the TQM guidelines discussed in this book. The vast majority of companies in the
fastener industry are well positioned to comply with the
FQA, with minor corrections to their operating practices.
The minority contains a mix of companies willing to change
their operating philosophy to comply, as well as those who
will still attempt to circumvent compliance.
A brief summary of the FQA would be appropriate and
beneficial to those not familiar with its provisions.
To date, the FQA is not in effect. There are still recommended amendments under consideration before the U.S.
Senate. These amendments were recommended to Congress
by a group of industry experts appointed to the Fastener Advisory Committee (FAC) by the Commerce Department. The
FAC includes members from fastener manufacturers, distributors, users, testing laboratories, and standards organizations. The group is diverse and, as should be expected, did
not always agree on what the FQA should contain. However,
in spite of their differences they were able to reach consensus on many of their original points of contention. The FAC
introduced three amendments to the House of Representatives. The three areas of concern were: (1) chemical testing,
(2) sale of fasteners with minor deviations from standard,
and (3) lot segregation.
CHEMICAL TESTING
The way the FQA is now prepared, it is necessary to conduct a chemical analysis on each shipping lot of fasteners
covered by the FQA. The industry practice has been to apply
the certified mill test report of chemistry to all lots of fasteners manufactured from the heat of steel applicable to that
mill certification. This has been accepted by both manufacturers and users because fastener manufacturing has no affect on the original material's chemistry. If the requirement
of providing a chemistry test on each shipping lot was imposed, it is estimated by the FAC that this would add between $100 million and $266 million to the cost of doing
business.
MINOR DEVIATIONS
Many fastener specifications and standards now permit
the use of fasteners that may contain minor deviations. Provisions exist within the standard or specification that require
full disclosure from the seller to the buyer. This makes good
economic sense when the deviation would have absolutely
no impact on form, fit, or use for the fastener's intended
application. The FQA as currently written would not allow
the sale of fasteners with deviations from standard. It does
not make sense for a Governmental body who knows nothing about fasteners or the engineered application of fasteners to have final judgment as to acceptance. This decision
should be left to the fastener manufacturer and his customer! The FAC estimates the cost of this change of practice
to the industry to be between $200 million and $1 billion.
LOT SEGREGATION
This area of the FQA has perhaps generated the most polarity among the FAC. At the present time, distributors commingle lots of like grades (property classes) of fasteners. This
could mean different lots from the same manufacturer or
73
74
TOTAL Q U A L I T Y M A N A G E M E N T MANUAL
t h a t lots from different fastener m a n u f a c t u r e r s could be supplied to users u n d e r the p r e s e n t system. This practice removes all t r a c e a b i l i t y w h e n r e c o r d s are n o t m a i n t a i n e d w i t h
p r o p e r d o c u m e n t a t i o n b y the distributor. S o m e d i s t r i b u t o r s
apply g o o d s o u n d business systems for c o m m i n g l i n g , while
others do not. So as n o t to place an u n n e c e s s a r y b u r d e n on
all distributors, the FAC has r e c o m m e n d e d t h a t the provision
for iot t r a c e a b i l i t y be m a d e v o l u n t a r y for distributors. W h i l e
fasteners offered for sale w o u l d be f r o m a c c e p t e d lots meeting the specification/standard requirements, a d i s t r i b u t o r
could c o m m i n g l e fasteners f r o m different lots. If r e q u i r e d b y
an application, a c u s t o m e r could go to a d i s t r i b u t o r w h o
m a i n t a i n s lot control to o b t a i n fasteners f r o m segregated
lots.
The first two r e c o m m e n d a t i o n s were accepted b y the
House. The Senate a p p r o v e d all three r e c o m m e n d a t i o n s on
16 M a r c h 1994. The battle continues as of this writing on
10 July 1994 over i n c l u s i o n of the v o l u n t a r y lot segregation
provision as r e c o m m e n d e d b y the FAC.
W h a t fasteners are affected b y the FQA? NIST (National
Institute of S t a n d a r d s a n d Technology) estimates t h a t as it
is n o w w r i t t e n 25% of the fastener m a r k e t is affected. This
represents $1.5 billion w o r t h of fasteners a year! The fasteners i n c l u d e d are:
• A screw, nut, bolt, or stud having internal or external
t h r e a d s a n d l o a d - i n d i c a t i n g washers, m a d e of metal, t h a t
is r e q u i r e d b y specification o r s t a n d a r d to be t h r o u g h - h a r d ened a n d is 5 m m o r g r e a t e r in t e r m s of the m e t r i c system
o r a q u a r t e r i n c h o r g r e a t e r in t e r m s of the British system.
• Screws, nuts, bolts, o r studs having internal or external
t h r e a d s t h a t b e a r a g r a d e or p r o p e r t y class identification
m a r k i n g r e q u i r e d b y a s t a n d a r d or specification, a n d washers if subject to this s t a n d a r d o r specification.
• Any fasteners a d d e d f r o m t i m e to t i m e b y the S e c r e t a r y of
Commerce, as necessity dictates.
One m a j o r c h a n g e the fastener i n d u s t r y m u s t a d j u s t to is
the use of a c c r e d i t e d l a b o r a t o r i e s for testing a n d inspection.
This p r o v i s i o n has resulted in a whole n e w i n d u s t r y for
NIST. U n d e r the FQA, NIST m u s t a p p r o v e a n d accredit laboratories for i n s p e c t i o n a n d testing of fasteners covered by
the FQA. This activity will be a d m i n i s t e r e d t h r o u g h NVLAP
(National Voluntary L a b o r a t o r y Accreditation Program).
NVLAP held a w o r k s h o p in F e b r u a r y 1993 to g a t h e r inform a t i o n from the fastener i n d u s t r y on i n s p e c t i o n a n d test
m e t h o d s a n d requirements. In August 1993 a n o t h e r workshop was h e l d d e s c r i b i n g the contents of a h a n d b o o k t h a t
contained administration, operational, a n d technical requirements for fastener i n s p e c t i o n a n d testing laboratories.
The FQA will be i m p l e m e n t e d 180 days after the S e c r e t a r y
of C o m m e r c e issues final regulations on testing a n d certification, a n d a system has b e e n e s t a b l i s h e d to register m a n u facturers a n d private label insignias for the p u r p o s e of traceability if at t h a t t i m e t h e r e are e n o u g h NVLAP-approved
testing laboratories. If there are not, provisions exist for a
s i x - m o n t h delay to the effective date of the FQA. I m p l e m e n tation of the FQA will p r o b a b l y o c c u r no s o o n e r t h a n the
t h i r d q u a r t e r of 1995.
This s h o u l d n o t be a license for the fastener i n d u s t r y to
fail to p r e p a r e for i m p l e m e n t a t i o n . S o m e things s h o u l d be
c o n s i d e r e d n o w to p r e p a r e to c o m p l y w i t h the FQA, a n d I
list s o m e of t h e m here. A full list can n o t be p r e p a r e d at this
t i m e due to the u n c e r t a i n t y of the status of the F Q g s provisions. Let us begin at the b e g i n n i n g of the process chain.
FASTENER MANUFACTURERS
• Apply TQM principles to y o u r organization.
• E s t a b l i s h total lot control a n d traceability.
• Apply this to all fasteners regardless if t h e y are or are not
covered by the FQA.
• K n o w y o u r suppliers a n d establish s u p p l i e r qualification
procedures.
• Register y o u r logo o r m a n u f a c t u r e r ' s identification m a r k
with NIST.
• M a i n t a i n original test r e c o r d s for ten years.
• E s t a b l i s h effective in-house testing criteria.
• Use IFI-139 as a guide. A copy of IFI-139 is in Appendix
B.
• Apply this s t a n d a r d to y o u r outside testing l a b o r a t o r y as
well.
• P u r c h a s e steel t h a t is specially designed for the u n i q u e req u i r e m e n t s of fastener m a n u f a c t u r i n g .
• Use IFI-140 as y o u r steel standard. A copy of IFI-140 is
in A p p e n d i x B.
• Apply the quality system r e q u i r e m e n t s of ISO 9000 a n d
ASME-FAP-1 to y o u r operations.
• N a m e s o m e o n e to be r e s p o n s i b l e a n d a c c o u n t a b l e for
compliance.
TESTING LABORATORIES
• Apply TQM principles to y o u r organization.
• B e c o m e f a m i l i a r w i t h the following standards:
• IFI-139.
• ISO/IEC G u i d e 25, General R e q u i r e m e n t s for Competence of Calibration a n d Testing Laboratories.
• S t u d y NVLAP certification r e q u i r e m e n t s now.
• Apply for NVLAP cet~tification as soon as you are ready.
• M a i n t a i n original test records for ten years.
• Test records m u s t include:
• A d e s c r i p t i o n of the fastener.
• P r o d u c t specification a n d lot identification.
• The s a m p l i n g s t a n d a r d utilized.
• The p r o d u c t i o n lot size a n d s a m p l e size tested.
• A s t a t e m e n t of c o n f o r m a n c e or n o n c o n f o r m a n c e .
• It m u s t be t a m p e r resistant.
• It m u s t be w r i t t e n in English.
• Apply the quality system r e q u i r e m e n t s of ISO 9003 (ANSI/
ASQC Q9003-1994) to y o u r operations.
FASTENER DISTRIBUTORS
• Apply TQM principles to y o u r organization.
• E s t a b l i s h lot c o n t r o l a n d lot t r a c e a b i l i t y procedures.
CHAPTER l l - - P U B L I C LA W 101-592
• Set procedures to provide traceability to customers who
request it.
• Know your suppliers and establish supplier qualification
systems.
• Understand the product standards/specifications for the
fasteners you distribute.
• Maintain original test records for ten years.
• Apply the quality system requirements of ISO 9003 (ANSI/
ASQC Q9003-1994) to your operations.
• Name someone to be responsible and accountable for
compliance.
FASTENER USERS
• Apply TQM principles to your organization.
• Know your suppliers and establish supplier qualification
systems.
• Purchase only from suppliers certified through ISO 9000
or ASME-FAP- 1.
75
• Verify that your suppliers are registered in compliance
with Section 8 of the FQA.
• Verify that the test report comes from an accredited
NVLAP laboratory.
• Understand your rights under the FQA.
• Apply the appropriate fastener standard/specification for
your application.
• Apply the quality system requirements of ISO 9000 (ANSI/
ASQC Q9000-1994) to your organization.
A central theme that applies to the entire fastener industry
and market is to apply total quality management principles
and establish quality systems that comply with the ISO 9000
and ASME-FAP-1 standards. Application of these systems
will provide for accountability, responsibility, and traceability for any fastener supplied through these systems and will
assure ease of compliance with the FQA.
A copy of the Fastener Quality Act, Public Law 101-592, is
provided for the reader in Appendix C. As provided, it does
not contain the proposed amendments now before the U.S.
Senate. The reader should stay informed and acquire the final version of the FQA as it becomes available.
APPENDICES
Appendix A: ASTM Standards F 1469, F 1470,
and F 1503
(1~ ~) Designation: F 1469 - 93
Standard Guide for
Conducting a Repeatability and Reproducibility Study on Test
Equipment for Nondestructive Testing 1
This standard is issued under the fixed designation F 1469; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (0 indicates an editorial change since the last revision or reapproval.
equivalent, and shall be current to the test equipment's
calibration schedule.
1. Scope
1. l This guide describes the steps required to conduct a
complete repeatability and reproducibility (RR) study on
nondestructive test equipment. This guide is a manual (use
of calculator) method. Other methods may utilize the
application of computer driven software.
1.2 This guide can be used to evaluate all test equipment
that provides variable measuring data.
5. Procedure
5.1 Although the number of operators, trials, and parts
may be varied, the following guidelines represent the optimum conditions for conducting a study using the forms in
Figs. 1a to ld.
5.2 Select three operators and identify them as Operators
A, B, and C.
5.3 Calibrate the test equipment with a certified standard.
5.4 Select ten parts for measurements and number them
from 1 to 10, such that the numbers are not visible to the
operators.
5.5 Allow Operator A to inspect all ten parts in a
sequential order and enter the results in the I st trial column
for Operator A of the Repeatability and Reproducibility Data
Sheet (Fig. l a). Part number identification and associated
data entry shall be performed by an observer.
5.6 Repeat 5.5 with Operators B and C and enter the
results in the corresponding 1st trial column for each
operator.
5.7 Repeat 5.5 and 5.6 using a random selection of the ten
parts. Enter data in the 2nd trial column for each operator. If
three trials are needed, repeat the cycle and enter data in the
corresponding 3rd trial column for each operator.
5.8 Steps 5.5, 5.6, and 5.7 may be changed to the
following when large part size or simultaneous availability of
parts is not possible:
5.8.1 Allow Operators A, B, and C to measure the first
part and record their readings in the corresponding 1st trial
columns for each operator.
5.8.2 Allow Operators A, B, and C to remeasure the first
part and record their readings in the corresponding 2nd trial
columns for each operator. If three trials are to be used,
repeat the cycle and enter the results in the corresponding
3rd trial columns for each operator.
5.9 If the operators are not available at the same time, the
following method may be used. Allow Operator A to
measure all ten parts at once and enter the results in the I st
trial column for Operator A. Repeat the measurements in a
different order and enter the results in the corresponding 2nd
and 3rd trial columns for Operator A. Do the same with
Operators B and C, as soon as they are available entering
their data in their corresponding 1st, 2nd, and 3rd trial
columns.
5.10 Make all necessary calculations on the Repeatability
and Reproducibility Data Sheet (Fig. l a) and Repeatability
and Reproducibility Report (Fig. lb). For clarity, Figs. lc
and ld are provided as examples.
2. Terminology
2.1 Definitions:
2.1. I repeatability--the variation in the values of measurements obtained when one operator uses the same gage
for measuring identical characteristics of the same parts.
2.1.2 reproducibility--the variation in the average of measurements made by different operators using the same parts.
3. Significance and Use
3.1 This guide is recommended for the purpose of evaluating test equipment that may be utilized in statistical
process control, testing laboratories, and for in-process
control of manufacturing operations.
3.2 Ask the question: What effect does the operator have
on the measurement process? If possible, the operators who
normally use the test equipment should be included in the
study. If operator calibration of the equipment is likely to be
a significant cause of variation, then the operator should
recalibrate the equipment prior to each group of readings.
3.3 The test equipment should provide direct readings in
which the smallest digit is no larger than one tenth of the
tolerance of the characteristic being evaluated.
3.4 It is recommended that a test equipment repeatability
and reproducibility study be a mandatory part of all test
equipment purchases and that acceptance criteria be <10 %
for certification and statistical process control (SPC) use.
4. Equipment Certification
4.1 Test equipment shall be certified through use of
certified standards as accurate to the manufacturer's/user's
calibration systems with certified standards before a repeatability and reproducibility study is performed.
4.2 Certifications must be traceable to the National Institute of Standards and Technology (NIST), or recognized
t This guide is under the jurisdiction of ASTM Committee 1:-16 on Fasteners
and is the direct responsibility of Subcommittee F16.93 on Quality Assurance
Provisions for Fasteners.
Current edition approved Feb. 15, 1993. Published April 1993.
81
q~ F 1469
Operator A
Sample #
1st Trial
2nd Trial
Operator C
Operator B
RanRe
3rd Trial
Ist Trial
2nd Trial
Range
3rd Trial
1st Trial
2nd Trial
3rd Trial
Ranl~e
1
2
3
4
5
6
7
8
9
10
Totals
L F
I
L I
~R,A
I
=R,C
I
~A=
I
I
~,A= I
I
Y B: I
~,Bol
R
×
×
R~B
D-4
=
UCL-R* ]
R,c
I
Y.C=
I
~,col
# Trials
D-4
2
3.27
3
2.58
]
I
I
X,A
X,c
Y. R A , B , C
Reference : The D-4 Constant is obtained from the table of Factors for X-Bar, R charts,
page 12, Western Electric Statistical Quality Control Handbook.
dif
Notes
:
FIG. la
Gage Repeatability and Reproductibility Data Sheet
82
~
F 1469
Operator A
Sample #
1
2
3
4
5
6
7
8
9
10
Totals
1st Trial
2nd Trial
35.6
35.5
36.1
36.3
36.2
35,9
36.2
35.8
35.8
35.9
359.3
35.7
35.5
35.9
36.2
36.2
36.0
36.1
35.7
35.8
36.1
359.2
Operator C
Operator B
3rd Trial
Range
0
0.I
0
0.2
O. I
0
O.I
0.I
0, I
0
0,2
0.9
1st Trial
36.3
35.8
35.9
2nd Trial
36.1
35.7
36.1
36,0
36.3
35.6
35.7
36.4
36.2
36.0
360,2
35.8
36.2
35.5
35.7
36,3
36.3
36.0
359.7
3rd Trial
Range
0.2
0.1
0,2
0.2
0.I
0.I
0
0.I
O. I
0
I.I
0
Ist Trial
2rid Trial
35.7
35.9
36.1
35.8
36.3
36.2
35.5
35.8
36.0
35.7
359
35.8
36.0
35.9
35.5
36.3
36.0
35.7
36.0
36.1
35.7
359
L
I -s
~.A=
1
~
ZB=
0
0.1
0.1
0.2
0.3
0
0.2
0.2
0.2
0.1
0
1.4
~
[
0.14
~
~,B= ~ - - ~ - ]
~,.
0.09
R
×
D-4
= UCL-R" [
R~B
0.11
0.113333
×
3.27
= 0.3706
rC
0.14
[
~, c = ~-g3-'--]
# Trials
D-4
,A
35.925
2
3.27
1B
35.995
3
2.58
~C
35.9
0.34
Reference : The D-4 Constant is obtained from the table of Factors for X-Bar, R charts,
~=
Range
=R,A
X,A= ~
y. ~ A ~ B T C
3rd Trial
0.113333
page 12, Western Electric Statistical Quality Control Handbook.
35.995
Max
35.9
~Un
dif
Notes:
FIG. lb
Gage Repeatability and Reproductibility Data Sheet
83
0.095
¢l~
Part Name :
Part Number :
Characteristic:
F 1469
Date
Performed By:
File Name
:
Gage Name :
Gage No.
Specification :
From Date Shnet :
~=
[
Measurement Unit Analysis
Repeatability - Equ~ment Variation ( E. K )
F~W. =
(
R
)x(
K - 1
% E.V. =
)
=
=
=1
(
) X (
) ]
I::iiiiiiiiiii~i~i~:ii~:iiiii!iiiil
Reproducflbillty - Appraiser Variation
A.V. =
4.56
3.05
:~ililililiii~iiiii!!!i!ii~iili~i~ilili~il
2
3
[iiiiiiiiiiiii~i~i~i~:iiiiiii*ii!i]
3.65
2.7
n = # parts
r = # trials
E.V.
100 [(
[
) / (
100 I(
Tol
)1
) /(
)l
( A . V. )
~[(Xdif) × ( K - 2 )]' - [(E.V,)2 / (. × r)l]
=
=[
ToleranceAna~l,~
%
]
% A.V.=
100 [(
=
100 [(
g.V.
) / (
Tol
) / (
)]
)1
=[
Repeatability and Reproductibility ( R & R )
R&R
ffi
~ ( % E V 2 ) +(%A V. 2 )1
I ( ( E V.) 2 + ( A . V . ) 2 )
=
~(()2 + 02 )
=[
]
* Guidelines for acceptance are referenced in "Measurement System Analysis" by A.I.A.G., 1990, page 46. All '
calculations are based upon predicting 5.15 sigma (99.0% of the area onder the normal distribution curve). A . V . ifa negative value is calculated onder the square root sign, the apprmser variation (A.V.) defaults to Zoro (0).
FIG. lc
Part Name :
Part Number :
Characteristic:
• Guidelines for acceptance are:
Under 10% errm - gage system O.K.
10°,6 - 30% *='ror - may be acceptable besed on ~
of
application, cost of gage, cost of r ~ ,
etc.
Ovex 30% error - Gage system needs i m i ~ v e m e ~ Make
evory effort to im~tffy the problems
and have them omected.
Gage Repeatability and Reproductibility Data Sheet
1/2 - 13 x 4 A490
A490 - 15
Hardness
Gage Name :
Gage No.
:
Specification :
Rockwell Tester
XYZ
HRC 33 - 38
F.mDa. S..,:
I °'1'3333 I
Xdif = ]
Measurement Unit Analysis
Sepea~Ulty - F~uipr,~t Variation ( E. V. )
]~V. =
(
=
=1
(
0.095
Tolerance:[
]
5
[
% Tolerance Am~tsis
% E.V. =
R
)x(
K - l )
0.113333
)X (4.56)
0.5168
]
03/11/92
Date
Performed By:
:
File Name
[ii::i:ii:i~i~!iiiI
[iiiiiiiiiiiii~i~::~ii~~i~~::]
2
4.56
[
I
3
3.05
I
IOO [(
=
E.V.
lOO[( o.sz6s
1
I
) / (
Tol
)1
)/(
s
)1
10.34
Reproductibility . Appraiser Variation ( A. V. )
A.V. =
% A~V. =
~[(Xdif) x ( K - 2 )}a . [ ( E V )z / (n x r)]}
=
=l
=
0.228994
I
[~::~:ii:~i~~i~
ili: ~ ~~ili!:::i:~!i!i] 3.65
n = # parts
[
2.7
[
100 [(
E.V.
) / (
100 [( 0.2289938 ) / (
= I
Tol
5
)l
)l
4.58
r = # trials
Repeatability and Reproductibility ( R & R )
R&R
=
((E.V) 2 + (A.V.) 2 )
=
~(%E.V.2
+ ( % A . V . 2 )]
=
~[(106. 8329) + (20. 97526)]
((0.5168) 2 + (0.228994) 2 )
0.565261
[
= [
* Guidelines for ar,ceptaace are refereneed in " M ~ o n t
System Analysis" by A.I.A.G., 1990, page 46. All
calodations are based upon wedicti~ 5.15 sigma (99.0% of the area under the normal distribution curve). A.V. if a negative value is calculated under the square root sign, the appraisor variation (A.V.) defaults to Zero (0).
IL3%
• Guidelines for acceptance are:
Undor 10% en~r - gage system O K .
10%- 30% error - may be aoceptable based on importance of
application, cost of gage, cost of repairs, etc.
o v ~ 30% error - Gage system ueeds iml~vemont. Make
every effot~ to indontify the pfoblezns
and have then corrected,
FiG. ld
Gage Repeatability and Reproductibility Data Sheet
84
~I~ F 1469
ibility percentage between 10 and 30 % shall be reviewed by
a qualified technician. If possible, the testing system should
be improved or replaced; however, the system may continue
to be used as is until an improvement is found.
6.1.3 Test equipment with a repeatability and reproducibility percentage greater than 30 % is unacceptable. Take
immediate corrective action to replace or improve the testing
system.
6. Analysis of Results
6.1 Evaluate the data following the steps on the data
sheets to determine if the test equipment is acceptable for its
intended application. The criteria for acceptability is dependent upon the vercentage of part tolerance that is consumed
by the test equi, ment error. Acceptability is based upon the
following criteria
6.1. l Test equipment with a repeatability and reproducibility percentage of l0 % or less is fully capable and may be
used for certification testing.
6.1.2 Test equipment with a repeatability and reproduc-
7. Keywords
7.1 repeatability; reproducibility; statistical process control; test equipment
The American Society for Testing and Materials takes no position respecting the validity of any patent rights asserted in connection
with any item mentioned in this standard. Users of this standard are expressly advised that determination of the validity of any such
patent rights, and the risk of infringement of such rights, are entirely their own responsibility.
This standard is subject to revision at any time by the responsible technical committee and must be reviewed every five years and
ff not revised, either reepproved or withdrawn. Your comments are invited either for revision of this standard or for additional standards
and should be addressed to ASTM Headquarters. Your comments will receive careful consideration at a meeting of the responsible
technical committee, which you may attend, ff you feal that your comments have not received a fair hearing you should make your
views known to the ASTM Committee on Standards, 1916 Race St., Philadelphia, PA 19103.
85
(~)
Designation: F 1470 - 93 °
Standard Guide for
Fastener Sampling for Specified Mechanical Properties and
Performance Inspection 1
This stanta..rd is issued under the fixed designation F 1470; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (~) indicates an editorial change since the last revision or reapproval.
¢~ NoTE--Title was corrected editorially in November 1993.
INTRODUCTION
Throughout this guide the terms detection and prevention apply to quality control systems. A
brief description of both is provided to assist the purchaser in the application of this guide.
The detection system relies on inspection as the primary means of controlling the quality of
furnished material. Methods include in-process and final inspection. In-process inspection is
typically performed by the individual performing the process and generally includes a first-piece
inspection by someone other than the operator. Quality-control inspection may perform audit
inspections on the process output during the course of the production run. In addition, a final
inspection is performed by quality control inspectors according to a prescribed sample plan. The
other sample plans utilize zero defects as their acceptance criteria.
The prevention system uses advanced quality planning in addition to many of the techniques
used in the detection system. Quality planning incorporates a systems approach to quality control
that focuses on defect prevention and continual improvement. In addition, Statistical Process
Control (SPC) is usually applied to control the process, thereby reducing the variability of the
output.
The ISO 9000 standards describe quality system models and either their use or those of the
ASQC 90 series (ISO 9000 equivalent) are prevention-based quality systems.
1. Scope
ASME/ANSI B I8.18.2M Inspection and Quality Assurance for High-Volume Machine Assembly2
ASME/ANSI Bl8.18.3M Inspection and Quality Assurance for Special Purpose Fasteners 2
ASME-FAP-1 Quality Assurance Program Requirements
for Fastener Manufacturers and Distributors 2
ANSI/ASQC Q90 Quality Management and Quality Assurance Standards--Guidelines for Selection and Use2
ANSI/ASQC Q91 Quality Systems--Model for Quality
Assurance in Design/Development, Production, Installation, and Servicing 2
ANSI/ASQC Q92 Quality Systems--Model for Quality
Assurance in Production and Installation 2
ANSI/ASQC Q93 Quality Systems--Model for Quality
Assurance in Final Inspection and Test2
ANSI/ASQC Q94 Quality Management and Quality
System Elements--Guidelines 2
2.2 ISO Standards:
ISO 9000 Quality Management and Quality Assurance
Standards--Guidelines for Selection and Use2
ISO 9001 Quality Systems--Model for Quality Assurance
in Design/Development, Production, Installation and
Servicing 2
1.1 This guide provides sampling methods for determining how many fasteners to include in a random sample
in order to determine the acceptability of a given lot of
fasteners.
1.2 This guide is for mechanical properties, physical
properties, coating requirements, and other quality requirements specified in the standards of ASTM Committee F-16.
Dimensional and thread criteria sampling plans are the
responsibility of ASME Committee B18. Therefore, unless
otherwise specified in this guide, dimensional and thread fit
sampling shall be in accordance with ANSI/ASME
BI8.18.3M.
1.3 This guide provides for two sampling plans: one
designated the "detection process," as described in 3.1.3, and
one designated the "prevention process," as described in
3.1.8.
2. Referenced Documents
2.1 ANSI Standards:
This guide is under the jurisdiction of ASTM Committee F-16 on Fasteners
and is the direct responsibility of Subcommittee F16.93 on Quality Assurance
Provisions for Fasteners.
Current edition approved Feb. 15, 1993. Published April 1993.
2 Available from the American National Standards Institute, 11 West 42nd St.,
13th Floor, New York, NY 10036.
86
F 1470
ISO 9002 Quality Systems--Model for Quality Assurance
in Production and Installation2
ISO 9003 Quality Systems--Model for Quality Assurance
in Final Inspection and Test2
ISO 9004 Quality Management and Quality System Elements-Guidelines2
some other nonrandom pattern of points within the control
limits.
3.1.12 statistical controlwexists when all special causes of
variation have been eliminated from a process and only
common causes remain.
3.1.13 test--an element of inspection that generally denotes the determination by technical means of the properties
or elements of supplies, or components thereof, and involves
the application of established scientific principles and procedures.
3. Terminology
3.1 Definitions:
3.1.1 assembly lot--an assembly lot may consist of a
4. Significance and Use
4.1 Sampling shall be selected in a random manner,
ensuring that any unit in the lot has an equal chance of being
chosen. Sampling should notbe localized by selections being
taken from the top of a container or from only one container
of multi-container lots.
4.2 The purchaser should be aware of his supplier's
quality assurance system. This can be accomplished by
auditing the Supplier's quality system, if qualified auditors
are available, or by third-party assessment certification, such
as provided by ASME's Fastener Accreditation Program
(FAP).
combination of different products. As long as the products
that make up the assembly are in accordance with 3.1.6, the
quantity of assemblies determine the sample size. Example:
ten assemblies consisting of a bolt, nut, and a washer would
have a lot size of ten if the bolts, nuts, and washers meet the
criteria of 3.1.6. However, if any of the components in the
assembly are not in accordance with 3.1.6 then the ten
assemblies will have to be separated into lots that meet all the
requirements of 3.1.6.
3.1.2 common causewcommon cause variation affects all
the individual values of the process output being studied. In
control chart analysis, it appears as part of the random
process variation.
3.1.3 detectionprocess--a past-oriented strategy of quality
control that attempts to identify the nonconforming product
after it has been produced, and then to separate it from the
conforming product.
3.1.4 in-process sampling inspection--a random sample
of product drawn from prescribed points to the processing
stream (usually characteristic sensitive) and performing specific inspections and tests to determine conformance of the
product at that point of the processing stream.
3.1.5 inspection--process of measuring, examining,
testing, gaging, or using other procedures to ascertain the
quality or state of, detect errors or defects in, or otherwise
appraise materials, products, services, systems, or environments to a preestablished standard.
3.1.6 lot a quantity of product of one part number that
has been processed essentially under the same conditions
from the same heat treatment lot and produced from one
mill heat of material and submitted for inspection at one
time.
3.1.7 lot sampling inspection~a random sample drawn
from a lot and performing specified inspections and tests to
determine the acceptability of the lot.
3.1.8 prevention process--a future-oriented strategy that
improves quality through continuous improvement activities
by directing analysis and action toward correcting the
process itself. Prevention utilizes statistical process control
and other statistical techniques.
3.1.9 process flow--the current or anticipated sequential
process steps required to produce a fastener.
3.1.10 random sampling--when every fastener in the lot
has an equal and independent chance of being chosen for the
sample. The sample may be returned to the lot if it has not
been altered or destroyed during the inspection/test upon
completion of sampling.
3.1.11 special cause--special cause variation is intermittent, unpredictable, and unstable. In control chart analysis, it
is signaled by a point beyond the control limits, a run, or
5. Ordering Information
5.1 The purchaser shall specify at the time of order
inquiry the specification number, issue date, and sampling
plan (detection process or prevention process) required from
the supplier.
5.2 Guidelines for sampling plan selection are provided in
Section 9.
6. Acceptance Criteria
6.1 The acceptance criteria for Table 1 is to accept the lot
if zero nonconforming parts are detected, and reject the lot if
at least one nonconforming part is detected.
7. Disposition of Nonconforming Lots
7.1 Supplier's Options--The supplier has the following
options in dispositioning nonconforming lots:
7.1.1 Lots may be scrapped.
TABLE 1
S a m p l e Size
NOTE--The acceptance number in all cases is zero defects.
Lot Size
2to15
16 to 25
26 to 50
51 to 90
91 to 150
151 to 280
281 to 500
501 to 1200
1201 to 3200
3201 to 10 000
10001 to 35 000
35001 to 150 000
150001 to 500 000
500001 and over
Sample Size
A
B
C
D
3
4
5
6
7
10
11
15
18
22
29
29
29
29
2
3
4
5
6
7
9
11
13
15
15
15
15
15
1
1
1
2
2
2
3
3
3
4
4
5
6
7
A
A
A
1
1
1
2
2
2
3
3
3
4
5
A Suppliers shall fumish certified test results ~'om which the shipping lots
odginatecl. If certified test reports are not available, then the supplier must default
to Sample Size C and conduct the tests required.
87
~ ) F 1470
7.1.2 Lots may be 100 % sortedand all nonconforming
parts removed.
7.1.3 Lots may be reworked or reprocessed to correct the
nonconforming characteristic(s), if permitted by specification. See 7.3.
7.1.4 Lots may be "used-as-is" providing the purchaser is
informed of the rejectable items and written approval is
obtained. This disposition shall be documented with each
shipment, including appropriate signatures and dates authorizing the release.
tions should have no effect on the fastener's intended application or end
tlsc.
7.2 Purchaser'sOptionsmThe purchaser has the following
options in dispositioning nonconforming lots:
7.2,1 Lots may be rejected and returned to the supplier.
7.2.2 Lots may be accepted. If nonconforming lots are
accepted, the responsibility for the lot is borne by the
purchaser, provided the purchaser issues a written deviation
to the supplier relieving him of responsibility for the nonconforming product.
7.3 Reinspection--When rework or reprocessing is performed to correct a nonconforming item, that lot shall be
reinspected on completion of all rework or processing, using
NOTE 1---Caution should be exercised when applying the option to
"use-as-is." In the interest of safety and quality, all "use-as-is" condiTABLE 2
Sampling Level for the Detection Process
NoTE--Lagend: WA--Where Applicable.
NA--Not Applicable.
Desc~ption of Contrdi
Characteristic
Adhesion (coating)
Bond (body, nails)
Bend (notched bolts)
Body bend (track spikes)
Breaking strength (eyeboits)
Carbide precipitation
Case dapth/decarbunzatlon
Chemistry a
Compression (washer direct tension)
Cone proof
Drive test
Elongation--Machined specimen
Extension at failure
Grain size c
Hardness°
Head bend (track spikes)
Humidity
Hydrogen embrittlemant
Impact
Lubdcstion
Msgnetic permeability
Packaging E
Plating/coating thickness (weight)
Product identification marking F
Proof Ioad--FuU size
Reduction of areamMachined specimen
Rivet bend
Rivet flattening
Rotational capacity
Salt spray e
Shear strangth
Stress corrosion
Surface discontinuities
Surface roughness
Tensile strength--Full size H
Tensile strength--Machined specimen
Torque t (prevailing)
Torque (torsional strength)
Yield strength~Full size
Yield strength--Machined specimen
Sample LevelA
Internally Threaded
Parts
Externally Threaded
Parts
C
A
B
C
C
C
C
-B
C
A
C
C
-B
C
B
B
C
B
B
-A
-C
C
B
B
C
B
C
B
B
B
C
C
C
C
C
C
WA
NA
NA
NA
NA
WA
WA
WA
NA
WA
WA
NA
NA
WA
WA
NA
WA
WA
NA
WA
WA
WA
WA
WA
WA
NA
NA
NA
WA
WA
NA
WA
WA
WA
NA
NA
WA
WA
NA
NA
WA
NA
WA
NA
WA
WA
WA
WA
NA
NA
WA
WA
WA
WA
WA
NA
WA
WA
WA
WA
WA
WA
WA
WA
WA
WA
NA
NA
WA
WA
WA
WA
WA
WA
WA
WA
WA
WA
WA
WA
Non-threaded
WA
WA
NA
WA
NA
WA
WA
WA
NA
NA
NA
WA
WA
WA
WA
WA
WA
WA
WA
WA
WA
WA
WA
WA
NA
WA
WA
WA
NA
WA
WA
WA
WA
WA
WA
WA
NA
NA
NA
NA
Washers
WA
NA
NA
NA
NA
WA
WA
WA
WA
NA
NA
NA
NA
WA
WA
NA
WA
WA
NA
WA
WA
WA
WA
WA
NA
NA
NA
NA
WA
WA
NA
WA
WA
WA
NA
NA
NA
NA
NA
NA
'* Quantity of samples is in Table 3, Sample Size.
• A certified copy of the material producer's chemical analysis shall be fumished with each shipping lot, and the shipping lot shall have documentation providing
traceability to this chemical analysis. It is required that the purchaser of the raw material (used to manufacture) shall verify that the material is the material specified on the
purchaseomer.
c Grain size shall be included with the material producer's chemical analysis report.
o Surface or core, or both, as applicable.
All packaging requirements shall be in conformance with the applicable packaging standard.
f=Visual inspection for conformance.
e Continuous monitoring of salt spray performance in accordance with the recommendation of Table B in Appendix 1 of ASME/ANSI B18.18.2M constitutes compliance
with the requirements for salt spray ~
outlined in this table.
H Wedge angle or axial test as applicable.
t Prevailing torque test includes thread start, all specified torque requirements, and retention of locking feature, when applicable.
88
(1~ F 1470
the same sample plan as used in detecting the nonconformance. The sample shall be inspected for the corrected criteria
and any other criteria affected by the rework. The acceptance
level shall be in accordance with 6.1.
ASQC/ANSI 90, 91, 92, 93, or 94, or ISO 9000, 9001, 9002,
9003, or 9004, the purchaser may specify the prevention
process in accordance with Table 3.
8. Selection of Sampling Plans
8.1 Except as specified in 8.2, the detection process
sampling level in accordance with Table 2 shall be applied.
8.2 If the purchaser knows through documented evidence
that his supplier conforms with ASME/ANSI B18.18.3M,
9. Keywords
9.1 detection systems; fasteners; inspection for mechanical properties; performance requirements; prevention systems; quality requirements; sampling plans; selection and
size; statistical process control
TABLE 3
Sampling Level for the Prevention Process
NoTE--Legend: WA--Where Applicable.
NA--Not Applicable.
Description of Control
Characteristic
Adhesion (coating)
Band (body, nails)
Bend (notched bolts)
Body bend (track spikes)
Breaking strength (eyebolts)
Carbide precipitation
Case depth/decarburizatlon
Chemistry c
Compression (washer direct tension)
Cone proof
Drive test
Elongation--Machined specimen
Extension at failure
Grain size °
HardnessE
Head bend (track spikes)
Humidity
Hydrogen embrittlemant
Impact
Lubrication
Magnetic permeability
Packaging F
Plating/coating thickness (weight)
Product identification marking e
Proof load--Full size
Reduction of ares--Machined specimen
Rivet bend
Rivet flattening
Rotational c&pedty
Salt spray H
Shear strength
Stress corrosion
Surface discontinuities
Surface roughness
Tensile strength--Full size I
Tensile strength--Machined specimen
Torque a (prevailing)
Torque (torsional strength)
Yield strength--Full size
Yield strength--Machined specimen
Sample LevelA.a
Internally Threaded
Parts
Externally Threaded
Parts
D
B
C
D
D
D
D
-C
D
B
D
D
-C
D
C
C
D
C
C
-B
-D
D
C
C
D
C
D
C
C
C
D
D
D
D
D
D
WA
NA
NA
NA
NA
WA
WA
WA
NA
WA
WA
NA
NA
WA
WA
NA
WA
WA
NA
WA
WA
WA
WA
WA
WA
NA
NA
NA
WA
WA
NA
WA
WA
WA
NA
NA
WA
WA
NA
NA
WA
NA
WA
NA
WA
WA
WA
WA
NA
NA
WA
WA
WA
WA
WA
NA
WA
WA
WA
WA
WA
WA
WA
WA
WA
WA
NA
NA
WA
WA
WA
WA
WA
WA
WA
WA
WA
WA
WA
WA
Non-threaded
WA
WA
NA
WA
NA
WA
WA
WA
NA
NA
NA
WA
WA
WA
WA
WA
WA
WA
WA
WA
WA
WA
WA
WA
NA
WA
WA
WA
NA
WA
WA
WA
WA
WA
WA
WA
NA
NA
NA
NA
Washers
WA
NA
NA
NA
NA
WA
WA
WA
WA
NA
NA
NA
NA
WA
WA
NA
WA
WA
NA
WA
WA
WA
WA
WA
NA
NA
NA
NA
WA
WA
NA
WA
WA
WA
NA
NA
NA
NA
NA
NA
A Final inspection of a characteristic may be carded out at any stage of manufacture, provided the characteristic is not subject to change in any further manufacturing
or processing operation. Therefore, the testing of those samples may be deducted from the sample leval specified.
e Quantity of samples is in Table 3, Sample Size.
c A certified copy of the material producer's chemical analysis shall be furnished with each shipping lot, and the shipping lot shall have documentation providing
traceability to this chemical analysis. It is required that the purchaser of the raw material (used to manufacture) shall verify that the metedal is the material specified on the
purchase order.
D Grain size shall be included with the material producer's chemical analysis report.
E Surface, core, or both, as applicable.
F All packaging requirements shall be in conformance with the applicable packaging standard.
o Visual inspection for conformance.
H Continuous monitoring of salt spray performance in accordance with the recommendation of Table B in Appendix 1 of ASME/ANSI B18.18.2M constitutes ¢ompikmce
with the requirements for salt spray testing outlined in this table.
i Wedge angle or axial test as applicable.
J Prevailing torque test includes thread start, all specified torque requirements, and retention of locking feature, when applicable.
89
(1~) F 1470
The American Society for Testing and Materials takes no position respecting the validity of any patent rights asserted in connection
with any item mentioned in this standard. Users of this standard are expressly advised that determination of the validity of any such
patent rights, and the risk of infringement of such rights, are entirely their own responsibility.
This standard is subject to revision at any time by the responsible technical committee and must be reviewed every five years and
if not revised, either reepproved or withdrawn. Your comments are invited either for revision of this standard or for additional standards
and should be addressed to ASTM Headquarters. Your comments will receive careful consideration at a meeting of the responsible
technical committee, which you may attend. If you feel that your comments have not received a fair hearing you should make your
views known to the ASTM Committee on Standards, 1916 Race St., Philadelphia, PA 19103.
90
q~1~ Designation: F 1503 - 94
Standard Practice for
Machine/Process Potential Study Procedure I
Fhis standard is issued under the fixed designation F 1503; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (0 indicates an editorial change since the last revision or reapproval.
quality assurance department shall be available to assist on
an as-requested basis.
4.3 New manufacturing processes will not be accepted for
use in production with Pp values less than 1.67. If a
manufacturing process must be conditionally accepted, a
process improvement/product control plan must be developed.
4.3.1 The process improvement/product control plan
shall identify specific process improvement activities, which
will be implemented to make the process fully capable as
well as an interim inspection plan to ensure that nonconforming product is not shipped to a customer.
4.4 Product Specifications:
4.4.1 Prior to any process potential study, the product
specifications (nominal dimension and tolerances) must be
identified, and an appropriate method of variables type
inspection selected.
4.4.2 This practice is limited to bilateral specifications
whose distributions can be expected to approximate a
n o r m a l curve. This practice should not be applied to
unilateral specifications (flatness, concentricity, minimum
tensile, maximum hardness, etc.).
4.5 Gage Capability Analysis:
4.5.1 All gaging systems used to evaluate product must
have documentation for a gage repeatability and reproducibility study in accordance with Guide F 1469 before the
process study is conducted.
4.5.1.1 Gaging systems which consume ___10% of the
applicable product tolerance are considered acceptable.
4.5.1.2 Gaging systems which consume over I0 to 30 % of
the applicable product tolerance are generally considered to
be unacceptable. However, users of this guide may authorize
their use depending on factors such as the criticality of the
specification in question, the cost of alternative gaging
systems, and so forth.
4.5.1.3 Gaging systems which consume more than 30 %
of the product tolerance are unacceptable and must be
replaced.
4.5.2 All gaging systems must be certified as accurate
using standards traceable to NIST.
4.6 Process Parameter Selection:
4.6.1 For studies conducted at the equipment vendor's
facility, all process parameters (for example, infeed rates,
coolant, dies, pressures, fixtures, etc.) must be established
and documented prior to the process qualification test so the
requirements of 9.5 can be met.
4.6.1.1 Process parameters may not be changed once a
process qualification test has begun.
4.6.1.2 All process adjustments made during the process
qualification study must be documented and included with
information required in Section l0 of this practice.
1. Scope
1.1 This practice covers the proper method for establishing process potentials for new or existing processes.
2. Referenced Documents
2.1 A S T M Standard.
F 1469 Guide for Conducting a Repeatability and Reproducibility Study on Test Equipment for NonDestructive Testing2
2.3 ASME Standard."
ASME-FAP-1 Quality Assurance Program Requirements
for Fastener Manufacturers and Distributors 3
3. Terminology
3.1 Descriptions of Terms Specific to This Standard."
3.1.1 bilateral specifications--specifications that have
both upper and lower values.
3.1.2 Pp---process capability index defined as Z/6a.
3.1.3 Ppk--process capability index defined as Zmin/3~'3.1.4 process parameters--combination of people, equipment, materials, methods, and environment that produce
output.
3.1.5 unilateral specifications--specifications that have
only upper or lower values.
3.1.6 Z n n u m b e r of standard deviation units from the
process average to a value of interest such as an engineering
specification. When used in capability assessment, Zusl is the
distance to the upper specification limit; Zlsl is the distance
to the lower specification limit; and Zmi n is the distance to
the nearest specification limit.
3.1.7 g--an estimate of the standard deviation of a
process characteristic.
4. Summary of Practice
4.1 A process potential study is conducted to provide a
level of confidence in the ability of a machine/process to
meet engineering specification requirements. This is accomplished through statistical process control techniques as
defined in this practice.
4.2 For new equipment purchases, the purchaser's manufacturing engineering department, or equivalent discipline,
shall have primary responsibility for ensuring that the
requirements of this practice are met. The purchaser's
This practice is under the jurisdiction of ASTM Committee F- 16 on Fasteners
and is the direct responsibility of Subcommiltee F16.93 on Quality Assurance
Provisions for Fasteners.
Current edition approved Feb. 15, 1994. Published April 1994.
2 Annual Book of ASTM Standards, Vol 15.08.
3 Available from American Society of Mechanical Engineers, 345 E. 47th
Street, New York, NY 10017.
91
(1~ F 1503
] SAMPLESIZE/FREQUENCY
MATERIAL
I PARTNO.
I CHARTNO.J
FIG. 1 VariablesControl Chart (X and R)
NOTEmProcess adjustments are defined as those adjustments made
by the process due to internal process gaging (or other sources of
feedback control), or by the operator as part of the normal operation of
process.
4.6.2 The selection of process parameters is the responsibility of the purchaser's manufacturingengineering or equivalent discipline, or, in some cases, the machine supplier
depending on preestablished contractual agreements.
4.6.2.1 The process parameters selected must be consistent with those intended to be used in production.
4.6.3 Process parameters may be systematically varied
after a study is completed and additional process qualification studies performed for process optimization purposes.
variations that may exist at the purchaser's facility.
5.2 Further comment on the significance of statistical
analysis and capability studies can be found in ASME
FAP-1.
6. Material Selection
6.1 Material (for example, steel slugs, bar, wire, prefinished parts, etc.) used for process qualification studies
shall be selected at random. The variability of material used
for process qualification studies should be consistent with the
variability of material the machine is likely to see in
production.
6.2 Presorting of material is not permissible for process
qualification purposes.
6.3 In some cases, process potential results may be influenced by the specific product specifications selected for the
study. The specific product selected for qualifying a new
manufacturing process should be based on that which will
yield the most conservative results. If the relationship between specific product specifications and process potential is
unknown, two or more distinct studies should be performed
with different products to qualify and accept the new
process.
5. Signiticance and Use
5.1 This practice is designed to evaluate a machine or
process isolated from its normal operating environment. In
its normal operating environment, there would be many
sources of variation that may not exist at a machine builder's
facility; or put another way, this study is usually conducted
under ideal conditions. Therefore, it should be recognized
that the results of this practice are usually a "best case"
analysis, and allowances need to be made for sources of
92
(1~ F 1503
I FMU
I GAGING
Capability Assessment: ..
Individual Values
Moving Range
CP =
UCL X =
LCL X =
UCL R =
FIG. 2
Cpk =
X bar =
R bar =
Individual
and Moving Ranges
valid. The root cause(s) of the out-of-control condition(s)
must be identified and eliminated and the study repeated.
7.2.3.1 If the out-of-control condition is associated with
no more than two subgroups on the range chart, one point
on the .~ or individuals chart and the root cause of the
7. Procedure-Process Potential Study
7.1 Operate the process for a sufficient period of time to
ensure that the process is stable and all initial setup adjustments are complete.
7.2 Control charting techniques should be utilized to
determine the stability and capability of the process.
7.2.1 When possible, a standard X, R chart (Fig. 1) should
be used with subgroup size n equals 2 through 5.
7.2.1.1 Sampling frequencies should be established to
ensure that all likely sources of variability occur, and can be
evaluated within the scope of the process potential study.
7.2.1.2 A minimum of 25 subgroups are required to
establish control.
7.2.2 When the quantity of sample measurements cannot
be practically obtained, it is permissible to utilize a chart for
individuals and moving ranges, Fig. 2.4
7.2.2.1 A minimum of 25 subgroups are required to
establish control.
7.2.3 After the study is complete, calculate and plot the
control limits, X and /~ (or M/~), for each specification
identified in 4.4.1 (see Table 1). If during the study the
process was out of control, the process potential study is not
Process Average and Range
TABLE 1
Calculate the average Range (/~) and the Process Average ~
For the study period, calculate:
R = R1 + R2 +. • .+ R,
k
~_~, +~2 +...+ ~k
k
Where k is the number of subgroups, R~ and ,£1 are the range and average
the first subgroup, Rz and ,£2 are from the second subgroup, etc.
TABLE 2
Process Standard Deviation
Estimate the process standard deviation (the estimate is shown as b "sigma
hat").
Using the existingsamplesize calculate:
Where R is the average of the subgroup ranges (for periods with the ranges in
control) and d 2 is a constant varying by sample size, as shown in the table
below:
4
of
n
d2
Understanding Statistical Process Control, Wheeler and Chambers, Statistical
Process Controls, Inc., 5908 Toole Drive, Suite C, Knoxville, TN 37919.
93
2
1.13
3
1.69
4
2.06
5
2.33
6
2.53
7
2.70
8
2.85
9
2.97
10
3.08
(1~ F 1503
out-of-control condition is identified and corrected, new
control limits may be calculated by excluding the outof-control points. A second study is not required.
7.2.3.2 In some instances, control chart analysis may
reveal out-of-control conditions that are inherent to the
process. Trends due to tool wear or grinding wheel wear are
typical examples. If the cause of the out-of-control condition
is known, the out-of-control condition is both repeatable and
predictable, and the condition cannot be eliminated, the
process potential study may be considered acceptable and Pp
and Ppk values calculated in accordance with 8. l through
8.3.
process average moves away from nominal, Ppk will decrease.
9.2 The decision to accept or qualify a manufacturing
process shall be based on the following criteria:
9.2.1 AcceptbPpk equals 1.67 or greater. Process is capable of consistently producing product within specification,
if controlled properly, using statistical process control (SPC)
techniques.
9.2.2 Conditional Acceptance--Ppk equals 1.33 to 1.67.
Process is marginally capable. SPC techniques may be used;
however, special care must be taken to ensure that the
process average is as close to nominal as possible. Occasional
100 % sorting of product may be required.
9.2.3 RejectbPpk equals less than 1.33. Process is incapable of producing product within specification. This will
require 100 % sorting by the machine operator.
9.3 A process with Ppk < 1.33 may also be accepted if
both of the following conditions exist.
9.3.1 Pp >_ 1.67, and
9.3.2 The process is such that the process average can be
controlled by the machine operator through normal process
adjustments.
9.3.3 The requirements identified in 4.3 shall be imposed
on any process that receives conditional acceptance.
9.4 In many cases, capability may vary depending on the
degree of control exercised during the study (that is, the type
and frequency of adjustments made). The purchaser is
responsible for reviewing all adjustments made during the
study and ensuring that the same level of control can/will be
used in production.
9.5 If the original process potential study is conducted at
the equipment vendor's facility, a follow-up study must be
performed after the process is set up and running in the
appropriate manufacturing facility to confirm results.
8. Calculating Results
8.1 Estimate the process standard deviation as follows:
= R/d2
where:
d2 =constants for sample size 2 to 10, see Table 2.
8.2 Calculate Pp by dividing the total product tolerance
b y 6 ~.
8.3 Calculate Ppk as follows:
Ppk = minimum of(USL - X)/3 a or ( X - LSL)/3 a
where:
USL = upper specification limit, and
LSL = lower specification limit.
9. Analysis of Results
9.1 The qualification of a manufacturing process shall be
based on a review of the statistical parameters Pp and Ppk.
Pp and Ppk are both numerical indexes that provide a
measure of a process's variability relative to predefined
product specifications. Pp considers the tolerance range only,
whereas Ppk considers both the tolerance range as well as
how close the process average was to the nominal specification. Pp and Ppk will have the same numerical value when
the process average is centered around nominal. As the
10. Documentation
10. l Documentation of each gage repeatability/reproducibility study and process qualification analysis conducted
must be forwarded to the purchaser's quality assurance
department for review.
The American Society for Testing and Materials takes no position respecting the validity of any patent rights asserted in connection
with any item mentioned in this standard. Users of this standard are expressly advised that determination of the validity of any such
patent rights, and the risk of infringement of such rights, are entirely their own responsibility.
This standard is subject to revision at any time by the responsible technical committee and must be reviewed every five years and
if not revised, either reepproved or withdrawn. Your comments are invited either for revision of this standard or for additional standards
and should be addressed to ASTM Headquarters. Your comments will receive careful consideration at a meeting of the responsible
technical committee, which you may attend. If you feel that your comments have not received a fair hearing you should make your
views known to the ASTM Committee on Standards, 1916 Race St., Philadelphia, PA 19103.
94
A p p e n d i x B: IFI Standards IFI-139 and IFI-140
INDUSTRIAL FASTENERS INSTITUTE
1505 EAST OHIO BLDG. • 1717 E. 9TH ST. • CLEVELAND, OHIO 44114 U.S.A.
IFI 125
1.0 SCOPE
This standard establishes requirements for quality
assurance systems and guidelines for technical
competency of fastener testing laboratories.
1.1
REFERENCE
1.2
DOCUMENTS
TESTING
LABORATORY
An organization that performs testing and/or inspection
of dimensional, mechanical, chemical, metallurgio
cal, and performance characteristics of mechanical
fasteners and meets the requirements of this standare;.
1.2.2 FASTENER
MIL-STD-45662-Calibration Systems Requirements
MIL-STD-1312 - Fasteners, Test Methods
MIL I 45208
- Inspection System Requirements
MIL Q 9858
- Quality Program Requirements
ASTME548
- P r a c t i c e For Preparation of
Criteria For Use In The Evaluation of Testing Laboratories
And Inspection Bodies
ISOGuide25
-General Requirements For The
Technical Competenceof Testing
Laboratories
ISO 9000:
Quality Management and Quality
Assurance S t a n d a r d s - Guidelines for Selection and Use
ISO9003:
Q u a l i t y Systems: Model for
Quality Assurance in Final Inspection and Test
ISO 9004:
Quality Management and Quality
System E l e m e n t s - Guidelines
ASTM F606
- Standard Test Methods For Conducting Tests To Determine The
Mechanical Properties Of Externally And Internally Threaded
Fasteners, Washers, And Rivets
SAEJ429
-Mechanical and Material Req u i r e m e n t s For E x t e r n a l l y
Threaded Fasteners
ANSI/ASME
-Taper
Pins, Dowel Pins, Straight
B18.8.2
Pins, Grooved Pins, and Spring
Pins Including The Double Shear
Testing
IFI100/107
-Prevailing-Torque Type Steel
Hex and Hex Flanged Nuts
IFI 124
-Test Procedure for the Locking
Ability Performance of NonMetallic Locking Element Type
Prevailing-Torque Lock Screws
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio.
DEFINITIONS
1.2.1 MECHANICAL FASTENER A mechanical
device designed specifically to hold, join, couple,
assemble, or maintain equilibrium of single or multiple components. Common families of fasteners include nuts, bolts, rivets, screws, pins, washers, and
special parts.
1.1.1 S P E C I F I C A T I O N S
AND
STANDARDS
The
following specifications and standards served in
part as resources in the creation of this IF1-139 standard:
IFI
STANDARD
-Test Procedure for the Locking
Ability Performance of Chemical
Coated Lock Screws
1.2.3 INSPECTION Inspection of a fastener is the
activity to evaluate and measure the required
characteristics and properties which, by way of
drawings, standards, or specifications, constitute
the fastener's engineering definition.
1.2.4 INSPECTION
PLAN
A pre-established combination of inspection and testing to be performed
including frequency, sample size, method, and acceptance criteria.
1.2.5 F A S T E N E R
QUALITY
Fastener quality is conformance of a fastener or fastener lot within its
specified tolerances, limits, and requirements. Any
fastener manufactured completely within its specified limits, regardless of how narrow or broad, is a
"quality" fastener.
1.2.6 F A S T E N E R
PRECISION
The narrowness of its
specified limits establishes whether or not it may be
considered a "precision" fastener. Quality should
not be confused with precision, which is the r e s u l t
of being manufactured to close tolerances.
1.2.7 FASTENER
LABORATORY
ACCREDITATION
Formal recognition that a laboratory has demonstrated capabilities to meet or exceed the requirements of this standard. This capability will be verifled by the completion of an on-site survey by a
recognized laboratory accreditation body or agency.
1.2.8 STANDARDS/SPECIFICATIONS Fastener
standards/specifications define the requirements
for a mechanical fastener. These may include, as applicable, the dimensional, chemical, metallurgical,
mechanical, and performance characteristics.
QUALITY ASSURANCE REQUIREMENTS
FOR
FASTENER TESTING LABORATORIES
Allstandards and specifications are advisory only. Their use by anyone is entirely
voluntary.Reliance thereon for any purpose by anyone is at the sole risk of that
personorthe user of the product, and the IFtis not responsible for any loss, claim
IF1-139
Page 1 of 5
Issued: January, 1991
Revised:
specifications, the I FI has not ~nvestigated and will not i nvestigate patents which
may apply to the subject matter. Prospective users of the standards and specifications are responsible for advising themselves of and protecting themselves
against any patent infringement liability which may arise out of such use.
or damage arising therefrom. In formulating and approving standards and
97
INDUSTRIAL FASTENERS INSTITUTE
1505 EAST OHIO BLDG. • 1717 E. 9TH ST. • CLEVELAND, OHIO 44114 U.S.A.
1.2.9 CERTIFICATION The procedure by which written assurance is given that the chemistry, dimensional characteristics, mechanical properties,
metallurgical properties, and performance characteristics conform to applicable standards and/or
specifications and that data exists to assure those
statements.
1.2.16 PERFORMANCE TESTING Tests conducted
to verify th&t the functional design features of the
fasteners which satisfy the specification requirements are present. Performance properties of the
fastener may include, but are not limited to, fatigue,
corrosion resistance, torque-tension, locking, drilling, thread forming, and sealing.
1.2.10EQUIPMENT CALIBRATION All testing
equipment, measuring devices and gages used to
inspect fasteners for conformance to standards/
specifications shall be controlled and, at specified
periods, checked to assure maintenance of accuracy within specified limits. All checks and
calibrations shall be traceable to applicable national or international standards.
1.2.17 METALLURGICAL EXAMINATION The evaluation of metallurgical characteristics imparted to
fasteners through material selection, forming, and
heat treatments. The evaluation may include such
items as chemistry, grain size, microstructure,
decarburization, effective case depth, and throughhardness.
1.2.18PHYSICAL PROPERTY TESTING These
properties are inherent in the basic raw material and
generally are unchanged or only slightly altered in
the fastener following manufacture. Such properties are typically electrical resistivity, thermal conductivity, density, coefficient of thermal expansion,
and magnetic susceptibility.
1.2.11 LOT OF FASTENERS A lot is a quantity of a
fastener product having a single lot number produced consecutively at the initial operation from a
single mill heat of material and processed essentially at one time by the same process in the same manner so that statistical sampling is validl
1.2.19 VISUAL EXAMINATION Macroscopic examinations are those which are used to examine
general workmanship and the presence of surface
discontinuities such as quench cracks, forging
cracks, bursts, shear bursts, seams, folds, voids,
tool marks, nicks, and gouges.
1.2.12 FASTENER TEST An activity during which
chemical, mechanical, physical, metallurgical, or
performance characteristics are evaluated to determine if they conform to the requirements of the standard, specification or purchase order.
1.2.13 TEST REPORT A fastener test report is a
record including those characteristics which relate
to the standards and/or specifications of manufacture. These items may include, as applicable,
material certification, heat analysis, heat number,
mechanical properties, metallurgical characteristics, performance requirements, surface discontinuities, and dimensions.
2.0 ORGANIZATION
The f a s t e n e r l a b o r a t o r y shall be a b l e to
demonstrate technical competency for those tests
for which it seeks accreditation.
A fastener testing laboratory shall have an organization/structure, functional responsibilities, levels
of authority, and lines of communication for activities affecting quality. This shall be documented.
1.2.14DIMENSIONAL INSPECTION Actual measurement of product dimensions and/or geometry
using as appropriate micrometers, dial indicators,
comparators, functional gages, or other devices
suitable for measurement or size conformation.
1 . 2 . 1 5 M E C H A N I C A L TESTING V e r i f i e s the
mechanical properties which identify the reaction
of a fastener to applied loads. These properties are
the result of the manufacturing methods and
metallurgical treatments employed for a given
material. Typical mechanical tests are tensile (axial/wedge), yield, hardness, proofload, torsional
strength, creep, stress rupture, shear, and ductility.
IFI
STANDARD
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio.
The quality assurance manager shall report to the
highest operating officer in the company, division or
organization, and have autonomy from influences
by persons responsible for production.
A description of the history of the organization, the
type of users served and geographic areas served
shall be available.
3.0 STAFF
3.1 There shall be a written job description for each
technical position in the laboratory. The description
QUALITY ASSURANCE REQUIREMENTS
FOR
FASTENER TESTING LABORATORIES
All standards and specifications are advisory only. Their use by anyone is entirely
voluntary. Reliance thereon for any purpose by anyone is at the sole risk of that
person or the user of the product, and the I FI is not responsible for any loss. claim
or damage arising therefrom. In formulating and approving standards and
IF1-139
Page 2 of 5
Issued: January, 1991
Revised:
specifications, the I FI has not investigated and will not investigate patents wh ich
may apply to the subject matter. Prospective users of the standards and specifications are responsible for advising themselves of and protecting themselves
against any patent infringement liability which may arise out of such use,
98
INDUSTRIAL FASTENERS INSTITUTE
1505 EAST OHIO BLDG. • 1717 E. 9TH ST. • CLEVELAND, OHIO 44114 U.S.A.
shall detail necessary education, training, technical
knowledge and experience.
accordance with the applicable requirements of the
related standards, specifications, or purchase
order for conformance.
3.2 A file shall exist for each employee which summarizes education, training and experience. Additionally, the file shall include evidence of the
capability of each employee to perform specific
tests, inspections and measurements.
6.0
FASTENER LABORATORY INSPECTION
EQUIPMENT AND PROCEDURES
8,1 M I N I M U M
4.0 TRAINING
Training for personnel involved in fastener evaluation shall be organized to reflect disciplines of
fastener inspection and testing which are: dimensional, mechanical, performance, chemical and
metallurgical. Where personnel certification is required, evidence of that certification shall be made
available to the auditor.
Fastener geometry
Proof load
Surface hardness
Thread acceptability
Tensile strength
5.0 QUALITY SYSTEM
DOCUMENTATION
The
quality system shall be fully documented in a quality assurance manual or an appropriate set of
documents. The elements of this manual or these
documents shall include but not be limited to:
• organization structure
• organizational chart
• quality organizational chart
• facililties
• scope of operation
• outside services
• statement of quality policy, authority, and
frequency of review
• proficiency testing
• duties and responsibilities of personnel
• personnel qualification and training
• test procedures
• document and change control
• equipment list
• calibration procedures
• environment
• control of test samples
• procedure to handle technical complaints and/
or discrepant test results
• equipment repair and maintenance
• control of subcontractors
• audit procedure
• fraud and falsification control
5.1 Q U A L I T Y A S S U R A N C E
Decarburization/
carburization
Coating thickness
Core hardness
Surface discontinuities
Characteristic
Equipment
Dimensional
Measurements
Gage Blocks
Outside Micrometers
Inside Micrometers
Calipers
Thread Gaging
Rockwell, Vickers, or
Brinell Tester
Tensile Tester
Hardness
Tensile and
Proof
Decarburization/
Microscopic or microCarburization
hardness
Microscopic, magnetic,
Coating
thickness
columetric
Surface discontinuities Per specification
Machining capabilitY shall be in place to prepare
test specimens.
T E S T I N G Accreditation of a
6.2 P R O F I C I E N C Y
laboratory will require participation in an approved
fastener proficiency testing program that verifies
the laboratory's ability to achieve consistently accurate test results on standardized fasteners.
6.3 SUBCONTRACTING
INSPECTION:
CERTIFICATION REQUIREMENT For fasteners to
be certified, they must meet chemical, mechanical
and dimensional requirements as designated in the
AND
SPECIFICATIONS There
shall be evidence that all fasteners are evaluated in
Published and issued
by the I n d u s t r i a l
Fasteners Institute of
Cleveland, Ohio.
TEST CAPABILITY
Equipment required shall at least include for applicable characteristics:
5.2STANDARDS
IFI
STANDARD
REQUIRED
A fastener laboratory must have appropriate
measuring and testing equipment or access to that
equipment and must be able to conduct the inspections or tests according to the applicable specifications. This includes the following measuring and
testing capabilities.
QUALITY ASSURANCE REQUIREMENTS
FOR
FASTENER TESTING LABORATORIES
IF1-139
Page 3 of 5
Issued:
January, 1991
Revised:
AIIstandardsand specificationsare advisoryonly.Theiruse byanyoneisentirely
voluntary.Reliancethereonfor any purposeby anyoneis at the sole riskof that
personorthe userof theproduct,andtheIFIis notresponsibleforanyloss,claim
or damagearising therefrom. In formulatingand approvingstandards and
specifications,theIFIhasnotInvestigatedandwillnotinvestigatepatentswhich
may apply to the subject matter, Prospectiveusersof the standardsand specificationsare responsible for advising themselves of and protecting themselves
against any patent infringementliabilitywhich may arise out of such use.
99
INDUSTRIAL FASTENERS INSTITUTE
1505 EAST OHIO BLDG. • 1717 E. 9TH ST. • CLEVELAND, OHIO 44114 U.S.A.
7.4 Measuring and test equipment and measurement standards shall be calibrated at periodic in:~,.
vals established on the basis of stability, purpose
and degree of usage. Calibration intervals shall be
defined for each type of measuring or testing equipment or measurement standard and documented in
written procedures. Calibration intervals shall be
reviewed and modified as required based on the
evidence of previous calibrations. A program for recalibrating measuring and testing equipment shall
be developed. Operational checks of testing equipment prior to use should be made between recalibrations.
standards and/or the engineering drawings to
which they were manufactured. A laboratory may be
accredited even if it does not have all equipment
required by the product standard to inspect fasteners, provided it uses exclusively a laboratory
accredited in the subcontracted test or measurement. The laboratory ultimately issuing the fastener
certification, and doing the majority of the tests is
liable for the validity of that entire certification even
if it subcontracts part of the inspection. The issuer
of the certification is responsible for using only accredited laboratories.
Inspection equipment and specific procedure requirements are determined, at least to a degree, by
the specifications governing the fasteners being inspected and tested. For this reason, the laboratory
must have a defined procedure to analyze the
fastener specifications
and d e m o n s t r a t e
capabilities to inspect and test to fulfill the re.
quirements of the applicable specifications.
6.4 ADDITIONAL T E S T I N G
CAPABILITIES
It is recognized that at least 52 separate tests for fasteners
exist based on current specification requirements.
A list of these tests are included for reference in Appendix A. A summary of mechanical fastener inspection including item for inspection, equipment
commonly used and related specifications is in Appendix B.
7.5 Calibration records shall be maintained. The
records shall identify the schedules and procedures followed. The records shall include a
suitably identified individual file of calibration
listing at least a description of the testing equipment or measuring system, the calibration interval,
date and results of last calibration.
7.6 Testing equipment or measuring systems
which require certification of calibrations shall
have a calibration report or certificate which identifies it as such.
8.0 ENVIRONMENT IN THE LABORATORY
8.1 Measuring and testing equipment and measurement standards shall be calibrated and used in a
controlled environment as applicable. Temperature,
humidity, vibration, fumes, dust, illumination and
other controllable factors potentially affecting
precision measurements shall be identified and
controlled. When applicable, compensating corrections shall be applied to calibration results obtained
in an environment different from standard conditions.
7.0 CALIBRATION OF EQUIPMENT
A documented equipment calibration system is required for testing laboratories which test or
evaluate fasteners.
7.1 Each piece of measuring and testing equipment
shall have a unique identification and be calibrated
as appropriate prior to being put into service.
7.2 The calibration system shall be designed to
assure that measurement results are traceable as
applicable to national standards and/or international standards. Where applicable national or international standards do not exist, the testing
laboratory shall establish and perform tests to prove
accuracy of equipment.
8.2 Adequate storage facilities for equipment, standards and records shall be provided. Adequate
steps shall be taken to ensure good housekeeping
in the testing laboratory.
9.0 HANDLING TEST SAMPLES
A system for identifying the items to be tested shall
be used to ensure that no confusion regarding identity occurs during testing. Each item shall be maintained by manufacturing lot number or a unique
number assigned by the testing laboratory
traceable to a manufacturing lot number.
7.3 Reference standards shall be calibrated and be
traceable to national or international standards.
Reference or traceable standards used for calibration shall not be used for other purposes.
IFI
STANDARD
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio.
QUALITY ASSURANCE REQUIREMENTS
FOR
FASTENER TESTING LABORATORIES
IF1-139
Page 4 of 5
Issued: January, 1991
Revised:
All standards and specifications are advisory only. Their use by anyone is entirely
voluntary. Reliance thereon for any purpose by anyone is at the sole risk of that
person or the user of the product, and the IFI is not responsible for any loss, claim
or damage arising therefrom. In formulating and approving standards and
specifications, the i FI has not investigated and will not investigate patents which
may apply to the subject matter. Prospective users of the standards and specifications are responsible for advising themselves of and protecting themselves
against any patent infringement liability which may arise out of such use.
100
INDUSTRIAL FASTENERS INSTITUTE
1505 E A S T O H I O B L D G .
• 1717 E. 9 T H ST. • C L E V E L A N D ,
There shall be a written policy regarding receipt,
retention and disposal of samples tested.
• identification of the product specification and
test conducted
• any deviations, additions to or exclusions from
the test specification, and any other information
relevant to a specific test
• disclosure of any non-standard test method or
procedure utilized
• statement of conformance or non conformance
to applicable specifications
• listing of range of actual test results for given
lot samples including the number of samples
examined (all actual test results on file)
• name and title of person(s) accepting technical
responsibility for the test report and the date
of issue
• a statement that the report shall not be
reproduced in part or in full without the approval of the testing laboratory, or alternately a
system shall be in place to prevent unauthorized
test report reproduction.
10.0 RECORDS
A system shall be in place to record the dimensional, mechanical and performance testing event
by date, equipment and operators. Each event shall
be traceable to the manufacturer's lot number or
purchase order. Records shall be legible, identifiable and retrievable and shall be retained for ten
years. All records and test reports shall be maintained in such manner as to preserve their confidential
nature. Adequate steps shall be taken so that test
reports, certificates and other records are preserved and protected against loss and damage.
11.0 CERTIFICATIONS AND TEST REPORTS
11.1 TEST REPORTS
Testing laborabory data shall be included in a report
which accurately, clearly, and without prejudice
presents the recorded parameters, the actual test
?esults, and all other relevant information. This
report shall identify the standards and specifications applicable to the particular lot being tested
and the number of pieces tested, and, in those
cases where the importer or private labeled
distributor assumes the responsibility for inspec.
tion and testing, a letter from the manufacturing
source indicating the standards or specifications to
which the lot was manufactured.
11.2.2 LOT CERTIFICATION For lot certification
the report shall include all of the information in
paragraph 11.2.1 and information which includes
lot number, lot size and sample test size and the
basis of that sample selection.
11.3 Particular care and attention shall be paid to
the arrangement of the test report, especially with
regard to presentation of the test data and ease of
assimilation by the reader. The format shall be
carefully and specifically designed for each type of
test carried out, but the headings shall be standarized as far as possible.
11.2 Each fastener test report shall include at least
the following information:
11.4 Corrections or additions to a test report after
issue shall be made only by a further document
suitably marked, e.g. "Supplement to test report
serial number....(or otherwise identified)," and
shall meet the relevant requirements of the
preceding paragraphs.
11.2.1 SAMPLE TEST REPORT
• name and address of testing laboratory
• unique identification of report and of each page
of the report
• name and address of the client
• description and identification of the tested item,
including manufacturer's name and address
which shall be furnished by the source request.
ing the testing
• manufacturer's lot number
• a statement to the effect that the test results
relate only to the items tested
IFI
STANDARD
and issued
by
the
Industrial
Fasteners
Institute of
Cleveland, Ohio.
Published
O H I O 4 4 1 1 4 U.S.A.
11.5 Certifications - The laboratory shall issue a
written statement of assurance that the test report
is complete and valid, and shall disclose the approved accrediting body in accordance with Section
6 of Public Law 101-592 applicable to its accreditation including its date of its expiration.
QUALITY ASSURANCE REQUIREMENTS
FOR
FASTENER TESTING LABORATORIES
All standards and specifications are advisory only. Their use by anyone is entirely
voluntary. Reliance thereon for any purpose by anyone is at the sole risk of that
person or the user of the product, and the IFI is not responsible for any loss, claim
or damage arising therefrom. In formulating and approving standards and
IF1-139
Page 5 of 5
Issued: January, 1991
Revised:
specifications, the I FI has not investigated and will not investigate patents which
may apply to the subject matter. Prospective users of the standards and specifications are responsible for advising themselves of and protecting themselves
against any patent infringement liability which may arise out of such use.
101
APPENDIX A
FASTENER TESTING
Dimensional
I1. Mechanical and Performance Testing
1.) Shear
2.) Proof Load
3.) Widening
4.) Tensile
a.) Wedge
b.) Axial
5.) Hardness
a.) Macro
b.) Micro
6.) Impact
7.) Torsional
8.) Torque/Tension
9.) Ductility
10.) Fatigue
11.) Drive
12.) Elongation
13.) Stress Rupture
14.) Hydrogen Embrittlement
15.) Proof Torque
16.) Torque- To Clamp Ratio
17.) Pull Through
18.) Push Out
19.) Twist
20.) Compression
21.) Clamp Load Torque
22.) Breakaway Torque
23.) Prevailing Torque
24.) Flow Lines
I°
102
25.)
26.)
27.)
28.)
29.)
30.)
31.)
32.)
33.)
34.)
35.)
36.)
37.)
38.)
39.)
40.)
41.)
42.)
43.)
44.)
45.)
46.)
47.)
48.)
49.)
50.)
51.)
52.)
Macro Etch
Inclusions
Kesternich
Humidity
Salt Spray
Magnetic Particle
Liquid Penetrant
X-ray
Ultrasonic
Eddy Current
Adhesion
Chemical Stripping
Chemical Drop
Creep
Rotational Capacity
Vibration
Drill Screw
Chemical Analysis
Case Depth
Decarburization/
Carburization
Grain Size
Minimum Tempering
Temperature
Yield
Magnetic Permeability
Reduction of Area
Part Elongation
Thread Laps
Thread Forming
APPENDIX B
MECHANICAL FASTENER INSPECTION
I.
Minimum Requirements
A. DIMENSIONAL INSPECTIONS
Feature
Equipment
Specification
Threads
Indicating Type
Ring Gages
ANSI BI.3M
FED-STD-H28/20
M I L-S-7742
M I L-STD-8879
Linear
Measurements
Gage Blocks
Outside Micrometers
Inside Micrometers
Calipers
Plug Gages
Tri-Micrometers
MIL-STD-120
Angle and Radii
Optical Comparators
Functional Gages
Radius Charts
MIL-STD-120
Thread Runout
Functional Gages
Hex Socket Size
Wall Thickness
Hex Socket Depth
Functional Gages
Fixture and Dial Indicator
Dial Indicator
ANSI/ASME B18.3
ANSI/ASME B18.3
ANSI/ASME B18.3
Test
Equipment
Specification
Hardness
Rockwell Tester
ASTM-E18
MIL-STD-1312-6
Micro-Hardness
Micro-Hardness Tester
Preparation Equipment
ASTM-E92
ASTM-E384
MIL-STD-1312-6
ASTM-E3
Tensile and Proof
including specimens
Tensile Tester
ASTM-F606
SAE-J429
SAE-J995
MIL-STD-1312-8
Discontinuities
Macro-etch
Microscope
Magnetic Particle
Liquid Penetrant
ASTM F788
ASTM F812
SA E-J 122
SAE-J123
MIL-STD-1949
M IL-STD-6866
ASTM-E340
ASTM-E709
ASTM-E165
Stress Durability
(Hydrogen
Embrittlement)
Torque Wrenches
Test Plates
Test Washers
M IL-STD-1312-5
ASTM F606
Decarburization/
Carburization
Macro-etch
Microhardness
SAE J419
ASTM A574
ASTM F606
B. PHYSICAL TESTING
103
C. CHEMICAL ANALYSIS
II.
Material
Equipment
Specification
Steel
Carbon Determiner
Spectrometer
ASTM-E30
Additional Requirements (when applicable)
A. DIMENSIONAL
Feature
Recesses
Equipment
Recess Penetration
Recess Wobble
Specification
ANSI/ASME B18.6.4
Straightness
Straightness Gage
IF1-136
ANSI/ASME B18.3
ANSI/ASME B18.2.1
Thread Runout
Thread Runout Gage
IF1-136
ANSI/ASME B18.2.1
Flat Head
Protrusion
Protrusion Gage
ANSI/ASME B18.6.4
ANSI/ASME B18.6.2
Hex Head Height
(across corners)
Gaging Ring
ANSI/ASME B18.6.4
Slotted Nut
Slot Gage
ANSI/ASME B18.2.2
Coating/Plating Thicknessss
Various
Microscopic
MIL-STD-1312-12
ASTM-B487
Magnetic Tester
ASTM-499
Coulometric Tester
ASTM-B504
Test
Equipment
Specification
Shear
Tensile Tester
Universal Tester
Hydraulic Press
ASTM-F606
MIL-STD-1312-13
MIL-STD-1312-28
MIL-STD-1312-20
Double Shear
Shear Block and
Support Block or
Fixture
ANSI/ASME B18.8.2
Impact
Impact Tester
ASTM-A540
ASTM-A370
Magnetic
Permeability
MU Gage
MIL-STD-17214
ASTM A-342
Torsional Strength
Torque Wrench
Torque Fixture
ANSI/ASME B18.6.4
ASTM-F738
Hex Socket
Strength
Torque Wrench
Fixture
ASTM-F880
ASTM-F912
Recess Torsional
Strength
Torque Wrench
Fixture
MIL-B-87114
MIL-STD-1312-25
B. PHYSICAL TESTING
104
Test
Equipment
Specification
Ductility
Ductility Block
SAE-J78
SAE-J81
IF1-112
IF1-113
Salt Spray
Salt Spray Cabinet
ASTM-B117
MIL-STD-1312-1
Cas Depth
Macro-etch
Microhardness
SAE-J423
Torque-Tension
Torque Wrenches
Load Cells
SA E-J 174
IF1-101
MIL-STD-1312-15
Tensile
(elevated temp)
Tensile Tester
w/heater
MIL-STD-1312-28
Double Shear
(elevated temp)
Tensile Tester
or Hydraulic Press
w/heater
MIL-STD-1312-18
Humidity
Humidity Cabinet
MIL-STD-1312-3
Vibration
Vibration Tester
M IL-STD-1312-7
Fatigue
Fatique Tester
MIL-STD-1312-11
Drill Drive
Testing
Drill-Drive Tester
SAE-J78
IF1-113
Thread Forming
Torque Wrench & Test Block
SAE-J81
Clamp Load Torque
Test Nut, Test Washer,
Load Measuring Device
Torque Measuring Device
IF1-124
Break Away Torque
Test Nut
Torque Wrench
iF1-125
Prevailing Torque
Test Bolt
Hardened Washer
Torque Measuring Device
Test Washer
IF1-100/107
Metallographic Analysis:
Grain Size
Flow Lines
Microstructure
Metallographic Equipment
Plating Adhesion
ASTM-B571
Panel Fastener Tests:
Push-out
Tensile
Torque-out
Shear
Pull-up
MIL-STDo1312-22
M IL-STD.1312-23
MIL-STD-1312-24
M I L-STD-1312-26
MIL-STD-1312-27
Fastener Sealing
MIL-STD-1312-19
Stress Relaxation
M I L-STD-1312-17
105
Test
Equipment
Specification
Stress Corrosion
MIL-STD-1312-9
Blind Rivet Tests
SA E-J 1200
IF1-114
IF1-116
IF1-117
IF1-119
C. CHEMICAL
Material
Specification
Equipment
Aluminum and Alloys
ASTM-B316
ASTM-E34
ASTM-E101
ASTM-B211
Brass & Bronze
ASTM-E54
Copper & Copper Alloys
ASTM-E53
ASTM-E62
ASTM-E75
ASTM-E76
ASTM-E478
Stainless Steel
ASTM-E353
Titanium
AMS-4928
AMS-4967
AMS-4971
Coating Type
ASTM-B568
X-Ray
106
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. • SUITE 1105 • CLEVELAND, OHIO 44114-2879 U.S.A.
INTRODUCTION
total affected depth which may not be exceeded
is found in Table 6. Free ferrite should not exceed the maximum depth of free ferrite at the
worst location.
Forming is the primary manufacturing operation in the fastener industry and the term includes heading, upsetting, extruding and forging.
These formed parts are produced at very high
speeds by metal flow due to machine-applied
pressure. The primary forming operation selfinspects the quality of the raw material and imperfections such as seams, laps, and internal
pipe which may not be visible are revealed when
the material is upset. The absence of bursts,
forging cracks and open seams is strong evidence that the quality of material selected was
that intended for the severe upsets of today's
fastener manufacturing.
To prepare a material for cold forming it is
often spheroidized, which is an annealing treatment that transforms the microstructure of steel
to its softest condition with maximum formability.
In the hot rolled or normalized condition, steels
containing less than 0.80% carbon consist of the
microconstituents pearlite and ferrite. Pearlite,
the harder of the two constituents, causes the
steels to resist deformation. The harder pearlite
is comprised of alternating thin layers or shells of
ferrite and cementite (iron carbide), a very hard
substance. In spheroidize annealing, the cementite layers are caused by time and temperature
to collapse into spheroids.or globules of cementite. This globular form of cementite tends to
facilitate cold deformation in such processes as
cold heading, cold rolling, forming and bending.
RODS & BARS.
While standard steel grades for rods and
bars have been in existence for many years, and
have, with modifications or restrictions of one or
more elements, long been used for cold forming,
this IFI-140 presents a distinct selected series
of twenty steel grades for cold forming. These
have been jointly developed by steel producers
and cold heading and forging users under the
aegis of the Industrial Fasteners Institute. These
twenty grades are designated IFI steel grades
and the ranges and limits for the thirteen carbon
steel grades for carbon, manganese, phosphorus, and sulfur are shown in Table 1. Maximum
residual limits for copper, nickel, chromium,
molybdenum and tin are specified in paragraph
6.4. Silicon ranges and limits are shown in
Table 3. The chemical limits for the seven alloy
steel grades are shown in Table 4.
Plate 1 displays variations in the transformation of pearlite to spheroidized cementite.
Temperature variations within a charge or inadvertent heating either slightly below or slightly
above the optimum temperature may produce a
departure from the ideally spheroidized structure.
Plate 1 displays material treated at a lower than
ideal temperature exhibiting a granular structure and is shown at G1 through G5. Material
treated at a higher than ideal temperature will
exhibit a lamellar structure and is shown as L1
through L5. Latent energy from cold work will
allow drawn wire to transform more readily to a
higher degree of spheroidization than will hot
rolled rod or bar. The degree of spheroidization
is normally evaluated at 1,000X magnification.
A significant area of improvement is in the
decarburization control and measurement for
cold heading rods and bars. A method to measure based upon the location of the worst decarburization position is described in paragraph 8.0
and shown in Drawing Number 1. The average
IFI
STANDARD
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio,
When spheroidize annealed, Cold Heading
Rods or Cold Heading Bars shall meet a maximum rating of G-2 or L-2 in Plate 1.
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IF1-140
Page 1 of 23
Issued: April 20, 1993
All standards and specifications are advisory only. Their use by anyone is entirely voluntary. Reliance thereon for any purpose by anyone is at the sole risk of that person or the user of the
product, and the IFI is not responsible for any lose, claim or damage arising therefrom. In formulating and approving standards end specifications, the IFt has not investigated and will not
investigate patents which may apply to the subject matter. Prospective users of the standards and specifications are responsible for advising themselves of and protecting themselves against
any patent infringement liability which may arise out of SlJCh use,
~ 1993 Industrial Fasteners Institute,
107
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. • SUITE 1105 • CLEVELAND, OHIO 44114-2879 U.S.A.
upsets or for standard trimmed hexagon head
cap screws.
While a fully spheroidized microstructure
is desired for forming, material is rarely used
in the "as spheroidized annealed" condition.
Such material can cause processing difficulties
because of its poor coil configuration, the formation of a "shear lip" during shearing, or
result in undesirable bending of the fastener
shank during cold heading. For these reasons
almost all material is given a light wire drawing
reduction after the thermal treatment either by
the wire producer or in front of the fastener
heading operation. Spheroidized structures are
also known to retard austenization during short
cycle heating, such as induction heating, in a
subsequent hardening operation. Additional time
may be required to dissolve the spheroidized
cementite into the austenite at the heating
temperature.
As upsetting becomes progressively more
demanding, wire drawn from annealed or spheroidize annealed rods is more appropriate. For
demanding applications, annealed-in-process
or spheroidized annealed-in-process wire is
required. For thermally treated in process wire,
the final drawing operation may be performed
by the wire supplier or incorporated into the
cold heading operation by drawing in tandem
with that operation.
Cold Heading Rods and Bars will not necessarily result in successful production of recess head and socket head quality wire. Wire
mills desiring to produce recess head and
socket head wire should consult steel manufacturers to secure material with additional restrictive requirements.
The tolerances for rod and bar are reduced for IFI grades, reflecting the committee
consensus that this feature would significantly
improve control of cold working. Out-of-round
material may cause localized die wear showing up as wear rings in the drawing die. The
elliptical material cross section produces nonuniform cold work stresses around the circumference of the drawn cross section which contributes to distortion of the product and causes
hardness variation across the section. Thus,
serious efforts are anticipated now and in the
future to bring about reasonable economic tolerance improvement.
In the production of rods for heading,
forging or cold extrusion in killed steels over
0.13% carbon, both austenitic grain size and
decarburization are important features. Such
steels can be produced either "fine" or "coarse"
austenitic grain as required depending upon
the type of heat treatment and application.
Table 6 shows decarburization limits for the
maximum permissible depth of free ferrite and
the average total affected depth of decarburization. The examination is conducted as outlined
in paragraph 8.0 of this Standard. If decarburization limits closer than those shown in
Table 6 are required in a given manufactured
product, it is sometimes appropriate for the purchaser to incorporate means for carbon restoration in his manufacturing process.
Rods and bars are subject to mill testing
and inspection to provide material soundness
and freedom from detrimental surface imperfections. These features are required to assure satisfactory p e r f o r m a n c e of the wire
produced from rods and bars. Thermal treatment as a part of wire mill processing is very
important in the higher carbon grades of steel.
Wire "direct drawn" from low carbon and
medium low carbon steel wire rods is sometimes successfully used for simple two-blow
IFI
STANDARD
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio.
In cases of disagreement in the testing
for decarburization, it is customary to make
heat treatment tests of the finished product
to d e t e r m i n e suitability for the p a r t i c u l a r
application.
CARBON AND ALLOY STEEL WIRE ,
RODS AND BARS FOR
MECHANICAL FASTENERS
IF1-140
Page 2 of 23
Issued: April 20, 1993
All standards and specifications are adviSory only. Their use by anyone is entirely voluntary. Reliance thereon for any purpoee by anyone is at the Sole risk of that person or the user of the
product, and the IFI is riot responsible for any loss, claim or damage arising therefrom. In formulating and approving standards and specifications, the IFI h i s not investigated and will not
investigate patents which may apply to the subject matter, prospective users of the standards and specifications are responsible for advising themselves of and protecting themselves against
any patent infringement hability which may arise out of such use.
~ 1993 Industrial Fasteners Institute
108
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. • SUITE 1105 • CLEVELAND, OHIO 44114-2879 U.S.A.
Rods and bars should be reasonably free
from detrimental surface imperfections including
seams, voids, pits, scratches and laps. Material,
suitably thermally treated when appropriate,
which bursts or splits when upset or formed,
and having imperfections deeper than the
greater of 0.003" or 0.5% of D (where D is the
finished diameter in inches of material), is normally rejectable.
of softening the wire. Annealing commonly
involves heating the material to temperature
near or below the critical temperature. A number of processes are employed which influence
the surface finish obtained. If a particular finish
is required on wire annealed at final size, the
producer should be consulted.
Regular Annealing, sometimes called pot
annealing, is performed by heating coils of
wire in a furnace followed by slow cooling
without an attempt to produce a specific microstructure or a specific surface finish.
Samples requiring assessment of such
surface imperfections shall be prepared by careful metallographic technique, suitably etched,
and the depth of imperfection measured radially from the surface at a magnification of
100X.
Spheroidize Annealing involves prolonged
heating at a temperature near or slightly below
the lower critical temperature, followed by slow
cooling, with the object of producing a globular
(spheroidal) condition of the carbide to obtain
maximum softness.
Mechanical properties for thermally treated
rods and bars are shown in Table 7.
Rod size tolerances are shown in Table 9.
Annealed in Process Wire is a term normally associated with cold heading wire. The
product is manufactured by drawing rod or
bar to a size larger than the finished diameter
wire, and regular annealing to relieve the
stresses of cold work and obtain softening.
This is followed by cleaning, coating with a
suitable lubricant, and redrawing to finished
size, usually with an area reduction of between
7% to 20% depending upon wire size and application. See Table 7 for expected tensile
strengths.
Bar size tolerances are shown in Table 10.
A selected series of steel grades has
been developed for carbon steel rods and bars
for cold heading and cold forging. See Table 1.
WIRE.
Wire for cold heading and forging is produced from bars or rods featuring closer than
normal control of: chemical composition, size
tolerances, decarburization limits, freedom from
detrimental surface imperfections, and when
appropriate, specified mechanical properties
for thermally treated material, see Table 7;
and when spheroidized, a maximum rating of
G2 or L2, see Plate 1.
Spheroidize Annealed in Process Wire is
another term normally associated with cold
heading wire. The product is manufactured by
drawing rod to a size larger than the finished
diameter wire, followed by spheroidize annealing to obtain maximum softness and to
create a spheroidal structure as shown in
Plate 1. The wire is then cleaned, coated with
a suitable lubricant and redrawn to finished
size, usually with an area reduction of between
7% to 20% depending upon wire size and
application.
Thermal treatment of wire involves heating and cooling the steel in such a manner as
to achieve desired properties or structures.
Annealing is the general term applied to
a variety of thermal treatments for the purpose
IFI
STANDARD
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio.
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IF1-140
Page 3 of 23
Issued: April 20, 1993
All standards and specifications are advisory only. Their use by anyone is entirely voluntary. Reliance thereon for any purpose by anyone is at the soil risk of that person or the user of the
product, and the IFI is not responsible for any lOSS,claim or damage arising therefrom. In formulating and approving standards and specifications, the IFI has not investigated and will not
investigate patents which may apply to the subject matter. Prospective users of the standards and specifications are responsible for advising themselves of and protecting themselves against
© 1993 industrial Fasteners Institute
any patent infringement liability which may arise out of such use.
109
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. • SUITE 1105 = CLEVELAND, OHIO 44114-2879U.S.A.
Decarburization tests are made by the
microscopic method described in paragraph 8.0.
Table 6 shows the decarburization limits for the
maximum depth of free ferrite and the maximum
average total affected depth. The limits shown
apply to wire made from killed steel over 0.13%
carbon. When closer limits are required, it is
sometimes appropriate for the purchaser to incorporate means for carbon restoration in his
finished product.
phate coated at ordered size. Wire phosphate
coated at ordered size can be furnished with or
without suitable lubricant coatings for subsequent drawing into smaller sizes or for direct use
in cold formers. A drawn phosphate finish as
discussed in the preceding paragraph, provides
a more effective lubrication during cold forming
than phosphate coated at finished size.
Solid die heading machines, especially
those used for extrusion heading, require a
coating of special consistency, whereas with
open or split die heading machines a light coating will perform satisfactorily. Cold heading finishes are varied considerably even for the same
type of heading, in order to meet individual cold
heading requirements. Those coatings are individual in character and involve manufacturing
techniques that differ markedly from conventional
wire mill practice when the only consideration is
the provision of lubrication essential for the wire
drawing operation.
Finishes or coatings are designed to provide proper lubrication for the header dies. With
modern developments in cold heading technique,
the role of wire finishes has assumed much
greater importance. In addition to performing the
required upset in the dies, the cold heading
operations may now include single or double
extrusion, slotting, punching, trimming, pointing,
etc. The wire coatings or finishes must have
both the necessary lubricating quality and adherence to prevent galling or undesirable die
wear. This necessitates special control of the
various types of lubricants that are used and the
correct amount of coatings for the type of heading operation involved.
Size tolerances for wire for cold heading
and cold forging are shown in Table 8.
Mechanical properties for selected steel
grades of wire for cold heading and cold forging
when thermally treated are shown in Table 7.
Whereas it is appropriate to establish mechanical
properties for selected compositions of thermally treated carbon steel rods and bars, mechanical properties of wire drawn directly from
rods or bars are substantially influenced by the
amount of reduction in drawing the wire. The
reduction is dependent on the incremental availability of nominal rod and bar sizes as well as
the influence of size tolerances. Accordingly no
values are included in Table 7 for wire drawn
from annealed or spheroidize annealed rods or
bars. Certain steel grades are available with
differences in deoxidation practices. Suitable
allowances for aluminum killed steel and rimmed
steel are incorporated in the footnote to Table 7.
The amount of reduction prior to thermal treatment, the size tolerance of the intermediate
thermally treated wire, and the required percent
While lime-soap finishes are widely employed, phosphate finishes are frequently used
for the more demanding forming applications.
Phosphate coated wire finishes are produced from material which has been chemically
cleaned, coated with zinc phosphate, and suitably neutralized. The stock may be coated with
lime or borax as a carrier if the lubricant is to
be applied in the die box. The wire lubricant
may be applied by immersing the phosphate
coated coils in a dilute soluble soap bath, by
pickup of a dry lubricant in the drawing die box,
or by a combination of both methods. The drawn
finish so produced is particularly beneficial in
many severe cold working applications, especially
those involving backward extrusion.
Thermally treated wire can also be supplied
cleaned and lime coated or cleaned and phos-
IFI
STANDARD
Published and issued
by the Industrial
Fasteners institute of
Cleveland, Ohio.
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IFI-140
Page 4 of 23
issued: April 20, 1993
All standards and specifications are advisory only. Their use by anyone is entirely ~,ofuntary~ Reliance thereon for any purpose by anyone is at the sole risk of that person or the user of the
product, and the IFI is not responsible for any loss, claim or" damage arising therefrom. In formulating and appr~,ing standards and specifications, the IFI has not inv~itigated and will not
investigate patents which may apply to the subject matter. Prospective users of the standards and specifications are responsible foe advising themselves of and proWcling themselves against
any patent infringement liability which may arise out of such use
~ 1993 Industrial Fasteners Institute,
110
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. • SUITE 1105 ° CLEVELAND, OHIO44114-2879 U.S.A.
reduction to final size which progressively increases as the final wire size decreases, influence the mechanical properties. An appropriate
adjustment in values for annealed in process and
spheroidize annealed in process wire as a function of size is included in the footnote to Table 7.
include six or more stations permitting the cold
forged production of very complex configurations
which otherwise would require machining or a
combination of forming and machining for their
manufacture. Accordingly, it is not appropriate to
merely examine the geometry of a finished fastener to establish the appropriate raw material,
e.g., hard drawn, wire drawn from annealed rod
or bar, or spheroidize annealed in process wire.
The method of manufacture is also required information, as is the steel processing for a particular
application. Communication between the steel
supplier and the fastener producer is therefore
of paramount importance to avoid the use of raw
material which is unnecessarily costly on the one
hand or inadequately processed on the other.
Chemical compositions particularly suited
to wire for cold heading and cold forging have
been developed. For carbon steels these are included in Table 1 and for alloy steels in Table 4.
Cold Heading and Cold Forging Wire have
five application variations as follows:
Cold Heading
Recessed Head
Socket Head
Scrapless Nut
Tubular Rivet
Cold Heading Wire is produced by specially controlled manufacturing practices to provide satisfactory quality for heading, forging and
roll threading. The wire is subject to mill tests
and inspection for internal soundness, control of
chemical composition and freedom from detrimental surface imperfections.
Each of these variations is intended to be
well suited to the fabrication of a particular fastener type and fastener manufacturing method.
Fastener fabrication includes a wide variety
of methods and complexity of machines and
tooling. The simplest is a single die, single blow
machine, common to the nail machines, but also
used for simple shapes such as certain rivets.
Single die, two blow machines which first gather
stock, then rotate the die, and strike again, are
widely used for larger headed rivets and most
machine screws and tapping screws. By partitioning the cold work in two separate die cavities,
progressively and selectively deforming the raw
material, it is thus possible to produce larger
overall deformations or upsets, of more complex
shapes, without fracture.
In many cases, the threads of bolts, screws,
studs, etc., are cold formed by an operation
known as roll threading. This consists of rolling
the shank between rolling dies to provide the
particular thread form required. Experience has
shown that detrimental internal imperfections
and detrimental surface imperfections in the wire
will result in a crushed condition or imperfect
thread which renders the product unfit for use.
Therefore, particular care is required in the manufacture of the wire to provide freedom from
detrimental imperfections. Precautions are also
required of the fabricators in setting up and adjusting roll threading equipment. Faulty set-up
or adjustment can produce defective threads
even when the wire is of proper quality.
Two die three blow machines permit extruding of the shank, thereby utilizing a larger
diameter starting raw material, accommodating
the production of larger heads without as much
upsetting; or permitting the use of hard drawn
wire where annealed material would otherwise
have been required. Progressive headers can
IFI
STANDARD
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio,
Hard drawn low carbon and medium low
carbon steel wire is sometimes successfully
used for simple two-blow upsets or for standard
trimmed hexagon head cap screws. As upsetting
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IFI-140
Page 5 of 23
Issued: April 20, 1993
All standards and specifications are advisory only. Their use by anyone is entirely voluntary. Reliance thereon for any purpose by anyone is at the sole risk of that person or the user of the
product, and the IFI is not responsible for any loss, claim or damage arising therefrom. In formulating and approving standards and specifications, the iFI has not investigated and will not
investigate patents which may apply to the subject matter. Prospective users of the standards and specifications ere raspensible for advising themselves of and protecting themselves against
any patent infringement liability which may arise out of such use.
1~1993 Industrial Fasteners Institute,
111
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. • SUITE 1105 • CLEVELAND, OHIO 44114-2879 U.S.A.
becomes progressively more demanding, wire
drawn from annealed or spheroidized annealed
rods is more appropriate, For demanding applications, annealed in process or spheroidize
annealed in process wire is required. For thermally treated in process wire, the final drawing operation may be performed by the wire
supplier or incorporated into the cold heading
operation by drawing in process in tandem with
that operation. Cold Heading wire is not appropriate for recessed head or socket head
application.
jected to mill tests and inspection designed
to provide internal soundness and freedom
from detrimental surface imperfections, thus
providing satisfactory cold heading, cold expanding, cold punching, and thread tapping
characteristics.
This wire is produced for the manufacture
of various shaped nuts, which are made in continuous operation on heading machines. The
cold heading operation in the production of
scrapless nuts is very severe, and the wire is
specially prepared for that purpose.
Recessed Head Wire is employed when
screw heads incorporate a recess configuration
such as a crossed or square recess. This wire
involves more exacting precautions and controls than Cold Heading wire, such as improved
surface quality and special wire processing.
Exacting precautions and controls are necessary
in the selection and internal soundness of the
steel and in the preparation of billets for surface quality. Special attention to rod rolling
and to inspection of the rods is essential. In
order to provide wire that will be soft enough to
withstand the very severe cold forming operations, wire for all types of recess head screws is
generally spheroidize annealed in process or
spheroidize annealed at finished size, with the
final drawing incorporated into the heading operation by drawing in process in tandem with that
operation. When spheroidize annealed at finish
size wire is so employed, the fastener producer
should ensure that the final reduction is not
excessive.
Low and medium low carbon hard drawn
wire or wire drawn from annealed rods or bars
is employed, depending on the severity of deformation. Medium carbon wire is normally drawn
from annealed or spheroidize bars or rods, or
produced annealed in process. For nuts not requiring a final heat treatment, the attainment of
minimum required nut proof loads is partially
dependent on the raw material, the selection of
an appropriate steel grade, and the amount of
wire reduction.
Tubular Rivet Wire is suitable for cold
heading and backward extruding the hole in the
shank during cold heading. In order to obtain the
properties essential for the production of tubular
rivets, the wire is spheroidize annealed in process but with a final redrawing operation somewhat heavier than normal to prevent buckling in
the extruding operations. Accordingly, the mechanical properties shown in Table 7 may not
always be appropriate for spheroidize annealed
in process tubular rivet wire. Wire may also be
furnished spheroidize annealed at finished size
with the final drawing incorporated into the heading operation by drawing in tandem with that
operation. Wire finish to accommodate the individual conditions of severe cold extruding and
cold heading is an important consideration.
Tubular Rivet wire is normally produced from low
carbon aluminum killed steel.
Socket Head Wire is similar to Recessed
Head wire but is intended for the deep sockets
attendant with hexagon and TorxTM and similar
internal drives, requiring still more exacting processing and controls to accommodate the substantially heavier deformation.
Scrapless Nut Wire is produced by closely
controlled manufacturing practices, and sub-
IFI
STANDARD
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio.
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IF1-140
Page 6 of 23
Issued: April 20, 1993
All standards and specifications ere advisory only. Their use by anyone is entirely vOluntary. Reliance thereon for any purDose by anyone is at the sole risk of that person or the user of the
product, and the tFI is not responsible for any loss, claim or damage arising therefrom, in formulating end approving standards and specifications, the IFI has not investigated end will not
investigate patents which may apply to the subject matter, prospective uaePs of the standards end specifications are responsible for advising themselves Of and protecting themselves against
any patent infringement liability which may arise out of such u s e
~-1993 Industrial Fasteners Institute
112
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. • SUITE 1105 • CLEVELAND, OHIO 44114-2879 U.S.A.
SUMMARY.
This IFI Standard has been developed by
a joint effort of cooperation between the fastener
manufacturer, the raw material manufacturer, and
other important fastener industry suppliers.
Following IFI approvals and subsequent publication, and in its traditional role of issuing IFI standards, it is intended that IF1-140will be introduced
into the National Consensus Standards process.
The IFI Raw Materials Study Committee
includes:
NAME
COMPANY
lan Park, Chairman
Edward Kottcamp, Jr., Past Chmn.
John Asimou
Edward Frederick
Bill Darm
James Fox
Daniel Bosko
John Williams
Jeff Easter
John Herron
Arthur Lukowicz
Larry Mercer
Michael Starozhitsky
Anton Tendler
Edward Bueche
Ron Fultington
Munekazu Tsuji
Joe McAuliffe
Bryan Burgy
Christopher Wackrow
Greg Johnson
Peter Kasper
Dick Adams
Brian Murkey
Richard Nebiolo
Dick Hadden
Rick Nishizaki
Craig Hagopian
Consultant
sPs Technologies
American Steel & Wire Corporation
Bethlehem Steel
Brainard Rivet
Charter Steel
Cuyahoga Bolt & Screw
Cuyahoga Bolt & Screw
Elco Industries, Inc.
Herron Testing Laboratories, Inc.
HI-Temp Inc.
Huck International, Inc.
Illinois Tool Works Inc.
Ivaco Steel Mills Ltd.
USS/Kobe Steel Company
USS/Kobe Steel Company
USS/Kobe Steel Company
Lake Erie Screw Corp.
Medalist Industrial Fastener Division
MNP Corporation
Nucor Fastener
Nucor Fastener
Raritan River Steel Co.
RB&W Corporation
Republic Engineered Steels, Inc.
Sidbec-Dosco Inc.
Sidbec-Dosco Inc.
Stelco Fastener & Forging Co.
Stelco Inc.
Stelwire
A Unit of Stelco Inc.
Valleycast, Inc.
Walker Wire & Steel Co.
Wrought Washer Mfg., Inc.
Geoffrey Boal
Geoffrey Palmer
Ron Ceselli
David Zupancic
IFI
STANDARD
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio.
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IFI-140
Page 7 of 23
Issued: April 20, 1993
All standards arid specifications are advisory only. Their use by anyone is entirely voluntary. Reliance thereon for any purpose by anyone is at the sole risk Of that person or the user Of the
product, and the IFI is not responsible for any loss, claim or damage arising therefrom. In formulating and approving standards and specifications, the IFI has not investigated end will not
investigate patents which may apply to the subject matter. Prospective users Of the standards end specifications are responsible for advising themselves Of and protecting themselves against
any patent infringement liability which may arise out of such use.
© 1993 Industrial Fasteners Institute
113
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. ',, SUITE 1105 • CLEVELAND, OHIO 44114-2879 U.S.A.
1.0
Scope.
1.7 Conformance of all test data shall be determined in accordance with ASTM E29.
1.1 This specification includes the physical,
mechanical and metallurgical requirements for
carbon and alloy steel wire, rods and bars in
coils intended for the manufacture of mechanical
fasteners which include: bolts, nuts, rivets,
screws, washers and special formed parts manufactured cold.
1.8 Heat treating terms not defined in this Standard are included in SAE J415.
2.0
Referenced Documents.
2.1
ASTM Specifications:
1.2 Wire size range includes 0.062 inches to
1.375 inches.
A 370 Test Methods and Definitions for
Mechanical Testing of Steel Products
1.3 Rod size range usually includes 7•32
inches to 47•64 inches and generally offered in
1/64th increments.
A 700 Practices for Packaging, Marking and
Loading Methods for Steel Products for
Domestic Shipment
1.4 Bar size range includes 3/8 inches to 11/2
inches.
E 10 Test Method for Brinell Hardness of
Metallic Materials
E 29 Practice for Using Significant Digits
in Test Data to Determine Conformance
with Specification
1.5 Sizes for wire, rod and bar outside the
ranges of paragraphs 1.2, 1.3 and 1.4 may be
ordered by agreement between purchaser and
supplier.
E 30 Methods for Chemical Analysis of
Steel, Cast Iron, Open-Hearth Iron, and
Wrought Iron
1.6 Material is furnished in five application
variations. The Steel Industry uses the term
"quality" to designate characteristics of a material which make it particularly well suited to a
specific fabrication and/or application and does
not imply "quality" in the usual sense. The purchaser should advise the supplier regarding their
manufacturing process and finished product application as appropriate. The five application
variations are:
E 112 Test Methods for Determining Average Grain Size
E 1077 Standard Test Methods for Estimating the Depth of Decarburization of Steel
Specimens
2.2
J403 Chemical compositions of SAE carbon steels
Cold Heading
Recessed Head
Socket Head
Scrapless Nut
- - Tubular Rivet
-
-
-
-
-
-
-
-
J404 Chemical compositions of SAE alloy
steels
J406 Methods of Determining Hardenability
of Steels
1.6.1 Wire is furnished to all five application
variations.
J415 Definitions of Heat Treating Terms
2.3
1.6.2 Rod and bar are furnished to the single
application variation; Cold Heading.
IFI
STANDARD
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio.
SAE Standards:
IFI Standards:
IFI Spheroidization Rating - - Plate 1
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IFI-140
Page 8 of 23
Issued: April 20, 1993
All standards and specifications are advisory only. Their use by anyone is entirely voluntary. Reliance thereon for any purpose by anyone is at the ~ofe risk of that person or the user of the
product, and the IFI is not responsiblo for any loss, claim or damage arising therefrom. In fofmulsting and approving standards and specifications, the IFI has not im,estigate(I and will
investigate patents which may apply to the subH)ct matter. Prospective users of the standards and specifications ate responsible fOr adviain(3 themselves of and protecting themselves against
any patent infringement liability which may arise out of such use
r~ 1993 Industrial Fasteners Institute.
114
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST.. SUITE 1105 ,* CLEVELAND, OHIO 44114-2879 U.S.A.
3.0
and drawn, spheroidize annealed in process,
and finally lightly drawn to size (SAIP). Wire size
tolerances are shown in Table 8. Sizes include
those specified in paragraph 1.2.
Definitions.
3.1 Carbon Steel: Steel is considered to be
carbon steel when no minimum content is specified or required for chromium, molybdenum and
nickel, or any other element added to obtain a
desired alloying effect; or when the maximum
content specified for manganese does not exceed 1.65%. When specified, boron may be
added to killed carbon steel with a maximum
allowable of 0.003%.
3.6 Spheroidize annealed-at-finish size wire
(SAFS) is wire that has been spheroidize annealed after final cold reduction. One or more
annealing treatments may precede the final cold
reduction.
3.7 Annealed-in-Process (ALP) or Spheroidize
Annealed-in-Process (SAIP) wire is produced as
drawn carbon or alloy steel wire. In producing
AlP and SAIP wire, rods or bars are drawn to
wire and thermal treatment (followed by a separate cleaning and coating operation) is done prior
to final drawing to produce a softer and more
ductile wire for applications in which direct drawn
wire would be too hard, Thermal treatment may
also be employed when controlled mechanical
properties are required for a specific application.
3.2 Alloy Steel: Steel is considered to be alloy
steel when the maximum of the range given for
Manganese exceeds 1.65O/o or in which a definite range or definite minimum quantity for any
of the following elements is specified or required
within the limits of the recognized field of constructional alloy steels; chromium, molybdenum,
and nickel or any other alloying element added
to obtain a desired alloying effect.
3.3 Annealing: Annealing is a process of heating to and holding steel at a given temperature
for a given time and then cooling at a given rate,
used to soften and/or produce changes in the
microstructure of the steel to enhance formability and reduce tensile strength.
3.8 Rods: Rods are produced from hot rolled
or cast billets, usually rolled in a multiple strand
mill to a round cross section then coiled into one
continuous length to size tolerances shown in
Table 9. Rods are furnished as-rolled, annealed
or spheroidize annealed in sizes found in paragraph 1.3.
3.4 Spheroidizing: Spheroidizing, a form of
annealing, involves prolonged heating at temperatures near the lower critical temperature, followed by slow cooling, with the object of forming
spheroidal metallic carbides that have a higher
degree of formability.
3.9 Bars: Bars are produced from hot rolled
or cast billets, or blooms rolled single strand
into coils. Bars have a greater precision in cross
section than rods. Size tolerances are shown in
Table 10. Bars are furnished as-rolled, annealed,
or spheroidize annealed and in sizes found in
paragraph 1.4.
3.5 Wire: Wire is produced from hot rolled or
annealed rods or bars by cold drawing for the
purpose of obtaining desired size, dimensional
accuracy, surface finish and mechanical properties. Wire is furnished in the following conditions;
direct drawn (DD); drawn from annealed rod or
bar (DFAR or DFAB); drawn from spheroidized
annealed rod or bar (DFSR or DFSB); drawn to
size and spheroidized (SAFS); drawn, annealed
in process, and finally lightly drawn to size (ALP);
IFI
STANDARD
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio.
3.10 A lot is defined as a quantity of raw material of one size and heat number submitted for
testing at one time,
3.11 Seams: A longitudinal discontinuity extending radially into wire, rod or bar. Seams in
raw material used for the manufacture of fas-
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IFI-140
Page 9 of 23
Issued: April 20, 1993
All staff(lards and specifications are advisory only. Their use by anyone is entirely voluntary. Reliance thereon for any purpose by anyone is at the sole risk of that person or the user of the
product, and the IFI is not responsible for any loss, claim or damage arising therefrom. In formulating and approving stanclarcls and specifications, the IFI has not investigated and will not
investigate patents which may apply to the subject matter. Prospective users of the standards and specifications are responsible for advising themselves of and protecting themselves against
any patent infringement liabitity which may arise out of such use
- 1993 Industrial Fastene's Institute
115
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. • SUITE 1105 • CLEVELAND, OHIO 44114-2879 U.S.A,
4.4.1.3 Drawn from annealed rod or bar
teners or formed parts may lead to the formation
of bursts.
4.4.1.4 Drawn from spheroidize annealed rod or
bar
3.12 Voids: A shallow pocket or hollow on the
surface of the material.
4.4.1.5 Spheroidized at finished size wire
3.13 Laps: A longitudinal surface discontinuity
extending into rod, bar, or wire caused by doubling over of metal during hot rolling.
4.4.1.6 Annealed-in-process wire
4.4.1.7 Spheroidize annealed-in-process wire
4.0
Manufacture.
4.1 Melting practice: The steel typically is
melted in a basic oxygen or electric furnace
process.
5.0
Ordering Information
5.1
Wire orders shall state the following:
5.1.1
Quantity
4.2 Casting practice: Steel may be either ingot cast or strandcast.
5.1.2
Wire diameter
4.3
Deoxidation practice and grain size:
5.1.3
Steel grade
4.3.1 Silicon killed fine grain: Ordinarily produced with aluminum for grain refinement. When
vanadium or columbium are used for grain refinement, agreement by the material purchaser
is required.
5.1.4
Deoxidization practice and grain size
5.1.5
Application variation per paragraph 1.5
5.1.6
Thermal treatment
4.3.2 Silicon killed coarse grain
5.1.7
Surface coating
4.3.3 Silicon killed coarse grain practice
5.1.8
Coil weight
4.3.4 Aluminum killed fine grain
5.1.9
Coil i.d. and o.d. as required
4.3.5 Rimmed (grain size not specified)
5.1.10 Packaging
4.4
5.1.11 Tagging
Thermal treatment:
4.4.1 Material may be furnished without thermal
treatment, but when required and depending
upon end use, material may be ordered as
follows:
5.1.12 Mill certification as required
5.1.13 Special requirements, e.g., steel making
method and practice, special shipping instructions, single heat, etc.
4.4.1.1 Annealed
Example: 40,000 Ibs., IF1-140, 0.250 inches, carbon steel wire, IFI-1022A, silicon killed
4.4.1.2 Spheroidized
IFI
STANDARD
Published and issued
by the Industrial
Fasteners institute of
Cleveland, Ohio.
CARBON AND ALLOY STEEL WIRE,,
RODS AND BARS FOR
MECHANICAL FASTENERS
IFI-140
Page 1 0 ~ 2 3
Issued: April 20, 1993
All standards and specifications are advisOry only. Their use by anyone is entirely voluntary. Reliance thereon lor Shy I~Jrpo~ by anyone is at the ~
risk of that person or the user of the
product, and the IFI is not responsible for any loss, ¢lmm or damage arising therefrom. In formulatit~ lind ikoproving starld&rds and specifications, the IFI has riot irMS~igatlrd Ilod will riot
investigate patents which may apply to the sul~ect matter. Prospective users of the standards arid specifications are resl)onsibkD lor advising themselves Of and protecting themsoNel against
any patent infringement liability which may arise out ol such use
~ 1993 Industrial Fasteners Institute
116
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST ° SUITE 1105 * CLEVELAND, OHIO 44114-2879 U.S.A.
coarse grain, Recessed Head, spheroidize annealed-in-process, phosphate
and lube, 1500 lb. coils, 28 inch coil
i.d., on 18 inch tubular carriers, three
bands per carrier, one metal tag per
coil, mill certification, do not ship
Fridays.
5.2
5.3
Rod orders shall state the following:
Bar orders shall state the following:
5.3.1
Quantity
5.3.2
Bar diameter
5.3.3
Steel grade
5.3.4
Deoxidation practice and grain size
5.2.1
Quantity
5.3.5
Cold Heading
5.2.2
Rod diameter
5.3.6
Thermal treatment
5.2.3
Steel grade
5.3.7
Surface coating
5.2.4
Deoxidation practice and grain size
5.3.8
Coil weight
5.2.5
Cold Heading
5.3.9
Coil i.d., o.d., as required
5.2.6
Thermal treatment
5.3.10 Packaging
5.2.7
Surface coating
5.3.11 Tagging
5.2.8
Coil weight
5.3.12 Mill certification as required
5.2.9
Coil i.d., o.d., as required
5.3.13 Special requirements, e.g., steelmaking
method and practice, special shipping instructions, single heat, etc.
5.2.10 Packaging
5.2.11 Tagging
Example: 90,000 Ibs., IF1-140, 0.610 inches, carbon steel bars, IF1-1038, silicon killed
coarse grain, spheroidize annealed,
Cold Heading, phosphate & lime, 5,400
lb. coils, 54 inch coil i.d., three bands
per coil, one metal tag per coil, lead
end of each coil paint red.
5.2.12 Mill certifications as required
5.2.13 Special requirements, e.g., descaling
practice, steelmaking method and practice, special shipping instructions, etc.
Example: 200,000 Ibs., IFI-140, 21/64 inches,
carbon steel rod, IFI-1022B, silicon
killed fine grain, Cold Heading, spheroidize annealed, pickled and limed,
3,000 lb. coils, 48 inch coil i.d., compacted and unitized in packages of
two, banded with three steel straps per
coil, two metal tags per coil attached
to lead end on inside of bundle, put
separators between coils.
IFI
STANDARD
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio.
6.0
Chemical Requirements.
6.1 Standard carbon steel compositions are
found in standards such as SAE J403 and alloy
steel compositions in SAE J404. A number of
compositions particularly appropriate to the cold
forging industry processes have been developed
in a joint producer/user effort and are included
in this Standard as IFI designated steel grades.
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IF1-140
Page 11 of 23
issued: April 20, 1993
All standards and specifications are advisory only. Their use by anyone is entirely VOluntary. Reliance thereon for any purpose by anyone is at the sole risk of that person or the user of the
product, and the IFI is not responsible for any loss, claim or damage arising therefrom. In formulating and approving standards and specifications, the IFI has not investigated and will not
investigate patents which may apply to the subject matter. Prospective users of the standards and specifications are responsible for advising themsel~s of and protecting themseNes against
any patent infringement fiabilily which may arise out of such use
~ 1993 Industrial Fasteners Institute
117
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. • SUITE 1105, CLEVELAND, OHIO 44114-2879 U.S.A.
The chemical composition range of these IFI
grades may not necessarily be identical to those
of SAE J403 or SAE J404.
Note 1: Cr may be present to 0.20 max.
if so specified.
Note 2: Mo may be present to 0.06 max.
if so specified.
6.2 Cast or Heat Analysis (Formerly Ladle
Analysis) - - An analysis of each cast or heat
shall be made by the producer to determine the
percentage of the elements specified. Tha analysis shall be made from a test sample(s), preferably taken during the pouring of the cast or heat.
The chemical composition shall be reported, if
required, to the purchaser or his representative.
6.5 IFI Engineered Steel Grades: The carbon
steel chemical ranges and limits are shown in
Table 1. Permissible variations for product analysis of carbon steel are as shown in Table 2.
The silicon limits as influenced by the deoxidation practice are shown in Table 3. The alloy
steel chemical ranges and limits are shown in
Table 4. Permissible variations for product analysis of alloy steel are shown in Table 5.
6.3 Product Analysis (Formerly Check Analysis)
- - A product analysis may be made by the purchaser. The analysis is not used for a duplicate
analysis to confirm a previous result. The purpose of the product analysis is to verify that the
chemical composition is within specified limits
for each element, including applicable permissible variations in product analysis. The results
of analyses taken from different pieces of a heat
may differ within permissible limits from each
other and from the heat or cast analysis. The results of the product analysis obtained, shall not
vary both above and below the specified range.
7.0
7.1 When a coarse austenitic grain size is specified, the steel shall have a grain size number
of 1 to 5 inclusive, as determined in accordance
with Test Methods El12. Conformance to this
grain size of 70% of the grains in the area examined shall constitute the basis of acceptance.
One test per heat shall be made. A. Grain size
requirements do not apply to material ordered
to "coarse grain practice."
6.3.1 Rimmed or capped steels are characterized by a lack of uniformity in their chemical
composition, especially for the elements carbon,
phosphorus, and sulfur, and for this reason product analysis is not technologically appropriate
unless misapplication is clearly indicated.
7.2 When a fine austenitic grain size is specified, the steel shall have a grain size number of
5 or higher as determined in accordance with
Test Methods El12. Conformance to this grain
size of 70% of the area examined shall constitute the basis of acceptance. One test per heat
shall be made unless the provision of 7.2.1 is
exercised.
6.3.2 For referee purposes, Method ASTM E30
shall be used.
6.4 Residual Limits: Material grades defined
in this Standard shall conform to the following
residual limits to provide optimum formability and
tool life during the cold forming operation:
7.2.1 When aluminum is used as the grain refining element, the fine austenitic grain size requirement shall be deemed to be fulfilled if, on
heat analysis, the aluminum content is not less
than 0.020% total aluminum or, alternately,
0.015% acid soluble aluminum. The aluminum
content shall be reported. The grain size test
specified in 7.2 shall be the referee test.
Residual limits for Carbon and Alloy Steels
Cu
Ni
Cr
Mo
Sn
IFI
STANDARD
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio.
=
=
=
=
=
0.20
0.10
0.10
0.04
0.02
Metallurgical Structure.
max.
max.
max. (note 1)
max. (note 2)
max.
7.2.2 If specified on the order, one grain size
test per heat shall be made and the austenitic
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IF1-140
Page 12of23
Issued: April 20, 1993
All standards and specificabons are advisop/only. Their use by anyone is entirely voJuntary. Ratisnce thereon for any purpoee by anyone is at the sole risk of that person or the user of the
product, and the IFI is not responsible for any loss, claim or damage wising therefrom. In formulating and approving standards and specifications, the IFI has not investigated and will not
investigate patents which may Ikoply to the sul0~ectmatter. Prospective users of the standards and specifications a r e responsible for advising themselves of and protecting themselves against
any patent infringement tiability which may arise OUt of such use
~ 1993 Industrial Fasteners Institute
118
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH S [ • SUITE 1105 • CLEVELAND, OHIO 44114-2879 U.S.A.
8.0
grain size of the steel, as represented by the
test, shall be number 5 or higher.
Using the basic procedures of ASTM E1077,
the entire periphery of a sample prepared of
the rod, wire or bar shall be examined for decarburization at a magnification of 100 diameters, unless otherwise agreed to. Free ferrite
shall not exceed the maximum depth shown in
Table 6. The worst location shall be used to draw
perpendicular bisectors, and the depth of decarb
at the points where the bisectors intersect the
circumference, shall be measured and the four
(4) readings averaged as shown in Drawing
No. 1.
7.2.3 By agreement between purchaser and
supplier, columbium or vanadium or both may
be used for grain refining instead of or with
aluminum. The maximum contents shall be:
Cb
V
Cb + V
Decarburization.
0.05 max.
0.08 max.
0.06 max.
The content of the elements shall be reported
with the heat analysis and the austenitic grain
size test shall be required.
7.3 Spheroidize annealed material shall meet
a maximum rating of G2 or L2 in the IFI spheroidization rating - - Plate 1.
That average shall not exceed the limits for
total affected depth shown in Table 6.
Drawing No. 1
I
I
I
i
Bisectors
@ 90 °
The worst location
~
for "Total Affected
Depth" decarburization
IFI
STANDARD
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio.
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IF1-140
Page 13 of 23
Issued: April 20, 1993
Aft standards end specifications are advisory only. Their use by anyone is entirely votuntery. Reliance thereon for any purpo6e by anyone is st the sole risk of that person or the user of the
product, end the IFI is not responsible for arty Ices, claim or damage arising therefrom, in formulating and approving standards and specifications, the IFI has not investigated and will not
investigate patents which may apply to the subject me41er.Prospective users of the standards and specifications are responsible for advising themselves of arid protecting themselves against
any patent infringement liability which may arise out of such use.
~!1993 Industrial Fasteners Institute.
119
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. • SUITE 1105 • CLEVELAND, OHIO 44114-2879 U.S.A.
9.0
10.4 Hardness: May be used as an option when
agreed to between producer and purchaser in
lieu of tensile/reduction of area testing of wire
or bar over 1" in diameter. Test method shall be
in accordance with ASTM El0.
Hardenability.
Hardenability shall be determined in accordance with SAE J406: Methods of Determining
Hardenability of Steels. The Appendix A or B of
that standard may be used upon agreement
between producer and purchaser.
10.5 No individual test value shall be out of
specification, and for steels with a maximum
specified carbon content over 0.30%, the maximum of the range shall not exceed the minimum
by more than 10% in any lot.
10.0 Mechanical Properties.
10.1 Tensile strength is determined using the
test methods of ASTM A-370. Values for tensile
strength are included in Table 7 for the following
conditions:
e.g.: (80 KSI - 74 KSI) x 100
74 KSI
Test one sample per coil/bundle on at least 20%
of randomly selected coils/bundles in the lot,
with no fewer than two (2) tests and no more
than five (5) tests. Other sampling plans may
be employed as agreed upon between the purchaser and the supplier.
=,- annealed or spheroidize annealed rod & bar
~- spheroidize annealed at finish size wire
=,- annealed-in-process or spheroidize annealedin-process wire
10.6 Traceability shall include the mill order and
steel heat number with all specified mechanical
data on mill test certification.
Material which has not been thermally treated
is not usually produced to a specific tensile
strength.
10.7 Tensile/reduction in area equipment shall
be calibrated and verified in accordance with
ASTM A370, and operated by personnel with
documented qualifications.
The values listed in Table 7 are designed
to provide optimum headability and tool life in
the cold forming process. Modifications to those
limits require agreement between producer and
purchaser. Table 7 shows only maximum tensile
strengths, however, minimum tensile requirements may be stipulated by agreement between
producer and purchaser.
11.0 Size Tolerance.
Reducing diameter variability increases
control of both the physical and mechanical
properties during the forming process. Less
variability permits engineering for reduced tool
wear and consistent product quality.
10.2 Percent reduction in area is determined by
the test method included within ASTM A370.
Values for minimum percentages are included
in Table 7.
11.1 Wire tolerances are shown in Table 8.
10.3 Yield Strength/Percent Elongation: Used
for special applications when agreed upon between purchaser and manufacturer. Method of
determination shall be in accordance with ASTM
A370.
iF1
STANDARD
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio.
= 8.1% accept
11.2 Rod tolerances are shown in Table 9.
Note: Inherent mill design of rod mills does not
permit the same control of size as bar mills
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IF1-140
Page 14of23
Issued: April 20, 1993
All standards and specifications are advisory only. Their use by anyone is entirely voluntary. Reliance thereon for any purpose by anyone is at the sofa risk Of that person or the user Of the
product, end the IFI is not responsible for any loss, claim or damage arising therefrom. In formulating and approving standstX~lSsad specificstione, the IFI has not invmlligated and will riot
investigate patents which may apply to the subject matter. Prospective rulers of the standards and specifications are responsible for advising themselves of and protecting themselves against
any patent infringement liability which may arise out of such use.
,~.1993 Industrial Fastenecs Institute.
120
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. • SUITE 1105 • CLEVELAND, OHIO 44114-2879 U.S.A.
11.3 Bar tolerances are shown in Table 10.
which bursts or splits when upset or formed, and
having impertections deeper than the greater of
0.003 in. or 0.5% of D (where D is finished diameter in inches of material) shall be rejectionable. Samples requiring assessment of such
surface imperfections shall be prepared by careful metallographic technique, suitably etched
and the depth of imperfection measured radially
from the surface at a magnification of 100X.
12.0 Mill Scale/Surface Condition.
Material purchased as a hot rolled product
shall have mill scale (surface oxides) as light as
possible and be readily removable by an acid
pickling or mechanical descaling process.
The surface shall be free from excessive
dirt or contaminants which would impede pickling
or contaminate an acid pickle bath.
Wire shall be substantially free from rust,
shall not be kinked or tangled, and for wire
drawn last, shall be properly cast. No welds are
permitted, unless otherwise specified.
13.0 Coatings.
15.0 Identification/Tagging.
Material coatings are generally used for
two purposes: as a vehicle for the drawing compound used to draw wire or as a lubricant for
cold heading or forming.
A tag(s) shall be attached to each coil or
banding as specified by the purchaser and shall
include as a minimum the following information:
Typical coatings for hot rolled bars and
wire rods include: pickle and lime dip; zinc
phosphate and lime dip; and zinc phosphate and
reactive or non-reactive lube dip. Common coatings for cold drawn wire comprise those base
coatings plus the drawing compound used in the
wire drawing operations.
15.0.1 Supplier's name or trademark
15.0.2 Grade of steel
15.0.3 Heat number or traceable code
15.0.4 Diameter
The supplied coatings for all materials are
specified by the purchaser based upon the individual requirements of the purchaser. Adequate
care should be taken during handling and transit
to maintain the integrity of the coating. Extreme
variation in temperature may adversely affect
the applied coatings.
When specified, the following may be added:
14.0 Workmanship, Finish and Appearance.
15.0.8 Secondary process description and source
if applicable
15.0.5 Purchaser's name
15.0.6 Purchase order number
15.0.7 Mill order number
Bar, rod and wire, shall be reasonably free
from detrimental surface imperfections including
seams, voids, pits, scratches and laps. Material,
suitably thermally treated when appropriate,
IFI
STANDARD
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio.
15.0.9 Bar coding (optional). It is suggested that
bar coding in accordance with AIAG B-5 be
used.
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IF1-140
Page 15 of 23
Issued: April 20, 1993
All standards and specifications are advisory only. Their use by anyone is entirely voluntary. Reliance thereon for any purpose by anyone is at the sole risk of that person or the user of the
product, and the IFI is nO( relq~onsible for any loss, claim or damage arising therefrom. In formulating and approving standards and specifications, the IFI has not invest~gatad and will not
investigate patents which may apply to the subject matter, prospective users of the standards and specifications are responsible for advising themselves of and protecting themselves against
any patent infringement hability which may arise out of such use
~" 1993 Industrial Fasteners Institute.
121
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. • SUITE 1105 • CLEVELAND, OHIO 44114-2879 U.S.A.
16.0 Packaging and Loading.
Unless otherwise specified, rod coils shall
be wound counterclockwise which provides a
right hand pitch to facilitate handling and uncoiling. Winding of bar coils varies and the direction of winding should be specified. The
nature of compacting, banding and protection,
shall be specified by purchaser.
16.1 The purchaser shall specify the method of
packaging and loading for shipment. A recommended procedure for packaging and loading
for shipment is found in ASTM A-700.
17.0 Certification and Test Reports.
When specified in the purchase order, a
producer's certification shall be furnished to
the purchaser that the material was manufaco
tured, sampled, tested, and inspected in accordance with this Specification and has been
found to meet the requirements as specified.
Test results shall be retained by the producer
for a minimum period of ten (10) years. A test
report shall be furnished which will meet the
consumer's requirements for chemical analysis
of the mill heat including the identification and
the results of the chemical analysis of the primary steel melter.
IFI
STANDARD
Publishedandissued
by the Industrial
Fasteners Institute o(
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL
FASTENERS
IF1-140
P,ge 18of 23
Issued: April 20, 1993
Cleveland, Ohio.
All m n d a t d s and Ipecfficitioml are advisory only. Their use by anyone is antifl~y v o f u ~ t y . R i t i a ~ ~
for l a y ~Jrpoee by irtyone is I t the ~
risk Of that pemon ot the t~Nir Of the
product, and the IFI is hot ¢seponlible for l a y lois. claim or damage u , l i n g therefrom, tn formulating and liplxoving c t a n d l r d l ~ apecificittofll, the IFI has nol inveltiOited l a d will riot
investigate patents which may apply to the subject matter, proepec/i~e users Of the standards and specifications am reaponlible for Idvising themleh~s Of and protecting themaehqps against
any patent infringement liability which may arise OUt of such use
~' 1993 Industrial Fasteners Institute
122
I N D U S T R I A L FASTENERS I N S T I T U T E
1717 E 9TH ST. * SUITE 1105 * CLEVELAND, OHIO 44114-2879 U.S.A
PLATE 1
L
.:,. ~.~, ~ ".- .~k'.e I - -~.C"o
4~':~':.' :..~ ,,-',-..~.~'%.
":..%
MAGo 1000X
ti
.(¢.o~ :~-
)t,"
". ~
~¢" . ,
~ . i " ' : " ',(v.~
,
G GRANULAR
,
~
},:.'~
,.. . \ " . . .. ' : ~ . ' -w ,;-\,
•
,','~, "'~
4,,:*~
•
.~.-,'"-
f
.
e4
~t~. .~,~
<
....
X ,%'I.
"
• ".' i
~.
J
~'
.*:.:,
%..
TOTAL
SPHEROIDIZATION
RATING 0
..]
L LAMELLAR
~:.~....~",'t~.~?L.1
,.;~W ,,.
;;.\'
~r
,"xa
,
...": :',
.% ,'-"C~¢,"
f'.,'.,/;(~'&L%'~_t":
" ( ~ , " e ,.~ • ~_., ,v.,~o~.
: 1 , . ~,'~, ~I" ~.'.!:.f. ,-~
.-, :..,%,
~ 7;-~---a4"~,-~
,,,
- r ; , y"~'-(
~,¢.6~' /
."4
<J•' " . "~ ."" P~~ '',-' , ~~' ~:L~-"~[_,,-~
~"
~/' ' ,
.. ,~,~.,..,~';~,,,:#,77
~ ~
,
,j,~..-...t
: ¢i~
.~... , ~.'~..,. , , d
~-'-." , . ~ - < ~ . , ' ,
.,,':
.
~,-°,
':9:,~./d.
.:
~
.it.
""
12
;ID,.~'~" ~
.~ ~"~,,,~:.~H.~
,:
#
•
~
,,
:;..
•
2
• '.-' " * ; ' - ~ - ~ '
"*
-:~-,.~-E,;?P.
~,., . . . . .
, '---,~
,~,
IFI
STANDARD
Published and issued
by t h e
Industrial
Fasteners Institute of
Cleveland, Ohio.
"(, ~
t
e . o,"~..,;'~.
, t t ~ ' / ' t,.~"
;,~
.: ' .
- .",,t~.' '~.
"~'~.:&~ ~,.~-Y,4l.,'k*
~,~
,
tt "
...- ~ ' ~ , ~ ~
L.- , A ~ " . . Y
".,L
.,#.*_.,Y'A
/. #t~fl'~
~ ~ .
"'
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IF1-140
Page 17 of 23
Issued: April 20. 1993
All standards and specifications are advisory only. Theft use by anyone is entirely voluntary. Reliance thereon for any purpose by anyone is at the sole risk of that person or the user of the
product, and the IF1 is not responsible for any loss, claim or damage arising therefrom. In formulating and approving standards and specifications, the IFI has not investigated and will not
investigate patents which may apply to the suDlect matter. Prospective users of the standards and specifications are responsible for advising themselves of and protecting themselves against
any patent infringement habdity whtch may arise out of such use
~ 1993 Industrial Fasteners institute
123
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. ,, SUITE 1105 ,= CLEVELAND, OHIO 44114-2879 U.S.A.
L LAMELLAR
G GRANULAR
_.~
• ~,~;¢,~:'F.~,
'~
-"
~,',':..":,'.:
.~
~,.
"e" "
";
3
." y. ....:,:~y#~ ,~,.~ :~'. ,~
' ",
~'-~ ~'.,.,.~,~, ~ ,
"-" %"/"::;
" ~"~
" ~:"
r"2' , _ ' - ~ L ' %
...._
.~.....,~, .~,
'
~""
'
J'~..~
"~, " ] I / ~ "
'~ '~ "" "' ~"~' " ~ :~.~~'~"~
..
• ,
' ~'~-"
"~"
•
,.
"~"~',
'
~.t,,',
'N
4
.¢~
,,-
~ . .
i
" ~ ' ~
,.:<:.~
5
r . ~ ~.:~.,,~
~<,~~~.,\~'.~
','. ,~,~','",
,~,
~..~
FB~.-~',~ ¢;
v
n.
~-~ ~"~.~
",'J
,~.=
,,':.~ ~ ' ~ , ~ X.; ~ , ! ,
,,-:"
-.,
~;
~:t,~:.~
P,._~"~i
II~:.~ ' ~ ~"~'
."~.
,,,~'..~:. ~i,-L'~~-~II~'.,~-.
,Z':.':.':.':.':.'~"~'_,.~,:; '-~:-,'~.',
,,,",,,..:,.--..~
E~'~.;~:-'~
Published and issued
by the I n d u s t r i a l
Fasteners Institute of
Cleveland, Ohio.
,'~.Z~'5,'~_~.~.-;
-":"'
~.
~-:~ ~.;~
IFI
STANDARD
.~
~k..'~'.~ -"~-"~
CARBON A N D ALLOY STEEL WIRE,
RODS A N D BARS FOR
M E C H A N I C A L FASTENERS
.~ ~.', : f . . ~ ~,-'.~:;~,~.~ I
IF1-140
Page 18 of 23
Issued: April 20, 1993
Air standards and specifications are advisory only, Their use by anyone is entirely voluntary, Reliance thereon for any purpose by anyone is at the sole risk of that person or the user of the
product, and the IFI is not responsible for any loss, claim or damage arising therefrom, In formulating and approving standards and specifications, the IFI has not investigated and will not
investigate patents which may apply to the subject matter, Prospective users of the standards and specitications are responsible for advising themselves of and protecting Ihemselves against
any patent infrinqement habilitv whgch may arise out of such use
~ 1993 Industrial Fasteners Institute
124
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. • SUITE 1105 • CLEVELAND, OHIO 44114-2879 U.S.A.
Table 1 Carbon Steels Chemical Ranges and Limits
Conditions
Furnished
IFI S t e e l G r a d e
Designation
Carbon
Min.
Max.
Phosphorus
Sulfur
Min.
Max.
Max.
Max.
0.020
Manganese
Silicon
AIK
IF1-1006
--
0.08
0.25
0.40
0.020
R, AIK, SiFg, SiCg
IFI-1008
--
0.10
0.30
0.50
0.020
0.020
S
R, AIK, SiFg, SiCg
IFI-1Ol0
0.08
0.13
0.30
0.60
0.020
0.020
e
AIK, SiFg, SiCg
IF1-1018
0,15
0.19
0.65
0..85
0.020
0.020
e
AIK, SiFg
IFI-10B21
0.19
0.23
0.80
1.10
0.020
0.020
AIK, SiFg, SiCg
IFI-1022/A
0.18
0,21
0.80
1.O0
0.020
0.020
AIK, SiFg, SiCg
IFI-1022/B
0.20
0.23
0.90
1.10
0.020
0.020
AtK
IF1-1033
0.31
0.36
0.70
0.90
0.020
0.020
AIK, SiFg, SiCg
IF1-1035
0.33
0.38
0.70
0.90
0.020
0.020
AIK, SiFg, SiCg
IFI- 1038
0.35
0.42
0.70
0.90
0.020
0.020
SiFg
IFI-10B38
0.35
0.42
0.70
1.00
0.020
0.020
SiFg
IFI-15411A
0.36
0.41
135
1.60
0.020
0.020
SiFg, SiCg, CgP
IFI-1541/B
0.38
0.43
1.35
1.60
0.020
0.020
T
a
b
I
e
N O T E : Carbon steels which have added boron use a B designation between the first and last two digits of the grade designation.
A boron steel has a minimum boron content of 0.0005% and a maximum of 0.003%.
AIK
R
SiFg
SiCg
CgP
=
=
=
=
=
Aluminum killed
Rimmed
Silicon killed fine grain
Silicon killed coarse grain
Coarse grain practice
Table 2
Permissible Variations from Specified Chemical Ranges,
and Limits for Carbon Steel
Element
Carbon
Manganese
Limit o r Max. of
Specified R a n g e %
% Over M a x L i m i t o r U n d e r Min L i m i t
Variation
To 0.25 incl
Over 0.25 to 0.55 incl
0.02
0.03
To 0.90 incl
Over 0.90 to 1.65 incl
0.03
0.06
Phosphorus
Over max only
0.008
Sulfur
Over max only
0.008
Silicon
To 0.30 incl
0.02
Copper
Over max only
0.03
Tin
Over max only
0.01
Nickel
Over max only
0.03
Chromium
Over max only
0.03
Molybdenum
Over max only
0.01
Vanadium
Over max only
0.01
N/A t
Boron
N O T E 1: Unless misapplication is indicated.
IFI
STANDARD
Published and issued
by the Industrial
Fasteners Institute of
Cleveland, Ohio.
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IFI-140
Page 19 of 23
Issued: April 20, 1993
All standards and specifications are advisoryonly. Their use by anyone is entirely voluntary. Reliance thereon for any purpo~leby anyone is at the sole risk of that person or the user of the
product, and the IFI is no( maponsible for any loss. claim or damage arising therefrom, in formulating and approvingstandards and specifications,the IFI him not inwmtigatad and will not
investigate patents which may apply to the subject matter, Pro6pectiveusersof the standardsand specificationsare responsiblefor advising themselvesof and prntectingthemselvesagainst
any patent infringement liability which may arise out of such use
~ 1993 Industrial Fastene-s Institute.
125
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. • SUITE 1105 • C L E V E L A N D , O H I O 44114-2879 U.S.A.
~= oo oo ooooooo~~ o o
d
(5
0
O
O
0
O
o
~
~
I
0
0
"0
m~
,I ~
<
<
o
~
~
g
-
~
at
~.~-oo.~
_
o
<
®
,o3
~3
--I
)
--
0
E~
m
;3
I
::3
--
I
I
- -
~
°
°
°
o
~
o
o
o
o
o
o
o
~-~
3.m
mO
I o
~.
E
.-
..--
U)
~.
_=.o
. o c E ~'
,':
=.
X
0
~"
o
e-
~
O O
o o o
o
o
=
o o o
o
.~
:~
oc:)o
o
o
"10
C
o~
u~
m
))
-.
mm
~'
°-);
•O)
m~
Em
3=
'~
:S,
m
-I
(')
-~=
~"
._c 3.
,,,
I
I
I
I
I
I ~o
I
I
I
I
I
o
o
" ~ ~, ~ ~, ~ ~ 8
c
za.
i =
®
.S
ll.
O) c
O®
CO =
,<
~.._cat
Z
c=~
d
"
"
v-
O.c
,-r "
IFI
STANDARD
Published
by
the
Fasteners
Cleveland,
a n d issued
Industrial
Institute of
Ohio.
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
Z
IFI-140
Page 20 of 23
Issued: April 20, 1993
All standards and specifications am advisory only. Their use by anyone is entimCy ~ u n t a r y . Reliance thereon for any purpose by anyone is at the sole rink of that person or the user of the
product, and the IFI is not responsible for any Io6l, claim or damage afkling therefrom, in #ocmulating and ~)pro~hlg atandarda and specifications, the IFI h i l l no( ifl~lMigate¢l and will not
investigate patents which may apply to the subjQct matter. Prospechve users of the standards and I~oecificationa am responsible for advising themseh'es of and protecting themselves against
~'1993 Industrial Fasteners Institute.
any patent infnngement liabiflty which may arise out of such use.
126
INDUSTRIAL FASTENERS INSTITUTE
1 7 1 7 E. 9 T H ST. • S U I T E 1 1 0 5 • C L E V E L A N D ,
Table 5
O H I O 4 4 1 1 4 - 2 8 7 9 U.S.A.
Permissible Variation from Specified Chemical Ranges
and Limits for Alloy Steels
Element
Limit or Max of
Specified Range, %
Carbon
TO 0.30 incl
Over 0.30 to 0.75 incl
0.01
0.02
Manganese
To 0.90 incl
Over 0.90
0.03
0.04
Phosphorus
Over Max only
Sulfur
Over Max only
Silicon
To 0.40 incl
Variation, %, Over Max Limit or
Under Min Limit
0.005
0.005
0.02
Nickel
To 1.00 incl
0.03
Chromium
To 0.90 incl
Over 0.,90
0.03
0.05
Molybdenum
To 0.20 incl
Over 0,20 to 0.40 incl
0.01
0.02
Vanadium
Over Max. only
0.01
Copper
Over Max only
0.03
Table 6 Decarburization Limits for Killed Steels
With Carbon Content Exceeding 0.13%
Diameter
Free Ferrite
Depth
Max.
Inches
Total Average
Affected Depth
Max.
Inches
through 25164
00015
0.005
over 25•64
through 5/8
0.0015
0.OO6
over 5/8
through 55164
0 0015
O.007
over 55•64
through 1
0.0015
0.008
over 1
through 1 ~/2
O0O15
0.010
(Inches)
NOTES:
1. For purposes of determining conformance with this Start" dard, all specified limits are absolute as defined in
ASTM E29.
2. Test conducted in accordance with paragraph 8.0 of this
Standard.
IFI
STANDARD
Published and issued
by
the
Industrial
Fasteners Institute of
Cleveland, Ohio.
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IF1-140
P a g e 21 of 2 3
I s s u e d : April 20, 1 9 9 3
All standards and specifications ate advisory only. Their use by anyoneis entirely voluntary. F~eliancethereonfor any purpose by anyoneis at the sole risk of that person or the user of the
product, and the IFI is not responsible for any loss, cla=mor damage arising therefrom. In formulating and approving standards and specifications, the IFI has not investigated and will not
investigatepatentswhich may apply to the subject matter. Prospectiveusersof the standardsand specificationsare responsiblefor advising themselvesof and protectingthemselvesagainst
any patent infringementliability which may arise out of such use
: 1993IndustrialFastenersInstitute.
127
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH ST. ,= SUITE 1105 • CLEVELAND, OHIO 44114-2879 U.S.A.
®
m ¢',~-
"--
2"~2
,,==,,
®---
®
C'~
¢0
o
<
~ ~ ~ ~ ~ ~ ~ ~ $ ~';
g g~
~ ~
®N®
®o..~
~
®J; 0
O.
m
O
=
U
~
,<
e-
~< ~.
.lo<,9°
2
,,
•
m
g~N
__'~'0
~ 0
mU~
...
~ ~~
P
IFI
STANDARD
Published and issued
by the
Industrial
Fasteners Institute of
Cleveland, Ohio.
P
~
O
P
P
P
i i
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
...=E urn •c <
IF1-140
Page 22 of 23
Issued: April 20, 1993
All standards and specifications are advisory only. Their use by anyone is entirely voluntary. Reliance thereon 1o¢ any putpo6e by anyone is st the sole risk of that person or the user Of the
product, and the IFI is not responsible for any loss, claim or damage arising therefrom. In formulating end ~q0proving standards and specifications, the IFI has not investigated and will not
investigate patents which may apply to the subject matter. Prospective users of the standards and specifications ere responsible for advising themselves of end protecting themselves against
any patent mfr*rlgement liability which may arise out of such use.
<~'1993(ndustrial Fasteners Institute
128
INDUSTRIAL FASTENERS INSTITUTE
1717 E. 9TH SE • S U I T E 1105 ,D C L E V E L A N D , O H I O 44114-2879 U.S.A.
Table 8
Wire Size Tolerances and Out of Round
Diameter
Diameter
Out of Round
± Tolerance
Max.
Inch
Inch
Inch
< 0.076
0.0010
0.O010
0.076 < 0.500
0.0015
0.0015
>_ 0.500
0.0020
0.0020
Table 9
Rod Size Tolerances
Diameter
Diameter
Out of Round
± Tolerance
Max.
Inch
Inch
Inch
7132 - 47•64
0,012
0.018
T a b l e 10
Bar Size Tolerances
Diameter
IFI
STANDARD
Published and issued
by
the
Industrial
Fasteners Institute of
Cleveland, Ohio.
Diameter
+ Tolerance
Out of Round
Max.
Fractional Diameter
in Inches
Inch
inch
7 / 1 6 to 5/8
0,006
0,009
>5•8 to 7/8
0.007
0.011
> 7 1 8 to 1
O008
0,012
>1 to 1-1/8
0.009
0.014
>1-1/8 to 1-1/4
0.010
0.015
> 1-114 to 1-3/8
0.011
0.017
> 1-3/8 to 1-1/2
0.013
0.020
CARBON AND ALLOY STEEL WIRE,
RODS AND BARS FOR
MECHANICAL FASTENERS
IFI-140
Page 2 3 of 2 3
Issued: April 20, 1993
All atandatdsend specificationsam advisoryonly.Their use by anyoneis entirelyvoluntary.Reliancethereonfor any purposeby anyoneis at the solerisk of that personor the userof the
product, and the IFI is not responsiblefor any loss, claim or damagearising therefrom.In formulatingand approvingstandardsand specifications,the IFI has not irlvoatigatedarid will not
investigatepeten~which may applyto the subjectmatter.Prospectiveusersof the standardsand specificationsare responsiblefor advisingthemselvesof and protectingthemselvesagainst
any patentinfringementliabilitywhichmayarise out of suchuse.
c-1993IndustrialFaatenelsInstitute.
129
Appendix C: Public Law I01-592---Fastener
Quality Act
P u b l i c L a w 101-592
101st C o n g r e s s
An Act
To require that certain fasteners sold in commerce confirm to the specifications to which they are
represented to be manufactured, to provide for accreditation of laboratories engaged in fastener
testing, to require inspection, testing, and certification, in accordance with standardized methods,
of fasteners used in critical applications to increase fastener quality and reduce the danger of
fastener failure, and for other purposes)
Be it enacted by the Senate and House of Representatives of the United States of America
in Congress assembled, 2
SECTION 1. SHORTTITLE.
This Act may be cited as the "Fastener Quality Act".
SEC. 2 FINDINGS AND PURPOSE.
(a)
Findings - The Congress finds that (1) the American economy uses billions of fasteners each year;
(2) millions of mismarked, substandard, counterfeit, and other nonconforming fasteners
have been sold in commerce to end-users in the United States, and their use has
dramatically increased the risk of equipment and infrastructure failures;
(3) both the military and civilian sectors of the economy have encountered unnecessary,
unwarranted, and dangerous equipment and construction failures, as well as extraordinary
expenses, as a result of the use of nonconforming fasteners;
(4) the sale in commerce of nonconforming fasteners and the use of nonconforming
fasteners in numerous critical applications have reduced the combat readiness of the
Nation's military forces, endangered the safety of other Federal projects and activities,
and cost both the public and private sectors large sums in connection with the retesting
and purging of fastener inventories;
(5) the purchase and use of nonconforming fasteners stem from material
misrepresentations about such fasteners made by certain manufacturers, importers, and
distributors engaged in commerce;
(6) current fastener standards of measurement evaluate bolts and other fasteners
according to multiple criteria, including strength, hardness, and composition, and provide
grade identification markings on fasteners to make the characteristics of individual
fasteners clear to purchasers and users;
1NOV.16, 1990(H.R. 3000)
2 FastenerQuality Act. Consumerprotention. 15 OSC 5401 note. 15 USC 5401
133
(7) current tests required by consensus standards, designed to ensure that fasteners are of
standard measure, are adequate and appropriate for use as standards in a program of highstrength fastener testing;
(8) the lack of traceability by lot number of fasteners sold in commerce is a serious
impediment to effective quality control efforts; and
(9) the health and safety of Americans is threatened by the widespread sale in commerce
of mismarked, substandard, and counterfeit fasteners, a practice which also harms
American manufacturers, importers, and distributors of safe and conforming fasteners,
and workers in the American fastener industry.
(b)
Purpose
In order to protect public safety, to deter the introduction of nonconforming
fasteners into commerce, to improve the traceability of fasteners used in critical applications, and
generally to provide commercial and governmental customers with greater assurance that
fasteners meet stated specifications, it is the purpose of this Act to create procedures for the
testing, certification, and distribution of certain fasteners used in commerce within the United
States.
SEC.
3.
DEFINITIONS.
As used in this Act, the term (1) "alter" means to alter (A) by through-hardening,
(B) by electroplating of fasteners having a minimum tensile strength of
150,000 pounds per square inch, or
(C) by machining;
(2) "consensus standards organization" means the American Society for Testing
and Materials, American National Standards Institute, American Society of
Mechanical Engineers, Society of Automotive Engineers, or any other standardsetting organization determined by the Secretary to have comparable knowledge,
expertise, and concern for health and safety in the field for which such
organization purports to set standards;
(3) "container" means any package of fasteners traded in commerce;
(4) "Director" means the Director of the National Institute of Standards and
Technology;
(5) "fastener" means (A) a (i) screw, nut, bolt, or stud having internal or external threads, or
(ii) a load-indicating washer,
with a nominal diameter of 5 millimeters or greater, in the case of such
items described in metric terms, or ¼ inch or greater, in the case of such
items described in terms of the English system of measurement, which
contains any quantity of metal and is held out as meeting a standard or
specification which requires through-hardening,
(B) a screw, nut, bolt, or stud having internal or external threads which
bears a grade identification marking required by a standard or
specification,
134
(C) a washer to the extent that it is subject to a standard or specification
applicable to a screw, nut, bolt, or study described in subparagraph (B), or
(D) any item within a category added by the Secretary in accordance with
section 4(b),
except that such term does not include any screw, nut, bolt, or study that is
produced and marked as ASTM A 307 Grade A;
(6) "grade identification marking" means any symbol appearing on a fastener
purporting to indicate that the fastener's base material, strength properties, or
performance capabilities conform to a specific standard of a consensus standards
organization other person;
(7) "importer" means a person located within the United States who contracts for
the initial purchase of fasteners manufactured outside the United States for resale
of such person's use within the United States;
(8) "Institute" means the National Institute of Standard and Technology;
(9) "lot" means a quantity of fasteners of one part number fabricated by the same
production process from the same coil or heat number of metal as provided by the
metal manufacturer and submitted for inspection and testing at one time;
(10) "manufacturer" means a person who fabricates fasteners, or who alters any
items so that it becomes a fastener;
(11) "original equipment manufacturer" means a person who uses fasteners in the
manufacture or assembly of its products and sells fasteners to authorized dealers
as replacement or service parts for its products;
(12) "private label distributor" means a person who contracts with a manufacturer
for the fabrication of fasteners bearing the distributor's distinguishing insignia;
(13) "Secretary" means the Secretary of Commerce;
(14) "standards and specifications" means the provisions of a document published
by a consensus standards organization, a government agency, or a major end-user
of fasteners which defines or describes dimensional characteristics, limits of size,
acceptable materials, processing, functional behavior, plating, baking, inspecting,
testing, packaging, and required markings of any fastener; and
(15) "through-harden" means heating above the transformation temperature
followed by quenching and tempering.
SEC. 4. S P E C I A L RULES F O R FASTENERS. 3
(a) Waiver Requirements. - If the Secretary determines that any category of fastener is not
used in critical applications, the Secretary shall waive the requirements of this Act with
respect to such category.
(b) Additional Item. - If the Secretary determines that (1) a category of screw, nut, bolt, or stud which is not described in section
3(5)(A)(i) or (B),
(2) a category of item which is associated with a fastener described in section
3(5)(A), (B), or (C), or
(3) a category of item which serves a function comparable to that serveA by a
fastener so described
3 15 USC 5403
135
is used in critical applications, the Secretary may include such category under section
3(5)(D) and therefore within the definition of fasteners under this Act.
(c) Notice and Opportunity for Comments. - The Secretary shall provide advance notice
and the opportunity for public comments prior to making any determination under
subsections (a) and (b) and shall act through the Director in making any such
determination.
SEC. 5. T E S T I N G AND C E R T I F I C A T I O N O F FASTENERS. 4
(a) Requirement. - (1) No fastener shall be offered for sale or sold in commerce unless it
is part of a lot which (A) conforms to the standards and specifications to which the manufacturer
represents it has been manufactured; and
(B) has been inspected, tested, and certified as provided in subsections (b) and (c)
of this section.
(2)(A) Paragraph (1)(B) of this subsection shall not apply to fasteners which are
part of a lot of 50 fasteners or less if, within 10 working days after the delivery of
such fasteners, or as soon as practicable thereafter (i) inspection, testing, and certification as provided in subsections (b) and
(c) is carried out; and
(ii) written notice detailing the results of such inspection, testing, and
certification is sent (I) to all purchasers of such fasteners, except retail
sellers and retail consumers, and (II) to any retail seller or retail consumer
who, prior to delivery, requests such written notice.
(B) If a fastener is sold under this paragraph, each purchaser of such fastener,
except for retail sellers and retail consumers unless such retail sellers and retail
consumers request such notice in advance, shall be provided, contemporaneously
with each sale and delivery, written notice stating that such fastener has not yet
been inspected, tested, and certified as required by this Act.
(b) Inspection and Testing. - (1) The manufacturer of a lot of fasteners
shall cause to be inspected and tested a representative sample, as provided
in paragraph (2) of this subsection, of the fasteners in such lot to determine
whether the lot conforms to the standards and specifications to which the
manufacturer represents it has been manufactured. Such inspection and
testing shall be performed by a laboratory accredited in accordance with
the procedures and conditions specified by the Secretary under section 6.
The standards and specifications to which the manufacturer represents
such lot has been manufactured shall be disclosed by the manufacturer to
the laboratory at the time the lot is submitted for inspection and testing
under this paragraph. The manufacturer of a lot may perform the
inspection and testing required by this paragraph in a laboratory which it
owns or with which it is otherwise affiliated, if such laboratory is
accredited in accordance with the procedures and conditions specified by
the Secretary under section 6; unless the Secretary finds that, as to a
specific type of fastener and as to a specific type of inspection or testing, a
4 15 USC 5404
136
ban on manufacturer ownership or affiliation with the accredited
laboratory would increase the protection of health and safety of the public
or industrial workers.
(2) The size, selection, and integrity of the sample to be inspected and
tested under paragraph (1) shall be governed (A) by the standards and specifications to which the manufacturer
represents the fasteners in the sample have been manufactured; or
(B) if such standards and specifications do not provide for the size,
selection, or integrity of the sample, by sampling procedures
prescribed by the Secretary, who shall to the extent practicable use
consensus testing standards and related materials.
Nothing in this paragraph shall prohibit a purchaser from requiring the
inspection and testing of a greater number of fasteners from a lot than is
specified in the applicable standards and specifications or in the applicable
sampling procedures prescribed by the Secretary.
(c) Laboratory Report of Testing.
If a laboratory performing the
inspection and testing under subsection (b)(1) determines, as to the
characteristics selected under the sampling procedures prescribed by the
secretary and based on the sample examined, that a lot conforms to the
standards and specifications to which the manufacturer represents it has
been manufactured, the laboratory shall provide to the manufacturer a
written inspection and testing report with respect to such lot. The report,
which shall be in a form prescribed by the Secretary by regulation, shall (1) state the manufacturer's name, the part description, and the lot
number and note the grade identification mark and insignia found
on the fastener;
(2) reference the standards and specifications disclosed by the
manufacturer with respect to such lot under subsection (b)(1) or,
where applicable, certified by the manufacturer under section
7(c)(1);
(3) list the markings and characteristics selected under the
Secretary's procedures for testing, such as the chemical,
dimensional, physical, mechanical, and any other significant
characteristics required by the standards and specifications
described in paragraph (2) and specify the results of the inspection
and testing under subsection (b)(1);
(4) state whether, based on the samples provided as representative
of the lot, such lot has been found after such inspection and testing
to conform to such standards and specifications; and
(5) bear the original signature of a laboratory employee or officer
determined by the Secretary to be responsible for the accuracy of
the report and of the inspection and testing to which it relates.
SEC. 6. LABORATORY ACCREDITATION.5
5 15 USC 5405
137
(a) Establishment of Accreditation Program. - (1) Within 180 days after the date of
enactment of this Act, the Secretary, acting through the Director, shall issue regulations
which shall include (A) procedures and conditions, including sampling procedures referred to in
section 5, for the accreditation by the Institute of laboratories engaged in the
inspection and testing of fasteners under section 5;
(B) procedures and conditions (which shall be consistent with the procedures and
conditions established under subparagraph (A)), using to the extent practicable the
requirements of national or international consensus documents intended to govern
the operations of accreditation bodies, under which private entities may apply for
approval by the Secretary to engage directly in the accreditation of laboratories in
accordance with the requirements of this Act; and
(C) conditions (which shall be consistent with the procedures and conditions
established under subparagraph (A)), under which the accreditation of foreign
laboratories by their governments or organizations recognized by the Director
shall be deemed to satisfy the laboratory accreditation requirements of this
section.
(2) Upon establishing a laboratory accreditation program under paragraph (1), the
Secretary shall publish a notice in the Federal Register stating that the Secretary is
prepared to accept applications for accreditation of such laboratories.
(3) No accreditation provided under the terms of this subsection shall be effective for a
period of greater than 3 years.
(b) Laboratory Accreditation Procedures. - Existing Institute accreditation procedures
stated in part 7 of title 15, Code of Federal Regulations, as in effect on the date of
enactment of this Act, supplemented as the Secretary considers necessary, shall be used
to accredit laboratories under the accreditation program established under subsection (a).
(c) Ensuring Compliance. - (1) The Secretary shall ensure that (A) private entities accrediting laboratories under procedures and
conditions established under subsection (a))(1)(B) comply with such
procedures and conditions, and
(B) laboratories accredited by such private entities, or by foreign
governments pursuant to subsection (a)(1)(C), comply with the
requirements for such accreditation.
(2) The Secretary may require any such private entity or laboratory to provide all
records and materials that may be necessary to allow the Secretary to carry out
this subsection.
(d) Operation of Laboratory Accreditation Program. - (1) The Director may hire
such contractors as are necessary to carry out the accreditation program
established under subsection (a).
(2) Costs to the Institute and to the Secretary for the establishment and operation
of the accreditation program under this section shall be fully reimbursable to the
Institute or to the Secretary, as appropriate, through fees or other charges for
accreditation services under such program.
(e) Recommendations to Consensus Standards Organizations. - The Director shall
periodically transmit to appropriate consensus standards organizations any
138
information or recommendations that may be useful in the establishment or
application by such organizations of standards and specifications for fasteners.
SEC. 7. S A L E O F F A S T E N E R S SUBSEQUENT TO M A N U F A C T U R E . 6
(a) Domestically Produced Fasteners. - It shall be unlawful for a manufacturer to sell any
shipment of fasteners (except fasteners for which the Secretary has waived the
requirements of this Act pursuant to section 4) which are manufactured in the United
States unless the fasteners are accompanied, at the time of delivery, by a written
certificate by the manufacturer certifying that (1) The fasteners have been manufactured according to the requirements of the
applicable standards and specifications and have been inspected and tested by a
laboratory accredited in accordance with the procedures and conditions specified
by the Secretary under section 6; and
(2) an original laboratory testing report described in section 5(c) is on file with the
manufacturer, or under such custody as may be prescribed by the Secretary, and
available for inspection.
(b) Fasteners of Foreign Origin. - (1) Except as provided in paragraph (2) of this
subsection, it shall be unlawful (A) for any person to sell to any importer, and
(b) for any importer to purchase,
any shipment of fasteners which are manufactured outside the United States unless
delivery of such shipment to such importer is accompanied by a manufacturer's certificate
as described in subsection (a), an original laboratory testing report described in section
5(c), with respect to each lot from which such fasteners were taken, and any other
relevant lot identification information.
(2) The requirement under paragraph (1) of this subsection that the delivery of such a
shipment to such importer be accompanied by an original laboratory testing report shall
not apply in the case of fasteners imported into the United States (A) as products manufactured within a nation which is party to a congressionallyapproved free trade agreement with the United States that is in effect, so long as
the Secretary certifies that satisfactory arrangements have been reached by which
purchasers within the United States can readily gain access to an original
laboratory testing report for such fasteners; or
(B) as Canadian-origin products under the United States - Canada Automobile
Pact for use as original equipment in the manufacturer of motor vehicles.
(c) Option for Importers and Private" Label Distributors. - (1) Notwithstanding section
5(a) and subsections (a) and (b) of this section, delivery of a lot, or portion of a lot, of
fasteners may be made to an importer or private label distributor without the required
original copy of the laboratory testing report if(A) the manufacturer provides to the importer or private label distributor a
manufacturer's certificate certifying that the fasteners have been manufactured
according to the requirements of the applicable standards and specifications; and
(B) the importer or private label distributor assumes responsibility in writing for
the inspection and testing of such lot or portion by a laboratory accredited in
6 15 U S C 5406
139
accordance with the procedures and conditions specified by the Secretary under
section 6.
(2) If the importer or private distributor assumes the responsibility in writing for the
inspection and testing of such lot or portion, the provisions of section 5(a) and
subsections (a) and (b) of this section shall apply to the importer or private label
distributor in the same manner and extent as to a manufacturer; except that the importer
or private label distributor shall provide to the testing laboratory the manufacturer's
certificate described under paragraph (1) of this subsection.
(d) Alterations Subsequent to Manufacture - (1) Any person who significantly alters a
fastener so that such fastener no longer conforms to the description in the relevant
certificate issued under section 5(c), and who thereafter offers for sale or sells such
altered fastener, shall be treated as a manufacturer for purposes of this Act and shall cause
such altered fastener to be inspected and tested under section 5 or this section as though it
were newly manufactured, unless delivery of such fastener to the purchaser is
accompanied by a written statement noting the original lot number, disclosing the
subsequent alternation, and waming that such alteration may affect the dimensional or
physical characteristics of the fastener.
(2) Any person who knowingly sells an altered fastener and who did not alter such
fastener shall provide to the purchaser a copy of the statement required by paragraph (1).
(e) Commingling. - (1) Subject to paragraph (2), it shall be unlawful for any manufacturer
or any person who purchases any quantity of fasteners for resale at wholesale to
commingle like fasteners from different lots in the same container; except that such
manufacturer or such person may commingle like fasteners of the same type, grade, and
dimension from not more than two tested and certified lots in the same container during
repackaging and plating operations: Provided, That any container which contain like
fasteners from two lots shall be conspicuously marked with the lot identification numbers
of both lots.
(2) Paragraph (1) does not apply to sales by original equipment manufacturers to their
authorized dealers for use in assembling or servicing products produced by the original
equipment manufacturers.
(f) Subsequent Purchaser. - (1) It shall be unlawful for any person to sell fasteners, of any
quantity, to any person who purchases such fasteners (A) for sale at wholesale, or
(B) for assembling components of a product or structure for sale,
unless the container of fasteners sold is conspicuously marked with the number of the lot
from which such fasteners were taken, except that this requirement shall not apply to
sales by original equipment manufacturers to their authorized dealers for use in
assembling or servicing products produced by the original equipment manufacturer.
(2) If a person who purchases fasteners for purposes other than those described in
paragraph (1) (A) and (B) so requests either prior to the sale or at the time of sale, the
seller shall conspicuously mark the container of fasteners with the lot number from which
such fasteners were taken.
(g) Regulations. - The secretary may issue such regulations as may be necessary to
ensure compliance with the provision of this section.
140
SEC. 8. M A N U F A C T U R E R S t INSIGNIAS. 7
(a) General Rule. - No fastener which is required by the standards and specifications to
which it was manufactured to bear a raised or depressed insignia identifying its
manufacturer or private label distributor shall be offered for sale or sold in commerce
unless the manufacture or private label distributor of such fastener has complied with the
requirements prescribed by the Secretary in connection with the program established
under subsection (b) of this section.
(b) Recordation. - The Secretary shall establish, by regulation, a program to provide for
the recordation of the insignias of manufacturers and private label distributors described
in subsection (a), to ensure the traceability of a fastener to its manufacturer or private
label distributor.
SEC. 9. R E M E D I E S AND P E N A L T I E S . 8
(a) Civil Remedies.
(1) The Attorney General may bring an action in an appropriate
United States district court for appropriate declaratory and injunctive relief against any person
who violates this Act or any regulation under this Act.
(2) An action under paragraph (1) may not be brought more than 10 years after the date
on which the cause of action accrues.
(b) Civil Penalties. - (1) Any person who is determined by the Secretary, after notice and
an opportunity for a hearing, to have violated this Act or any regulation under this Act shall be
liable to the United States for a civil penalty of not more than $25,000 for each violation.
(2) The amount of the penalty shall be assessed by the Secretary by written notice. In
determining the amount of the penalty, the Secretary shall consider the nature, circumstances,
and gravity of the violation and, with respect to the person found to have committed the
violation, the degree of culpability, and history of prior violations, the effect on ability to
continue to do business, any good faith attempt to achieve compliance, ability to pay the penalty,
and such other matters as justice may require.
(3) Any person against whom a civil penalty is assessed under paragraph (2) of this
section may obtain review thereof in the appropriate court of the United States by filing a notice
of appeal in such court within 30 days from the date of such order and by simultaneously sending
a copy of such notice by certified mail to the Secretary. The findings and order of the Secretary
shall be set aside by such court if they are found to be unsupported by substantial evidence, as
provided in section 706(2) of title 5, United States Code.
(4) The Secretary may compromise, modify, or remit, with or without conditions, any
civil penalty which is subject to imposition or which has been imposed under this section prior to
referral to the Attorney General under paragraph (5).
(5) A civil penalty assessed under this subsection may be recovered in an action brought
by the Attorney General on behalf of the United States in the appropriate district court of the
United States. In such action, the validity and appropriateness of the final order imposing the
civil penalty shall not be subject to review.
(6) For the purpose of conducting any hearing under this section, the Secretary may issue
subpoenas for the attendance and testimony of witnesses and the production of relevant papers,
books, and documents, and may administer oaths. Witnesses summoned shall be paid the same
7 15 USC 5407
8 15 USC 5408
141
fees and mileage that are paid to witnesses in the courts of the United States. In case of contempt
or refusal to obey a subpoena served upon any person pursuant to this paragraph, the district
court of the United States for any district in which such person is found, resides, or transacts
business, upon application by the United States and after notice to such person, shall have
jurisdiction to issue an order requiring such person to appear and give testimony before the
Secretary or to appear and produce documents before the Secretary, or both, and any failure to
obey such order of the court may be punished by such court as a contempt thereof.
(c) Criminal Penalties. - (1) Whoever knowingly certifies, marks, offers for sale, or sells
a fastener in violation of this Act or a regulation under this Act shall be fined under title 18,
United States Code, or imprisoned not more than 5 years, or both.
(2) Whoever intentionally fails to maintain records relating to a fastener in violation of
this Act or a regulation under this Act shall be fined under title 18, United States Code, or
imprisoned not more than 5 years, or both.
(3) Whoever negligently fails to maintain records relating to a fastener in violation of this
Act or a regulation under the Act shall be fined under title 18, United States Code, or imprisoned
not more than 2 years, or both.
SEC. 10. RECORDKEEPING REQUIREMENTS.9
(a) Laboratories. - Laboratories which perform inspections and testing under section 5(b)
shall retain for 10 years all records concerning the inspection and testing, and certification of
fasteners under section 5.
(b) Manufacturers, Importers, Private Label Distributors, and Persons who Make
Significant Alternation. - Manufacturers, importers, private label distributors, and persons who
make significant alterations shall retain for 10 years all records concerning the inspection and
testing, and certification, of fasteners under section 5, and shall provide copies of any applicable
laboratory testing report or manufacturer's certificate upon request to any subsequent purchaser
of fasteners taken from the lot to which such testing report or manufacturer's certificate relates.
SEC. 11. RELATIONSHIPTO STATE LAWS.l0
Nothing in this Act shall be construed to preempt any rights or causes of action that any
buyer may have with respect to any seller of fasteners under the law of any State, except to the
extent that the provisions of this Act are in conflict with such State law.
SEC. 12. CONSTRUCTION.11
Nothing in this Act shall be construed to limit or otherwise affect the authority of any
consensus standards organization to establish, modify, or withdraw any standards and
specifications under any other law or authority in effect on the date of enactment of this Act.
SEC. 13. R E G U L A T I O N S . 12
The Secretary shall within 180 days after the date of enactment of this Act issue such
regulations as may be necessary to implement this Act.
SEC. 14. ADVISORYC O M M I T T E E . 13
Within 90 days after the date of enactment of this Act, the Secretary shall appoint an
advisory committee consisting of representatives of fastener manufacturers, importers,
15 USC 5409
l0 15 USC 5410
l! 15 USC 5411
12 15 USC 5412
13 15 USC 5413
9
142
distributors, end-users, independent laboratories, and standards organizations. The Secretary and
Director shall consult with the advisory committee (1) prior to promulgating any regulations under this Act; and
(2) in such other matters related to fasteners as the Secretary may determine.
SEC. 15. APPLICABILITY. 14
The requirements of this Act shall be applicable only to fasteners fabricated 180 days or
more after the Secretary issues final regulations required under sections 5, 6, and 8, except that
the Secretary may extend such time period if the Secretary determines that an insufficient
number of laboratories have been accredited to perform the volume of inspection and testing
required. Upon any such extension, and every 6 months thereafter during such extension, the
Secretary shall submit a report to the Congress explaining the reasons for such extension and the
steps being taken to ensure the accreditation of a sufficient number of laboratories.
Approved November 16, 1990.
LEGISLATIVE HISTORY - H.R. 3000
HOUSE REPORTS: No. 101-211, Pt. 1 (Comm. on Science, Space, and Technology) and
Pt. 2 (Comm. on Energy and Commerce).
SENATE REPORTS:
No. 101-388 (Comm. on Commerce, Science, and Transportation)
CONGRESSIONAL RECORD:
Vol. 135 (1989): Sept. 19, considered and passed House.
Vol. 136 (1990): Oct. 26, considered and passed Senate, amended. House concurred
in Senate amendment.
14 15 USC 5414
143
Appendix D: Supplier Quality Systems
Survey
SUPPLIER QUALITY SURVEY
SURVEY NO.
SURVEY DATE
SUPPLIER NAME AND ADDRESS
PRODUCT / SERVICE SUPPLIED
RATING LAST SURVEY
DATE LAST SURVEY
CURRENT SURVEY
S U P P L I E R STATUS
[]
CERTIFIED SUPPLIER
All elements are present and operational in the
supplier's system they meet the requirements for
certification status.
[]
PREFERRED SUPPLIER
The supplier has met our requirements for preferred
status, and has planned commitments to obtaining
certification status.
[]
APPROVED SUPPLIER
The supplier displays the organization and future
direction to achieve the requirements of certified
status, and meets the requirements of approved
supplier.
[]
CONDITIONAL SUPPLIER
The supplier has not been surveyed, is in the
process of being surveyed, or as a result of the
survey has not obtained minimum criteria for a
supplier rating
Supplier Representatives:
Survey Team:
147
SUPPLIER
QUALITY
RATING*
SURVEY
A. MANAGEMENT
1. Does the supplier management share the philosophy of partnership with
its customers: to provide high quality products or service at competitive
pricing with timely delivery in return for technical and quality support as
well as a long term business relationship with (COMPANY NAME)?
2. Are there active programs or plans to facilitate participation in Continuous
Quality Improvement?
3. Are programs for employee education and training present?
B. O R G A N I Z A T I O N
1. Does the vendor have a clearly defined and documented Quality Control
function? (Supply organization chart.)
2. Does the Quality Control function have clear and documented authority to
act on quality and non-quality issues through disposition of product?
3. Is the Quality Control structure oriented for prevention instead of
detection?
C. F I X T U R E A N D T E S T E Q U I P M E N T
CONTROL
(METROLOGY)
1. Is there a separate unit dedicated to metrelogy?
2. Is there a documented procedure for calibration of all equipment
(including analytical equipment)
3. Are capability studies performed and documented prior to use in
production? (Repeatability and Reproducibility Studies?)
4. Are calibration records maintained which include fixture and test equipment
identification, location, method of calibration and certification, results,
date of current and next calibration, and current status?
5. Are fixtures and test equipment clearly marked with an identification, date of
last calibration and date of next calibration?
6. Is there a clear definition of dispositioning non-certifiable fixtures and test
equipment?
D. I N S P E C T I O N
1. Is there a system to assure the quality of purchased materials, which may
involve:
a. incoming inspection
b. vendor certification program
c. source inspection
2. Is there a system to assure product conformance to specifications at the
initial setup phase of product manufacture?
3. In the absence of SPC, is there a system with documentation to verify that
product conforms to specification prior to shipment?
4. Is there a system which provides lot traceability through each process
and includes traceability of all raw materials used during manufacture?
148
COMMENTS
SUPPLIER QUALITY SURVEY
RATING *
5. Is there a system that measures the effectiveness of the total quality
systems through an evaluation of packaged, ready to ship product?
(Final Product audit)
6. Is there a system with supporting documentation that assures nonconforming product is removed from the normal process flow and clearly
marked for disposition?
7. Are inspection plans documented and do they include the following:
a. sample size
b. sample frequency
c. acceptance criteria
d. significant characteristics
e. product disposition
8. Are inspection plans designed for zero defects?
E. PROCESS CONTROL
1 Is statistical process control utilized to optimize processes and systems?
2. Does SPC include the following programs:
a. process capability studies?
b. significant characteristic selection?
c. reports to top management for action on noncapable processes?
3. Are there documented process instructions for manufacturing and nonmanufacturing jobs?
4. Are critical process parameters monitored?
5. Are critical and functional part characteristics monitored and documented
during processing?
F. QUALITY SYSTEMS AND ANALYSIS
1. Are cost of quality reports generated and provided to management?
2. Is there a system for problem identification and resolution that looks for root
causes?
3, Is there a documented system to provide and control changes to product and
product specifications and processing?
4. Is there a documented system to address customer returns ensuring prompt
response to corrective action inquires?
survey points scored:
survey points possible:
survey score:
*See supplement entitled QualitySurvey- EXPLANATION OF SCORING SYSTEM.
149
COMMENTS
COMMENTS
printed in US.A.
150
Explanation of Quality Survey Scoring System
Each survey question will be rated on the basis of thefollowing point system:
rating
explanation
10
This element is present, documented, and successfully operational in the
Supplier's/Subcontractor's quality system and displays a history of
consistent application and continuous improvement.
9
This element is present, documented, and successfully operational in the
Supplier's/Subcontractor's quality system.
6
This element is included in the Supplier's/Subcontractor's quality system;
however, documentation is incomplete and/or additional development is
required.
4
This element is included in the Supplier's/Subcontractor's quality system;
however, documentation is inadequate and additional development is
required.
2
This element is included in the Supplier's/Subcontractor's quality plan, but has
no present application and requires substantial development.
0
This element is not included in the Supplier' s/Subcontractor's quality plan.
151
Appendix E: Attribute Gauge Analysis Form
N
1
2
3
4
5
6
7
8
;8
9
11
12
13
14
15
16
17
18
19
20
OPERATOR A
Ilst Evaluation 2nd Evaluation
OPERATOR B
1st Evaluation 2nd Evaluation
FOR THE SYSTEMTO BE ACCEPTABLE,ALL EVALUATIONSPER LINE ITEMS MUSTAGREE.
GAUGE TYPE
GAUGE NO.
OPERATOR A
OPERATOR B
ATTRIBUTE GAUGE ANALYSIS
155
DATE
Subject Index
A
Annealing, 109
ANSI/ASME B18.8.2, 97
ANSI/ASQC Q90, 86
ANSI/ASQC 091, 86
ANSI/ASQC Q92, 86
ANSI/ASQC 093, 86
ANSI/ASQC Q94, 86
ANSI/ASQC Q9000-1994, 57, 75
ANSI/ASQC Q9001-1994, 57
ANSI/ASQC Q9002-1994, 57
ANSI/ASQC Q9003-1994, 57, 74-75
ANSI/ASQC Q9004-1-1994, 31-32
ASME/ANSI B18.18.2M, 86
ASME/ANSI B18.18.3M, 86
ASME-FAP-1, 57, 74-75, 86, 91
ASTM A-325, 15, 53
ASTM A-370, 114, 120
ASTM A-490, 49
ASTM A-700, 114
ASTM E-10, 114, 120
ASTM E-29, 114
ASTM E-30, 114, 118
ASTM E-112, 114, 118
ASTM E-548, 97
ASTM E-1077, 114, 119
ASTM F-606, 97
ASTM F-1469, 15, 50, 81-85, 91
ASTM F-1470, 86-90
ASTM F-1503, 53, 91-94
Attribute gauge analysis, 50-51, 155
Autocratic management, 3
C
Cause and effect diagrams, 51 - 53
Chemical testing, Fastener Quality
Assurance Act, 73
Coatings, IFI-140, 121
Communication, management role, 8
Continuous improvement, 21-28
employee involvement, reasons for, 2426
evaluation, 27-28
initiating actions, 26-27
planning, guidelines, 22-24
service and product improvement, 24
structured and systematic approach, 21
Control charting, guidelines, 52-53
Control plan, 15, 18-20
Costs
of nonconformance, 36
of quality, 37-39
Critical performance indicators, 21
Customers, 5
D
Decarburization
IFI-140, 119
tests, 110-111
Distributor industry, quality assurance
manual, 67-69
E
Employees
involvement in continuous
improvement, 24-26
Employee survey, 5-6
Evaluation, 27-28
F
Failure mode and effects analysis, 13, 1517
Fastener
distributors, Fastener Quality Assurance
Act and, 74-75
inspection, 103-106
manufacturers, Fastener Quality
Assurance Act and, 74
testing, 102
users, Fastener Quality Assurance Act
and, 75
Fastener Quality Assurance Act, 73-75,
133-143
advisory committee, 142-143
applicability, 143
chemical testing, 73
construction, 142
definitions, 134-135
findings and purpose, 133-134
laboratory accreditation, 137-139
lot segregation, 73-74
manufacturers' insignias, 141
minor deviations, 73
record keeping requirements, 142
regulations, 142
relationship to state laws, 142
remedies and penalties, 141 - 142
sale of fasteners subsequent to
manufacture, 139-140
special rules, 135-136
testing and certification, 136-137
Flow chart, 10 - 11
analysis, 10-15
H
Hardenability, IFI-140, 120
I
IFI 100/107, 97
IFI 124, 97
IFI 125, 97
IFI-139, 74, 97-106
IFI-140, 74, 107-129
certification and test reports, 122
157
chemical requirements, 117-118
coatings, 121
decarburization, 119
definitions, 115-116
hardenability, 120
identification/tagging, 121
manufacture, 116
mechanical properties, 120
metallurgical structure, 118-119
mill scale/surface condition, 121
ordering information, 116-117
packaging and loading, 122
rods and bars, 107-109
size tolerance, 120-121
wire, 109-112
workmanship, finish and appearance,
121
Initiation, actions, 26-27
In-process inspection, 47-48
Inspection
in-process, 47-48
lot-by-lot, 47-48
mechanical fastener, 103-106
ISO 9000, 74-75, 86, 97
ISO 9001, 32, 35, 86
ISO 9002, 32, 87
ISO 9003, 74-75, 87, 97
ISO 9004, 87, 97
ISO/IEC Guide 25, 74, 97
L
Lot-by-lot inspection, 47-48
Lot segregation, Fastener Quality
Assurance Act, 73-74
M
Management
commitment through sponsorship, 23
role, 3-8
autocratic management, 3
communication, 8
customer focus, 4-5
empowerment and involvement, 6
leadership commitment, 3
measurement, 6-7
recognition and rewards, 7-8
silos, 3
team management, 3-4
training, 5-6
Manufacturing, 31
quality assurance manual, 59-62
Materials control, suppliers, 44
Measurement, management's role, 6 - 7
Mechanical properties, IFI-140, 120
MILI 45208, 97
MIL Q 9859, 97
MIL-STD-1312, 97
MIL-STD-45662, 97
158
TOTAL QUALITY M A N A G E M E N T
O
Off-loading, 53
P
Pareto analysis, 53-54
Partners In Quality Program, 40-41
Planning, guidelines, 22-24
Process control, suppliers, 44
Product improvement, 24
Public Law 101-592 (see Fastener Quality
Assurance Act)
O
Quality
cost of, 37-39
definitions, 9, 31
Quality assurance manual
distributor industry, 67-69
manufacturing company, 59-62
service industry, 63-66
Quality control, 47-48
Quality manual, 31 - 33
Quality policy, 9
Quality reporting, 37- 39
suppliers, 44
Quality systems, 31 - 36
audits, 37-39
organizing for quality, 35-36
procedures, 33-35
R
Recessed head wire, 112
Recognition, by management, 7-8
Repeatability, 50
Reproducibility, 50
Rewards, by management, 7-8
Rods, IFI-140, 107-109
S
SAE J403, 114, 117-118
SAE J404, 114, 117-118
SAE J406, 114, 120
SAE J415, 114
SAE J429, 97
Scrapless nut wire, 112
Service and product improvement, 24
Service industry, quality assurance
manual, 63-66
Service/product quality plan
capability assessment guidelines, 12
detection assessment guidelines, 12
severity assessment guidelines, 12
suppliers in, 40
Silo, 3
Silo master, 3
Socket head wire, 112
Standard deviation, 49-50
Statistical process control, 50-54
attribute gauge analysis, 50-51
cause and effect diagrams, 51-53
pareto analysis, 53-54
variable control charts, 51-53
variable gauge analysis, 50
Statistical quality control, 47-54
applications, 48
descriptive statistics, 48-50
(see also Statistical process control)
Strategic planning, 9-20
control plan, 15, 18-20
failure mode and effects analysis, 13,
15-17
flow chart, 10-11
analysis, 10-15
reaction of plan to out of control or
specifications, 20
Suppliers, 40-44
auditing methods, 44
document and change control, 44
fixture and test equipment control, 44
involvement, 41-44
management, 42, 44
materials control, 44
measures, 40-41
objectives, 40
partnerships, 40-41
process control, 44
product control, 44
quality reporting, 44
quality systems survey, 42, 44, 147-151
sourcing considerations, 40
survey, 42-43
T
Team management, 3 - 4
Testing laboratories, Fastener Quality
Assurance Act and, 74
TQM interaction, 35-36
Training, 5-6
Tubular rivet wire, 112
V
Variable control charts, 51-53
Variable gauge analysis, 50
W
Wire, IFI-140, 107-112
About the Author
Jack R Pekar is a graduate of Ohio University with
a Bachelor of Science in Education, majoring in
mathematics. He currently serves as Manager of
Quality Services for Kennametal's Cleveland facility
in Solon, Ohio.
Jack has been active in the fastener and quality
profession since 1964. His experience includes that
of line inspector, supervisor, manager, and owner as
he gained knowledge in his chosen profession. He
worked for such fastener manufacturers as Lamson
& Sessions, E. W. Ferry Screw Products, and SPS
Technologies. At these organizations, he gained
valuable experience in all phases of fastener processing.
At Cleveland Twist Drill and Kennametal Inc., he
gained knowledge as a fastener purchaser and user.
Jack P. Pekar
At both of these organizations, he set up programs to
assure strong and viable supplier bases. Under his guidance, two of these companies were
awarded Ford Motor Company's coveted Q1 quality certification. He led all of these
companies to many successful certification awards from major corporations.
Jack has been a member of ASTM since 1976 and serves as subcommittee chairman
for F16.93, Quality Assurance Provisions for Fasteners, vice chairman of F16.01, Test
Methods, and main committee chairman of F16 on Fasteners. He is also a senior
member of SME and ASQC. In 1994 he was elected to the Board of Directors of the
American Association for Laboratory Accreditation (A2LA).
In addition to his business activities, he is active civically and serves on the Board
of Directors and as Vice President of the Solon Chamber of Commerce. In 1991,
Mr. Pekar received the President's Award from that organization for outstanding service.
ISBN
0-8031-2062-1