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TABLE OF CONTENTS
Introduction
Preamble
Scope
Developing Your Quality Manual
Generic EASA-Q:2000 Quality Manual
APPENDIX
EASA-Q:2000 Guidelines for Compiling Documentation
A-01:
Documentation
A-02:
A-03:
A-04:
A-05:
A-06: Generic examples for the six mandatory documented procedures required by
ISO 9001:2000
A-07: Cross reference guide ISO 9001:1994 to ISO 9001:2000
A-08: Samples of useful documentation for use in your quality management system
A-09: Reference Standards
A-10: Repair, Test, and Inspection Plan for AC Squirrel Cage Motors
A-11: Repair, Test, and Inspection Plan for DC Motors
A-12: Sample Process Control Procedures
Introduction
ISO 9000:2000 and EASA-Q
EASA-Q was designed around the 1994 version of ISO 9002. The 1994 ISO 9000 series Quality
Management Standards are now replaced by a considerably revised set of ISO 9000 standards.
Because of the significant changes, it is the authors recommendation that EASA-Q be completely
overhauled in order to remain compatible with the proposed new standards, and also to reflect
changes in evaluating quality since EASA-Q was launched.
The EASA-Q manual is a guide to developing a quality system based on currently applicable ISO
standards. It follows, therefore, that the EASA-Q guidelines should accurately reflect the new
standard requirements.
By way of introduction to this revised edition of EASA-Q, the following overview of the
International Organization for Standardization's ISO 9000 system is provided.
The revision and replacing of the current ISO 9000 standards issued in 1994 is a natural process
and part of the mandate of the ISO 9000 committee TC176 to review and revise where necessary
for continuing compatibility to user and commercial needs. This review process occurs
approximately every five years. The revision process is governed by:
The evolution of the needs of customers and organizations.
Quality management concepts and practices.
The deliverables of standardization and conformity assessment.
The revised edition of the standards is identified by the suffix 2000, i.e., ISO 9000:2000.
In place of the twenty requirement clauses contained in Section 4.0 (4.1 to 4.20) of the ISO
9001:1994 standard, the new standard comprises a total of eight sections.
The headings for each of these sections is as follows:
1. Scope
2. Normative reference
3. Terms and definitions
4. Quality management system
5. Management responsibility
6. Resource management
7. Product realization
8. Measurement, analysis and improvement
A key development will be a considerable reduction in the total number of standards. One of the
goals of the revisions is to consolidate information currently spread across 25 standards and
guidelines into a simpler structure of three new standards.
ISO 9000:2000 Quality Management Systems - Fundamentals and Vocabulary (Revision
of ISO 8402:1994 and ISO 9000-1:1994)
ISO 9001:2000 Quality Management Systems - Requirements (Revision of ISO
9001:1994, ISO 9002:1994 and ISO 9003:1994)
ISO 9004:2000 Quality Management Systems - Guidelines for Performance
Improvements (Revision of ISO 9004-1:1994, ISO 9004-2:1994; ISO 9004-3:1993; ISO
9004-4:1993 and ISO 9004-4:1993/Co.1:1994)
The revised version of EASA-Q is based on the requirements set out in ISO 9001:2000 and
addresses Sections 4 (Quality System) through 8 (Measurement, Analysis and Improvement).
Brian C. Merritt
QCS International
Preamble
The revised ISO 9000 standards are significantly different in structure to the ISO 9000:1994
edition and therefore this edition of EASA-Q:2000 is significantly different in layout.
The new guide is noticeably slimmer in volume than the last EASA-Q manual. This is mainly due
to the replacement of twenty documented procedures by six documented procedures in the new
ISO 9001:2000 upon which this guide is based. Despite the reduced volume of required
documentation, the scope of requirements of the new standard is in fact much broader.
For those who have a documented quality system based upon the EASA-Q/ISO 9002:1994
manual there is a matrix in Appendix A-07 indicating which parts of your quality documentation that
you may apply to the new requirements. Comprehensive guidelines are provided to help you
modify such documentation where appropriate, or to create documentation for those starting from
scratch.
Previous revisions to the ISO 9000 quality management system (QMS) standards have been
evolutionary insofar that the focus and structure of the documentation has remained essentially
the same for each edition.
ISO 9000:2000 represents a revolutionary change insofar that its focus is now on:
the business processes and
the measurement of those processes.
The new format is also designed to remove the perception of manufacturing bias from the
standard. This is intended to make it more compatible to non-manufacturing and non-technical
service businesses.
For the first time, there is a requirement for customer satisfaction measurement
(Section 8.2.1 of the new standard).
Because EASA-Q is now based on ISO 9001:2000, the generic quality manual is set up to address
each clause of the new standard and these are identified accordingly.
The first three requirements for the International Quality Management Standard ISO 9001:2000
are presented as follows:
1. Scope (of the actual ISO 9001:2000 standard)
2. Normative References
3. Terms and definitions
These are presented here to illustrate the strong focus on customer satisfaction and process
management of the revised standard as opposed to the focus on confidence in product
conformance and supplier capabilities contained in the ISO 9001:1994 version.
1.
1.1
Scope
General
ISO 9001:2000 specifies the requirements for a quality management system where an
organization needs:
a) To demonstrate its ability to provide consistent product that meets customer and
regulatory requirements.
b) To address customer satisfaction through the effective application of the system,
including processes for continual improvement and prevention of nonconformity.
NOTE: Monitoring of customer satisfaction as stated in (b) requires the evaluation of information
relating to customer perceptions of whether or not the organization has met the customer
requirements.
Permissible Exclusions
The organization may only exclude quality management system requirements that neither
affect the organization's ability, nor absolve it from its responsibility, to provide product that
meets customer and applicable regulatory requirements. These exclusions are limited to
those requirements within Section 7 (Product Realization) and explained in Sub-clause
5.5.5 (Quality Manual) of the International Standard. Exclusions may be due to the
following:
a) The nature of the organization's product.
b) Customer requirements.
c) Applicable regulatory requirements.
2.
Normative Reference
ISO 9000:2000 Quality Management Systems - Fundamentals and Vocabulary replaces
ISO 8402:1994 Quality Management and Quality Assurance - Vocabulary.
3.
Organization
Customer
Note 1. The term organization replaces the term supplier used in ISO 9001:1994, and
refers to the unit to which this International Standard applies. Also, the term supplier now
replaces the term subcontractor.
Note 2. Throughout the text of the International Standard, wherever the term product
occurs, it can also mean service.
4.
4.1
4.2.1
4.2.2
Quality Manual
Organizations must have a quality manual that includes a description of the quality
management system and identification of or reference to procedures. In addition, a
description of the sequence and interaction of the processes is to be included.
4.2.3
Control of Documents
Requirements for documents and data control have changed very little with several
exceptions. Document control procedures must now define a mechanism for the periodic
review and revision of documents. Also, there are now more specific requirements for
legibility, identification and revision control for quality system documentation.
4.2.4
Sections 4 through 8 form the actual requirements for compliance to ISO 9001:2000.
These are reflected in this new version of EASA-Q:2000 where they are presented as
example templates addressing each of the requirements of the International Standard ISO
9001:2000.
At the end of each section document there are Document references. The term SOP is
the acronym for Standard Operating Procedure. Examples of operating procedures are
provided in the EASA-Q appendices. It is at this SOP documentation level that some of the
documented procedures contained in the old version of the EASA-Q manual can be utilized.
A cross reference matrix is provided to assist you with this (see Appendix A-07). However,
any procedure documents considered for use in this manner must be carefully reviewed for
adequacy to the new requirements.
There are a total of six documented procedures that are essential for compliance to
ISO 9001:2000. These are indicated in the EASA-Q manual requirements by an asterisk (*). The
actual descriptions and ISO 9001:2000 clause references are provided below:
Activity description
Control of documents
Control of quality records
Internal audit
Control of nonconformity
Corrective action
Preventive action
Guidelines for compiling your quality documentation are contained in Appendices A-01 to A-05.
Appendix A-06 contains examples of the six mandatory documented procedures required for
compliance to ISO 9001:2000.
Appendix A-07 contains a cross reference table to identify which of the ISO 9001:1994 clauses
might be used to meet the ISO 9001:2000 requirements.
Appendix A-08 contains a selection of document formats that may help in setting up your quality
management system. The selection is based upon feedback from an EASA-Q user survey
conducted in 1999.
Quality Manual
For
XYZ Inc.
000 Any Avenue
Anytown, Anywhere
Tel:xxxxxxx
Fx:xxxxxxx
EASA-Q:2000 Quality Manual
Based on ISO 9001:2000
Originator
Approved by:
President
Revision date
MANUAL NUMBER
President
001
V.P. Marketing
002
Management Representative
003
Engineering Manager
004
Service Manager
005
006
Originator
Approved by:
President
Revision date
4.0
4.1
4.2
4.2.1
4.2.2
4.2.3
4.2.4
5.0
5.1
5.2
5.3
5.4
5.4.1
5.4.2
5.5
5.5.1
5.5.2
5.5.3
5.6
5.6.2
5.6.3
6.0
6.1
6.2
6.2.1
6.2.2
6.3
6.4
7.0
7.1
7.2
7.2.1
7.2.2
7.2.3
7.3
7.3.1
7.3.2
7.3.3
7.3.4
7.3.5
7.3.6
7.3.7
Originator
Approved by:
President
Title
Distribution
Content Revision Status Record
Introduction
Quality policy
Quality management system
General requirements
Documentation requirements
General
Quality manual
Control of documents
Control of quality records
Management responsibility
Management commitment
Customer focus
Quality policy
Planning
Quality objectives
Quality management system planning
Responsibility, authority and communication
Responsibility and authority
Management representative
Internal communication
Management review
Review input
Review output
Resource management
Provision of resources
Human resources
General
Competence, awareness and training
Infrastructure
Work environment
Product realization
Planning of product realization
Customer related processes
Determination of product related requirements
Review of product related requirements
Customer communication
Design and development
Design and development planning
Design and development inputs
Design and development outputs
Design and development review
Design and development verification
Design and development validation
Control of design and development changes
Revision
00
00
00
00
n/a
00
00
00
00
00
00
n/a
00
00
00
00
00
00
00
00
00
00
00
00
00
n/a
00
00
00
00
00
00
n/a
00
00
00
00
00
00
00
00
00
00
00
00
00
Revision date
Originator
Approved by:
President
Purchasing
Purchasing process
Purchasing information
Verification of purchased product
Production and service provision
Control of production and service provision
Validation of processes for production and service
provision
Identification and traceability
Customer property
Preservation of product
Control of monitoring and measuring devices
Measurement, analysis and improvement
General
Monitoring and measurement
Customer satisfaction
Internal audit
Monitoring and measurement of processes
Monitoring and measurement of product
Control of nonconforming product
Analysis of data
Improvement
Continual improvement
Corrective action
Preventive action
Revision date
00
00
00
00
00
00
00
00
00
00
00
n/a
00
00
00
00
00
00
00
00
00
00
00
00
Originator
Approved by:
President
Revision date
4.1
V.P. Engineering
Service Manager
Chief Inspector
General
(The organization) has established a quality management system that is documented,
implemented and maintained. The system is based upon the International Quality
Management Standard ISO 9001:2000. The system comprises:
The identification of the processes needed for the quality system and its
application throughout the organization.
A description of the sequence and interaction of these processes.
A description of the criteria and methods used to ensure that both operation and
control of these processes are effective.
A commitment to provide resources and information needed to ensure the
system's continuing suitability and effectiveness.
Methods to monitor, measure and analyze these processes.
Defined authorities and responsibilities to allow actions necessary to achieve
planned results and continual improvement of these processes.
4.2 Documentation
4.2.1 Content
The quality management system includes:
A documented quality policy and quality objectives.
Documented procedures required by the International Standard ISO 9001:2000.
Documents required by the organization to ensure the effective planning,
operation and control of its processes.
Quality records.
4.2.2 Quality Manual
The quality manual is a controlled document describing:
The scope of the quality management system.
The documented procedures necessary for the effective application of the quality
system.
Descriptions of the processes, their sequence and interaction used within the
organization.
4.2.3
Control of Documents
All documents used by the quality system are controlled. The control procedure defines:
Approval requirements prior to issue.
Methods used to review and update controlled documents as necessary
including re-approval where appropriate.
Identification of changes and current revision status.
Methods to ensure that relevant versions of documents are available at point of
use.
Identification and legibility requirements of documents.
Identification of externally provided documents and their control.
Methods to remove obsolete documents and, where stored for reference,
identified as to their intended use.
Originator
Approved by:
President
Revision date
Document references
SOP QS 3.0 Control of documents (See Appendix A-06)
SOP QS 4.0 Control of quality records (See Appendix A-06)
Document end
Originator
Approved by:
President
Revision date
MANAGEMENT RESPONSIBILITY
Distribution
President
V.P. Sales & Marketing
V.P. Finance
Plant Manager
Executive Assistant
Purchasing Manager
V.P. Engineering
Service Manager
Chief Inspector
General
(Organization's name) is committed to consistently provide products and services that
meet or exceed customer and applicable regulatory requirements and to enhance
customer satisfaction by conforming to the requirements of EASA-Q:2000. This quality
system is based on the International Quality Management Standard ISO 9001:2000.
Scope and Exclusions
Scope
This quality management system applies to all products and service processes
conducted at the following locations.
(Provide location addresses of headquarters and branch operations as applicable.)
Exclusions
The following ISO 9001:2000 requirements are excluded. These are not considered to
affect the organization's ability or responsibility to provide products and/or services that
fulfill customer and applicable regulatory requirements. The exclusions are identified by
their ISO 9001:2000 clause reference:
(Identify relevant ISO 9001:2000 clause and/or sub-clause references.)
5.1
Management Commitment
Management shall ensure that:
The importance of meeting customer, statutory and regulatory requirements is
effectively communicated to all members of the organization using the most
appropriate media.
The quality policy is established with quality objectives identified appropriate to
the organization's operations and perceived customer expectations.
Reviews of the quality system are conducted at scheduled intervals and the
results of reviews are recorded.
Management is committed to providing all resources necessary to maintain the
quality system, continually improve its effectiveness and suitability for meeting
the objectives of the organization.
5.2
Customer Focus
Customer requirements are determined and fulfilled to the complete satisfaction of the
customer.
5.3
Quality Policy
(The organization)'s policy is to meet or exceed customer requirements in a timely and
cost effective manner. To achieve this (the organization) will:
Meet the requirements of EASA-Q:2000.
Seek continual improvement in product and service quality.
Set quality objectives that are based on internal and external feedback and
review these for continuing suitability at regular intervals.
Maintain the highest levels of integrity in all relationships with customers and
suppliers.
Respect environmental and social interfaces with the local community.
Originator
Approved by:
President
Revision date
Page x of y
Revision 00
Ensure that all stakeholders are fully conversant with this policy and completely
understand their respective roles in upholding it.
Planning
Quality Objectives
Quality objectives are established for each department and/or function within the
organization. The objectives are developed from results of management reviews,
product and/or process performance results, and feedback from interested
parties.
The objectives are measurable and consistent with the organization's quality
policy.
Each department and/or function determines these objectives, their measurable
characteristics and the frequency of measurement.
The objectives are reviewed at regular intervals and the results recorded.
The objectives are revised when appropriate to meet continual improvement
requirements.
Quality objectives are communicated to all persons with defined responsibility
and translated into their individual and group activity contributions.
5.4.2
5.5
5.5.1
5.5.2
Management Representative
The (Function title) has been appointed as Management representative with the following
responsibilities and authorities:
Control of the quality system to ensure that the system's requirements are
established, implemented and maintained.
Reporting to executive management on the performance of the quality system
and any need for improvement.
Promotion of awareness of customer requirements throughout the organization.
Liaison with external parties on matters relating to the quality system.
5.5.3
Internal Communication
Effective communication is maintained throughout the organization regarding the
effectiveness of the quality system.
Revision date
Review Input
Input to management reviews include:
Audit results.
Customer feedback.
Process records.
Corrective and preventive action records.
Records of prior reviews.
Changes that may affect the system.
Recommendations for improvement from all sources.
5.6.3
Review Output
Outputs will comprise:
Actions and decisions to improve the quality management system and business
processes.
Product improvement decisions.
Identified additional resource requirements.
Document references
SOP MR 5.0 Objectives
SOP MR 6.0 Planning
SOP MR 7.0 Responsibilities, authorities and communication
SOP MR 9.0 Management Review
Originator
Approved by:
President
Revision date
RESOURCE MANAGEMENT
Distribution
President
V.P. Finance
Executive Assistant
V.P. Engineering
Service Manager
Chief Inspector
6.1
Provision of Resources
The resources needed to implement and maintain the quality system, continually improve
its effectiveness, and enhance customer satisfaction are provided by management.
6.2
6.2.1
Human Resources
General
All persons performing work affecting product and/or service quality are competent in
skills, education and experience. This is ensured through a comprehensive selection and
training process applied throughout the organization.
6.2.2
6.3
Infrastructure
Management is committed to the provision of:
Buildings, work areas and associated utilities.
Process and measuring/monitoring equipment.
Communication and transportation services to ensure effective workflow and
product and/or service conformity to requirements.
6.4.1
Work Environment
Workflow is organized for optimum performance and conformance to product
requirements.
Document references
SOP RM 2.0 Job descriptions
SOP RM 3.0 Training
SOP RM 4.0 Buildings and equipment maintenance
Originator
Approved by:
President
Revision date
7.1
PRODUCT REALIZATION
Distribution
President
V.P. Finance
Executive Assistant
V.P. Engineering
Service Manager
Chief Inspector
7.2.3
Customer Communication
Product information and/or changes to orders are effectively communicated to customers.
Customer feedback, including complaints, are recorded for Management Review input.
Originator
Approved by:
President
Revision date
7.3.3
7.3.4
7.3.5
7.3.6
Originator
Approved by:
President
Revision date
7.4 Purchasing
7.4.1 Purchasing Process
(The organization) ensures that all purchased products and services meet the
requirements specified on the purchase order and supporting documentation. The degree
to which these controls are applied is dependent upon the effect of the purchased product
or service on final product realization. Procurement is only authorized from approved
suppliers. Special authorization is required for procurement from other sources or to
substitute for originally specified products.
(The organization) evaluates its suppliers and purchases only from those that can meet
the organization's quality requirements. Quality performance of suppliers is continuously
monitored and performance data maintained as quality records. Appropriate criteria is
established for selection, evaluation and re-evaluation of suppliers and supplied products
and/or services.
7.4.6
Purchasing Information
Purchasing documentation completely describes the product and/or service requested.
This information includes where appropriate:
Dimensional measurement, type, model, serial number or drawing reference(s).
Application in final product realization or intended use.
Requirements for approval of product, procedures, processes and equipment.
Required qualification of personnel involved in the supply process.
Quality system requirements.
Required compliance to applicable regulatory requirements.
Agreed price.
Delivery requirements.
Notification of intent to verify at supplier's location.
Where appropriate, the adequacy of the specified purchased product and/or service is
evaluated prior to placing the order.
Purchase orders are approved by (enter title or function) prior to release to a supplier.
7.4.3
Originator
Approved by:
President
Revision date
7.5.3
7.5.4
Customer Property
Any product, material or document owned by a customer, while under (the organization's)
control, is identified and protected. Any loss, damage or other reason to render the
customer owned item unsuitable for use by (the organization) is reported to the customer
and recorded.
7.5.5
Preservation of Product
Product integrity is preserved using appropriate methods. These include:
Identification
Handling
Packaging
Storage
Protection
Revision date
Originator
Approved by:
President
Revision date
V.P. Engineering
Service Manager
Chief Inspector
8.1
General
Monitoring, measurement, analysis and improvement processes are planned to:
Demonstrate the conformity of the product or services.
Ensure conformity of the quality system.
Continually improve the effectiveness of the quality system.
Determine applicable methods, including statistical techniques, and the extent to
which they are applied.
8.2
8.2.1
8.2.2
Internal Audit
Internal audits are conducted at planned intervals to determine the effectiveness and
continuing suitability of the quality system. The audits are conducted with the following
characteristics:
Consideration for the status and importance of the areas and processes to be
audited.
Criteria, scope, frequency and methods to be used are defined and planned.
Auditors are adequately trained and do not audit their own activities.
Auditors are selected to ensure objectivity and impartiality of the audit process.
8.2.3
Monitoring of Processes
Appropriate methods, equipment and trained personnel are selected to ensure that
processes are monitored to ensure that planned results are achieved and maintained.
Where planned results are not achieved, appropriate corrective action is initiated.
8.2.4
Monitoring of Product
Products are not released until:
Key characteristics have been verified.
Records indicate authorized release.
Planned results are achieved unless specifically authorized in writing by a
customer.
8.3
Originator
Approved by:
President
Revision date
The nature of the nonconformity and corrective action(s) taken, including any
concessions, is recorded and maintained as a quality record.
8.4
Analysis of Data
Appropriate data is defined, collected and analyzed to ensure the effectiveness of the
quality system. This data comprises input from:
Customer satisfaction records.
Nonconformance records.
Trend analysis of processes.
Supplier performance records.
8.5 Improvement
8.5.1 Continual Improvement
The continual improvement of the effectiveness of the quality system is established
through the following activities:
Review of the quality policy and quality objectives.
Review of internal and external audit records.
Data analysis from sources identified in Clause 2.0 of this document.
Review of corrective and preventive action records.
Evaluation of employee suggestions.
Evaluation of customer needs and expectations.
8.5.2
Corrective Action
To prevent repetition of nonconformance, corrective actions are defined, developed and
applied. The corrective action taken is appropriate to the effect of the nonconformity to
which it applies. The procedure for corrective action includes:
Establishing the root cause of the nonconformity.
Determining the action necessary to correct the nonconformity.
Recording the action taken.
Reviewing the effectiveness of the action taken.
8.5.3
Preventive Action
Potential problems are identified and their occurrence prevented by acting pro-actively.
The procedure for preventive action includes:
Determining the root cause of potential nonconformity.
Developing preventive action plans.
Recording the result of actions taken.
Evaluation of the effectiveness of the preventive action taken.
Document references
SOP MA 2.0 Customer satisfaction monitoring
SOP MA 3.0 Internal auditing* (See Appendix A-06)
SOP MA 4.0 Monitoring of processes and product
SOP MA 5.0 Control of nonconforming product* (See Appendix A-06)
SOP MA 6.0 Analysis of data
SOP MA 7.0 Continual improvement
SOP MA 8.0 Corrective action* (See Appendix A-06)
Originator
Approved by:
President
Revision date
Originator
Approved by:
President
Revision date
President
V.P. Finance
Executive Assistant
V.P. Engineering
Service Manager
Chief Inspector
Never lose sight of the fact that your organization's quality manual must reflect what is
appropriate to your organization. Therefore only the functions in your organization that actually
need the relevant document should appear in this distribution list. The table is optional and
provided only as a suggested format.
You should insert appropriate function titles according to the needs of your organization. You do
not have to fill every cell in the header; you can add more if required and they don't need to be
the same for all sections.
Organization
Wherever you see the term Organization in a template you must replace it with the registered
name of your business.
Page and Revision Identification
Each page should be numbered. How you number them is up to the individual organization. The
template uses the format X of Y only as an example. Each section document set should have its
own number sequence. For example:
The Quality System comprises 'page 1 of 1.'
Management Responsibility comprises pages 1, 2, 3 of 3.
The reason the template pages are not numbered is simply that the compilation of your
organization's manual may result in more or fewer pages per section.
Revision identification is a requirement of document control and is indeed essential in order to
maintain control. The templates provide this information in the header block. The footer block
supports the revision number with a date of revision. The original issue date contained in the
footer block is not an essential requirement, but can prove to be handy for reference purposes.
Management Commitment
Top Management must now demonstrate commitment to the development and
improvement of the quality management system through:
Communication of the importance of meeting customer as well as
regulatory/legal requirements.
Establishing a Quality Policy and Quality Objectives.
Conducting management reviews.
Ensuring the availability of necessary resources.
What objective evidence is expected?
Here are some examples:
Managers must exhibit a thorough understanding of:
The organization's quality system requirements.
Customer focus.
The need to provide adequate resources to allow the quality system to function
correctly.
The intended results from objective setting.
The impact on the objectives from trend analyses results.
A familiarity with activities and processes that can lead to continual improvement
within the organization and in meeting customer expectations.
Customer Focus
Top management is required to ensure that customer requirements are determined in the
form of defined requirements for use within the organization. This requirement focuses on
the means by which the organization translates customer information into readable,
understandable information on an organizational level.
Every person involved in the process of meeting customer requirements must fully
understand what the customer's needs are and how their work influences the fulfillment
of those needs.
This can best be accomplished by developing a comprehensive training plan for every
function within the organization from executive to shop floor positions.
What objective evidence is expected?
Auditors will talk to employees to establish their understanding of customer requirements
and verify that documented instructions such as specifications, dimensions etc. are
provided in clear terminology.
5.3
Quality Policy
This requirement is now more specific. Top management must ensure that the quality
policy:
Is appropriate to the purpose of the organization.
Include a commitment to comply with requirements and continually improve the
effectiveness of the quality system.
Provides a framework for establishing and reviewing quality objectives.
Is communicated and understood at all levels of the organization.
Is reviewed for continuing suitability.
The organization's quality policy must be dynamic and not something cast in stone. The
policy should link up with stated objectives and describe how these objectives are
reviewed and improved upon.
Example for a typical service facility
XYZ Inc.s policy is to meet or exceed customer requirements in a timely and cost
effective manner. To achieve this we will:
Meet the requirements of the International Standard ISO 9001:2000. If the
system is registered with an accreditation agency this will be subject to regular
compliance audits.
Seek continual improvement in service quality. (A measurable characteristic.)
Set service quality objectives that are based on internal and external
feedback and review these for continuing suitability at regular intervals.
(Can be evaluated by regular review. Were the objectives met?)
Maintain the highest levels of integrity in all relationships with customers
and suppliers. (Can be evaluated from customer and/or supplier
complaints/compliments received and recorded.)
Management Representative
Specific duties of the management representative have been defined. In addition to the
existing requirements of the management representative the 2000 version of the
standard requires that the management representative:
Ensures that the processes of the quality management system are established,
implemented and maintained.
Reports to top management the quality management systems performance and
needs for improvement.
Promote awareness of customer requirements throughout the organization.
It is critically important that authority levels sufficient to perform the requirements of this
function are incorporated into the job description and visibly supported by top
management.
5.5.3
Internal Communication
Organizations must ensure internal communication between levels and functions within
the organization.
All communications must be clearly stated. In addition to process related
communications, bulletin boards, newsletters, and customized screensavers for
computers are all recommended methods for effective internal communications.
What objective evidence is expected?
Where documents are used to convey information they must be clearly worded.
Evidence of posted notices on bulletin boards and/or menu driven screen
displays on computer systems.
Evidence of adequate understanding of communications by employees.
5.5.4
5.5.5
Management Review
General
The description of the purpose of the management review has not changed from the
1994 version of the standard, but the requirements of management review activity have
been more clearly defined as follows:
5.5.6
Review Inputs
A management review must consist of, as a minimum, an evaluation and comparison of
inputs such as:
Audit reports.
Customer feedback.
Process reports and production conformance analysis.
The status of corrective and preventive actions.
Follow-up actions from earlier management reviews.
5.5.7
Review Outputs
The outputs from a management review shall include, as a minimum, any decisions and
actions related to:
Improvement of the effectiveness of the quality management system and its
processes.
Improvement of product related customer requirements.
Resource needs.
It is recommended that specific quality meetings be scheduled to address management
review activities rather than tacking on the topic to production meetings or general
meetings.
A formal record of the meeting activity and action planning resulting from the meeting
must be documented. As stated in Clause 5.3, a review of the organizations Quality
Policy and objectives shall be included in the management review meeting agenda.
Summary
The management review can be considered as the vehicle of control in the
ISO 9001:2000 QMS. Everything of significance should be evaluated by use of the review
process and records. The quality of this process and its records provides clear indication
of management effectiveness.
What objective evidence is expected?
Clear evidence of records that indicate the scheduling, content and results of the
management review process.
Provision of Resources
Resources fall into the following categories:
Human resources.
Infrastructure (buildings, equipment, utilities, transportation, software and
hardware allied to electronic data processing).
Work environment.
6.2
6.2.1
Human Resources
General Requirements
All persons performing work within the organization's processes are expected to be
competent on the basis of appropriate education, training and experience.
6.2.2
Verification of Competence
Each person receiving training shall be required to demonstrate the degree of
competence expected from receiving training. Evidence of demonstration may comprise,
where appropriate, written and oral examination and/or performance of specific tasks
under typical working conditions and witnessed by a suitably qualified supervisor/trainer
and the results recorded.
Acceptance standards shall be determined using a combination of input from appropriate
levels within the organization.
Where outside suppliers are utilized to provide training, the training package shall include
adequate means of establishing competence and records of both results and test
content.
A training matrix addressing all functions within the organization is a useful support tool.
This does not need to be overly detailed. The following simple matrix is provided as an
example.
Example Matrix for Training
PEOPLE
EXECUTIVE
MANAGERS
DEPARTMENT
MANAGERS
ADMINISTRATIVE
STAFF
PROCESS
EMPLOYEES
PRODUCT
ORIENTATION
QUALITY SYSTEM
AB
CB
CONTINUAL
IMPROVEMENT
AB
CB
CB
CUSTOMER
EXPECTATIONS
AB
COMPLAINTS
AND
NONCONFORMANCE
AB
CB
ROLE IN THE
QUALITY PROCESS
TOPIC
Infrastructure
The term 'infrastructure' refers to all resources other than 'human resources' required to
achieve and maintain product conformity to requirements. These may include:
Buildings (offices, workshops, test bays, shipping and warehouse spaces) and
their utilities.
Process equipment such as shop equipment, machine tools, lifting and
transporting equipment, software and hardware for logistic support.
Supporting services such as transport and communication services.
These infrastructure elements must be determined, managed and planned to provide
optimum conditions for the continuous meeting of product conformity to requirements.
What objective evidence is expected?
Equipment maintenance records.
Control procedures for transportation, communication and other support services
where considered appropriate.
Procedures for the selection of equipment and where appropriate, software
applied to the process.
6.4
Work Environment
Adequate spaces, lighting, cleanliness and safety are all elements of creating a suitable
work environment. Workflow effectiveness is affected by plant and office layout. Poor
design of workflow can mean delay, safety hazards and unnecessary production costs.
It is an established fact that a clean, orderly workspace results in lower operating costs
for the organization and higher productivity from its users.
If customers see a dirty, poorly laid out facility, it is understandable that they may question
the quality of the work performed in it!
What objective evidence is expected?
Clean and orderly work areas.
Logical and effective work flows.
High safety standards observed.
Converting the foregoing requirements into a simple, easy-to-follow plan will entail the
following activities:
Identify the activities, resources and equipment needed for each stage. For
example:
o What is the activity? (Describe what needs to happen at this stage)
o Who performs the activity? (Title, skills)
o What resources are needed? (Documents, communication devices, facilities)
o What equipment is needed? (Computers, telephones, fax machine, machine
tooling, test equipment etc.)
o What are the required inputs needed for each stage?
o What are the expected outcomes of the activity?
o How are the outputs converted to the 'input' for the next step?
As can be seen from the foregoing, considerable effort must go into the development of
process details for your organization.
What objective evidence is expected?
An easily understood description of the business process. As stated, graphic flow
charts are suggested as the simplest and clearest depiction of your
organization's processes. These, however, should be supported with references
to:
o Appropriate procedures, work instructions, documented drawings and
any other items essential to the relevant stages of the process.
o Stated quality objectives and requirements for the product.
o Relevant verification, inspect, test, validation and monitoring points
identified for each product.
o Records of status/compliance to verification, inspection/test, validation
and monitoring criteria.
7.2
7.2.1
7.2.2
7.2.3
Customer Communication
7.3.2
7.3.3
7.3.4
7.3.6
7.3.7
7.4
7.4.1
Purchasing
The Purchasing Process
The quality, reliability, availability and price of essential materials and/or products required
for your organization must be monitored and controlled to maintain optimum
effectiveness in product realization and customer satisfaction. Some criteria might
include:
Logistic capability, location and resources of the supplier.
Performance references from other users of the supplier.
Financial viability of the supplier. This is of special importance when in the
process of supplier selection.
Suppliers must be selected upon their ability to consistently meet your organization's
needs in product quality, reliability, availability and price. Criteria for selection, evaluation
and re-evaluation needs to be established.
Strong relationships with carefully selected suppliers should be developed. Opportunities
to develop such relationships can include:
The establishment of effective two-way communications at appropriate levels in
both organizations to allow rapid problem solving and avoid delays or disputes.
Monitoring supplier ability to consistently meet your requirements.
Developing joint strategies and mutual understanding of purchasing needs.
Sharing knowledge and encouraging cooperation in design of products.
Evaluation and recognition of quality performance of suppliers.
Purchasing Information
Adequate information must be communicated to a supplier to enable the supplier to fully
meet requirements. Some criteria considered to be essential comprises:
All pertinent dimensional and performance related characteristics.
Quantity, delivery and packaging requirements, and where appropriate:
o approval requirements for the product and the procedures, processes
and equipment needed to produce it.
o Qualifications of personnel associated with the supply of product.
o Quality management system requirements.
What objective evidence is expected?
Copies of purchase orders (hard copy or electronically stored records).
Records of standard purchasing requirements for frequently ordered products.
7.4.3
7.5
7.5.1
7.5.
Customer Property
Any property or asset (including intellectual property) owned by your customer must be
identified, protected and maintained as would any of the organization's property or asset.
Should any customer owned item become lost, damaged or otherwise become unsuitable
for use it must be recorded and reported to the customer.
What objective evidence is expected?
Clearly understood instructions regarding control of customer property.
Correctly identified customer property.
7.5.5.
ACTIVITY
RESPONSIBILITY
SOP REFERENCE
Order Entry
Inside Sales
SOP OE 001
Order Evaluation
Engineering
SOP EG 001
Order Approval
Accounting/Credit
SOP AC 001
Design
Engineering
SOP ED 001
Production Planning
Shop Scheduling
SOP SP 001
Production
Shop Management
Work Order
Final Testing
Shop Management
Work Order
Traffic/Warehouse
SOP WH 001
Billing
Accounting
SOP AR 001
ACTIVITY
RESPONSIBILITY
SOP REFERENCE
Shipper/Receiver
SOP SR 001
Initial inspect
Shipper/Receiver
SOP SR 002
Shop Scheduler
SOP SP 002
Technician
Work Order
Technician
Work Order
Remove windings
Winder
Work Order
Technician
Work Order
Winder
Work Order
Technician
Work Order
Technician
Work Order
Shipper/Receiver
SOP SR 003
Internal customer satisfaction should also be monitored. Internal customers are persons
within the organization who require various 'inputs from the previous person in the
process and who subsequently provide a 'product' to the next person or stage in the
process. Inefficiencies in this aspect of the organization's 'business process' inevitably
have an adverse effect on external customer satisfaction.
*Poor quality in these areas can seriously erode profitability.
Warning!
Some potential dangers to avoid are:
Overly zealous internal measurement can also be perceived as Management
Snoopervision.
Once your organization has determined what to measure and the data collection
methodologies, the procedures should be documented.
What objective evidence is expected?
Records of meaningful measurement applied to continual improvement
objectives
Evidence of active participation of personnel in determining measurable
characteristics
Records of internal customer surveys and application of their results to continual
improvement
8.2.2
Internal Audit
This form of measurement is critical in maintaining the benefits of using a quality
management system.
Auditing the new standard moves beyond simple compliance to requirements and the
Expected objective evidence passages included throughout these guidelines can be
used as a guide in compiling internal audit scope and content.
The internal audit should assess both strengths and weaknesses of the quality
management system and also evaluate the effectiveness of support activities within the
organization. In addition to documenting non-conformances, internal audit reporting
All levels of the organization will benefit from knowing and understanding the
financial impact of these and, perhaps more importantly, how all can play a role in
minimizing such costs.
Process effectiveness characteristics can include:
Timeliness (on time delivery).
Overall cycle time (production cycle time or from receipt of order to delivery are
both useful measurement areas).
Dependability (equipment unplanned downtime).
Conformance to requirements.
Production costs (see previous paragraphs).
Appropriate application of technology.
People skill levels.
What objective evidence is expected?
Records showing that the process is managed using identified measurement of
key characteristics.
Records indicating maximized 'up-time' for equipment.
Well trained personnel with high motivation to produce quality work.
8.2.4 Measurement and Monitoring of Product
8.2.4.1 General
Throughout the process of creating your product (product realization), measurements
need to be taken to ascertain that the process is working as intended and that product
conformance to requirements is maintained throughout the process.
Those of you who already have the earlier EASA-Q system or the 1994 ISO 9001 or
9002 quality system in place can adapt the inspection and test requirement activities
used in those systems to this section.
For those new to quality systems, the following considerations must be addressed:
Where in the process sequence is measurement needed to verify conformance.
What needs to be measured.(the characteristics to be measured at each point in
the process).
How measurement is applied. (what methodology and equipment is used to take
and record the measurement).
Who has the authority and responsibility to perform the measurements and
release the product to the next sequential stage in the process.
Additional considerations may include:
Which inspections and/or testing is required to be witnessed or performed by
regulatory or statutory authorities.
Where, when and how your organization intends to utilize qualified third parties to
perform:
o Testing.
o Inspections.
o Product verifications.
o Product validations.
What pre-qualification of materials, products, processes or persons is required.
How final inspection will confirm that all previous specified inspection and testing
has been completed and accepted.
What the outcomes of the measurement process are and how they are to be
recorded.
AS EVIDENCED BY THESE
CONDITIONS
(STANDARDS)
Format: Performance is
satisfactory when.
Corrective Action
Those of you that have either ISO 9001:1994, ISO 9002:1994 or the EASA-Q:1994
quality systems in place can directly utilize the procedures required for Sections 4.14 of
these programs.
For those who do not have any of the above systems in place, the definition of corrective
action is that which is applied to a nonconforming situation to prevent a recurrence of the
problem. A documented procedure defining the authorities, responsibilities of personnel
and the actions required to control corrective action is required.
Corrective action processes should include:
A definition of the root cause of the nonconformance(s).
Appropriate actions to avoid recurrence of the problem(s).
A record of the activity and results.
Sources of input to determining corrective action can include:
Customer complaints.
Nonconformance reports.
Management review output.
Internal audit reports.
Data analysis results.
Process measurements.
Self-assessment results.
Preventive Action
Spotting potential problems and implementing actions to prevent the problem from
happening contributes to a smooth running and efficient organization. Where feasible, a
small team of appropriate personnel should be assembled to routinely examine all
aspects of the organization's activities, analyze data and develop suitable preventive
action.
Potential sources of information may include:
Customer needs and expectations (awareness of changes in this area and
appropriate action can often result in gaining market share).
Market trend analysis.
Management review output.
Relevant quality system records.
Preventive actions with high financial impact or those with significant potential impact on
customer satisfaction should be included in the Management Review process.
Process Improvement
While small incremental improvement activities can be part of the routine operations,
breakthrough projects designed to achieve specific improvement objectives should be
planned.
EASA-Q:2000 Guidelines
APPENDIX A-06
TYPICAL OUTLINE OF A QUALITY PROCEDURE
Procedures are the second level of documentation. They describe activities typically at the
department level and their relationship to the company operations as a whole.
The ISO 9001:2000 International Standard contains six activities that need documented
procedures as a mandatory requirement:
1. Clause 4.2.3 Control of Documents
2. Clause 4.2.4 Control of Quality records
3. Clause 8.2.2 Internal Audit
4. Clause 8.3 Control of Nonconformity
5. Clause 8.5.2 Corrective Action
6. Clause 8.5.3 Preventive Action
Examples of each are contained in this guide.
As a guide, the following headers may be used
Responsibilities : Who (by job function) has responsibilities for specific tasks or
action.
Operating Procedure
QS 4.0
Distribution
President
V.P. Finance
Executive Assistant
Revision: 0
Issue Date: dd/mm/yy
Page x of y
V.P. Engineering
Service Manager
Chief Inspector
CONTROL OF DOCUMENTS
Purpose
To provide for a system and instructions, and to assign responsibilities and authorities for the
establishment, review, authorization, issue, distribution, and revisions of quality system
documentation.
Scope
The following document categories are covered by this procedure:
Quality manuals.
Standard operating procedures.
Work instructions.
Standards and other technical reference material.
Drawings, specifications, work orders, purchasing documents, test and
inspection forms, wiring diagrams and other documentation defining products or
services.
Quality plans.
Definitions
SOP - Standard Operating Procedure
WI - Work Instruction
HR - Historical References
Responsibilities
The Quality Manager
Has overall responsibility for the control of documents.
The Engineering Manager
Is responsible for identification and revision of all engineering drawings and specifications.
Documentation
Master list of controlled documents.
Procedure
Identification
All documents are identified by their title, code number, date of issue, revision level and issuing
authority.
Documents that originate from outside the organization are identified and their distribution is
controlled, as are internal documents.
Documents created and processed entirely electronically are identified in the same manner as
described.
Establishment of Initial Issues and Revisions
Anyone in the organization can identify a need for procedures, work instructions or additional
product related documents.
All personnel are encouraged to evaluate documents in use and suggest revisions to correct
errors or improve their effectiveness.
Originator:
Approved by
Date issued:
Operating Procedure
QS 4.0
Revision: 0
Issue Date: dd/mm/yy
Page x of y
Persons wishing to initiate a new document or revise an existing document may submit their
suggestions to their supervisor who may reject, revise or accept the draft proposal for forwarding
to the Quality Manager. The decision to approve the change and issue the new or revised
document lies with the Quality Manager.
Initial Issue
Prior to issue and release for use, documents are reviewed for accuracy, legibility, adequacy and
conformity to quality policies.
A document is considered formally issued when an authorized approval signature is placed on it
(or the master copy when multiples of the document are involved).
Electronically produced and processed documents have a hard copy approval and this copy is
filed as a 'master' document.
Revisions
Changes to documents are reviewed and approved by the same authority that approved the initial
document unless specifically designated otherwise.
Handwritten corrections are permitted only when signed and dated by an authorized person.
Revisions of documents are distributed to the same persons and locations as the original issues.
Revised documents are accompanied by a cover sheet attached, describing what has been
changed, and what has been added/deleted from the original. The cover also contains
instructions for the disposal of the superceded document. This procedure also applies where
electronically produced and processed documents are revised.
Distribution
The quality manual and operational procedures contain distribution lists. Where appropriate, other
documents may have distribution lists.
Each department has a complete set of quality documentation relevant to the function of the
department.
Pertinent documents are placed with the functions requiring their use or may accompany traveling
work orders.
Master List
A master list is maintained of all issued documents. As a minimum the list must indicate each
document's:
Title.
Identification number.
Date of issue.
Last revision level.
Distribution.
Historical/Archival documents
Obsolete documents that have been retained for reference, preservation of knowledge or legal
reasons are stamped HR - Archival - Reference only and kept separate from other documents.
Uncontrolled Distribution
Any document issued to outside parties or persons not affected by their content is stamped
Uncontrolled. This category of document is not followed up with revisions.
Originator:
Date issued:
Approved by
Operating Procedure
QS 4.0
Revision: 0
Issue Date: dd/mm/yy
Page x of y
No person who may manage, perform, or verify work directly affected by the document can
receive uncontrolled documents.
Distribution
President
V.P. Sales & Marketing
V.P. Engineering
V.P. Finance
Plant Manager
Service Manager
Executive Assistant
Purchasing Manager
Chief Inspector
CONTROL OF QUALITY RECORDS
Purpose
To provide for a system and instructions, and to assign responsibilities and authorities for the
establishment and storage of quality records.
Scope
This procedure applies to all records required by the quality management system.
Responsibilities
The Quality Manager
Has overall responsibility for the control of quality records.
Documentation
SOP QS 3.0 Control of documents.
Procedure
Identification
Records are identified to the product, person or event to which they pertain.
Records are dated and identify the person making the record.
Records are indexed or grouped to facilitate ease of retrieval.
Storage (Hard Copy)
Records are normally stored in the department in which they are established.
Records considered confidential are stored in cabinets fitted with appropriate security devices
and control.
Records are stored in clean, dry locations. Cabinets containing records are clearly labeled as to
their contents.
No records are allowed to be kept in private desk drawers, toolboxes or workbench shelving.
Storage (Electronic)
Storage of quality records on diskette, tape or CD is accepted where appropriate. Each diskette,
tape or CD is clearly labeled as to content.
Critical records have a duplicate that is stored in a secure off-site location.
Records considered confidential are stored in cabinets fitted with appropriate security devices
and control.
Originator:
Date issued:
Approved by
62
Operating Procedure
MA 3.0
Distribution
President
V.P. Finance
Executive Assistant
Revision: 0
Issue Date: dd/mm/yy
Page
V.P. Engineering
Service Manager
Chief Inspector
Approved by
63
Operating Procedure
MA 3.0
Revision: 0
Issue Date: dd/mm/yy
Page
Corrective Action
Upon receiving a noncompliance report, the department head investigates the root cause of the
problem, proposes a corrective action and an implementation date. The auditor team leader
reviews and approves the proposed corrective action.
On or immediately following the due date for implementation of the corrective action, the audit
team leader will verify that the action taken is effective in resolving the nonconformance. When
there is objective evidence that the action is effective, the nonconformance report is closed out
and committed to records. If more work is needed to correct the problem, a new follow-up date is
agreed upon.
Document end
Originator:
Date issued:
Approved by
64
Operating Procedure
MA 5.0
Distribution
President
V.P. Finance
Executive Assistant
Revision: 0
Issue Date: dd/mm/yy
Page
V.P. Engineering
Service Manager
Chief Inspector
CONTROL OF NONCONFORMITY
Purpose
To provide for a system and instructions, and to assign responsibilities and authorities for the
identification, documentation and disposition of nonconformance.
Scope
This procedure applies to all materials, components, sub-assemblies and finished product that
are subject to inspection and/or testing.
Responsibilities
The Quality Manager
Has overall responsibility for the control nonconformance.
Documentation
SOP QS 3.0 Control of documents
Nonconformance Report Form
Nonconformance Record
Procedure
Anyone can report a nonconformance to their immediate supervisor who will then assess the
problem. If the problem warrants a nonconformance report being made out, the report will be
written up, processed and entered into the record sheet.
When a product or material nonconformance is identified, it is identified with a red
NONCONFORMANCE tag or label. Where practical the defective product or material is moved to
a clearly identified QUARANTINE area.
Review and Disposition
Nonconforming product or material can be:
Reworked to meet specified requirements.
Accepted as-is.
Regraded for alternative use.
Scrapped.
The decision is determined by the Quality Manager. Other management may jointly determine the
disposition according to the nature of the nonconformity. The disposition is documented on the
nonconformance report. Where necessary or required by contract, the customer is contacted for
concession to accept the disposition.
Re-Inspection After Rework
Reworked products are inspected for compliance to original specifications. Regraded product or
material is clearly marked to identify their different status.
Close-Out of the Nonconformance Report.
Decisions to accept as-is, regrade or scrap allows the report to be closed out and filed. Where reinspection is required, the verification result and date is entered on the nonconformance report
which is then filed.
Identification
Records are identified to the product, person or event to which they pertain. Records are dated
and identify the person making the record. Records are indexed or grouped to facilitate ease of
retrieval.
Originator:
Date issued:
Approved by
65
Operating Procedure
MA 5.0
Revision: 0
Issue Date: dd/mm/yy
Page
Originator:
Date issued:
Approved by
Operating Procedure
MA 8.0
Distribution
President
V.P. Finance
Executive Assistant
Revision: 0
Issue Date: dd/mm/yy
Page
V.P. Engineering
Service Manager
Chief Inspector
Approved by
Operating Procedure
MA 8.0
Revision: 0
Issue Date: dd/mm/yy
Page
Originator:
Date issued:
Approved by
Operating Procedure
MA 9.0
Distribution
President
V.P. Finance
Executive Assistant
Revision: 0
Issue Date: dd/mm/yy
Page
V.P. Engineering
Service Manager
Chief Inspector
Approved by
Operating Procedure
MA 9.0
Revision: 0
Issue Date: dd/mm/yy
Page
Originator:
Date issued:
Approved by
ISO 9001:2000
7.3.5 Design and development verification
7.3.6 Design and development validation
7.3.7 Control of design and development changes
7.4 Purchasing
7.4.1 Purchasing process
7.4.2 Purchasing information
7.4.3 Verification of purchased product
7.5 Production and service provision
7.5.1 Control of production and service provision
7.5.2 Validation of production and service provision
processes
7.5.3 identification and traceability
7.5.4 Customer property
7.5.5 Preservation of product
7.6 Control of monitoring and measuring devices
8. Measurement, analysis and improvement
8.1 General
8.2 Monitoring and measurement
8.2.1 Customer satisfaction
8.2.2 Internal audit
8.2.3 Monitoring and measurement of processes
8.2.4 Monitoring and measuring of product
8.3 Control of nonconforming product
8.4 Analysis of data
8.5 Improvement
8.5.1 Continual improvement
8.5.2 Corrective action
8.5.3 Preventive action
ISO 9001:1994
4.4.7
4.4.8
4.4.9
4.6.2
4.6.3
4.6.4+4.10.2+4.10.3+4.10.4
4.9+4.10.3+4.15.6+4.19
4.9
4.8+4.10.5+4.12
4.7
4.15.2+4.15.3+4.15.4+4.15.5+
4.15.6
4.11.1+4.11.2
4.10+4.17+4.20.1
4.17
4.9+4.17+4.20.1
4.10.2+4.10.3+4.10.4+4.10.5+4.2
0.1
4.13.1+4.13.2
4.14.2+4.14.3+4.20
4.1.3
4.14.1+4.14.2
4.14.1+4.14.3
Responsibility and Authority: This is essentially the same as the 1994 requirement
4.1.2.
Management Representative: In addition to the requirements in the 1994 requirement
4.1.2.3, the ISO 9001:2000 requirement includes:
Report to top management on QMS performance and need for improvement.
Promote awareness of customer requirements throughout the organization.
5.5.2
General: The activities are more clearly stated requiring defined inputs and outputs.
5.6.2
Review Inputs: As a minimum, the review must evaluate and compare the following
input:
Audit reports.
Customer feedback.
Process and production conformance analyses.
Corrective and preventive actions status.
5.6.3
Review Outputs: As a minimum, outputs shall document any decisions and actions
related to:
Improvement of the effectiveness of the QMS and its processes.
Improvement of product related customer requirements.
Resource needs.
7.3.4
Design Review: Results and follow up actions stemming from design reviews must
now be recorded.
7.3.7
Control of Design Changes: The impact of design changes on constituent parts and
the delivered product must now be considered before the implementation of design
changes.
Sub-clause 7.4 Purchasing generally reinforces the ISO 9001:1994 requirements of subclauses:
4.6.2 Evaluation of subcontractors (addressed in the new standard under subclause 7.4.1)
4.6.3 Purchasing data (addressed in 7.4.2) and
4.6.4 Verification of purchased products (addressed in 7.4.3)
Control of Production and Service contains the requirement for identified processes
for release, delivery and, where appropriate, post-delivery activities.
The new standard elaborates the installation aspect of ISO 9001:1994.
7.5.2
7.5.3
Identification and Traceability reinforces the 4.8 clause requirements of the ISO
9001:1994 standard and includes the requirement to identify product status that was in
clause 4.12 of the 1994 standard.
7.5.4
Customer Property This expands the Clause 4.7 requirement of the ISO 9001:1994
standard to products and/or services provided by a customer for USE OR
INCORPORATION into the finished product. This now includes intellectual property
provided in confidence.
7.5.5
Preservation of Product reinforces and clarifies the Clause 4.15 of ISO 9001:1994.
Sub-clause 7.6 Control of Measuring and Monitoring Devices essentially reinforces Clause
4.11 of ISO 9001:1994 with the additional requirement for control of test software. Software used
for verification must be validated before use.
SECTION 8.0 MEASUREMENT, ANALYSIS & IMPROVEMENT
Whats New?
This element gathers requirements from ISO 9001:1994 clauses 4.1; 4.9; 4.10; 4.13;
4.14; 4.17 and 4.20. The most significant change is the requirement of a process to measure
customer satisfaction.
Sub-clause 8.1 General requires that an organization defines, plans and implements
measurement and monitoring systems to assure conformity of:
The quality management system.
The product.
Improvement.
Sub-clause 8.2 Monitoring and Measurement
8.2.1 Customer Satisfaction A process is required to obtain and monitor customer
satisfaction information and data.
8.2.2
Internal Audit Essentially these requirements remain the same as those in clause 4.17
of ISO 9001:1994.
8.2.3
8.2.4
Planning for Continual Improvement The new standard categorically defines that
improvement of the quality management system should be continual and facilitated
through the use of:
The quality policy and objectives.
Audit results.
Data analysis.
Corrective and preventive action.
Regular management reviews.
8.5.2
Corrective Action There are now MINIMUM requirements for procedures addressing
corrective action which must now include:
Identification of nonconformity (including customer complaints).
The root cause of the nonconformity.
Evaluating action to ensure that the nonconformity does not recur.
Determining and implementing the corrective action needed.
Recording the action taken.
Reviewing the corrective action taken for effectiveness.
8.5.3
Preventive Action There are now MINIMUM requirements for procedures addressing
preventive action which must now include:
Identification of potential nonconformity and their root cause.
Determining and ensuring the implementation of preventive action needed.
Recording the actions taken.
Reviewing the actions taken for effectiveness.
Page __ of __
Revision 00
Subcontractor
Product or Service
Quality Rating
Approved by
Quality Rating
A ISO registered
B Preferred
C Sole Supplier
D Restricted to 2nd
choice from
preferred
Originator:
Approved by:
EASA-Q:2000
SUPPLIER EVALUATION
To be completed by SUPPLIER
NAME:
FAX:
STREET:
TEL:
CITY:
PROVINCE/STATE:
POSTAL/ZIP:
TITLE:
TECHNICAL SUPPORT:
EXT#:
TITLE:
QUALITY SYSTEM:
EXT#:
TITLE:
DISTRIBUTOR ( )
SERVICE ( )
PRODUCT(S)/SERVICE PROVIDED:
NUMBER OF YEARS IN BUSINESS:
DO YOU HAVE A QUALITY SYSTEM IN PLACE?
YES ( )
NO ( )
YES ( )
NO ( )
-before
______
2. Are manufacturing, service, inspection and test procedures available at point of use?
______
______
EASA-Q:2000
NONCONFORMANCE:
1. Do you have a system of reporting and recording - Nonconformance?______
- Corrective Action?______
TRAINING
1. Are training records kept for all employees?______
2. Is training focused on quality improvement in manufacture and customer service?______
Thank you for completing this brief quality survey. Please return it to:
Insert your organization's contact and postal address
EASA-Q:2000
Registrar Selection
Part 1: Questionnaire
The following questions should be considered when selecting a Quality System Registrar.
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Part 2
Registrar Comparison Table
Did the registrar:
RATING ITEM
#1
Respond to your query promptly?
yes/no
Answer all questions to your satisfaction?
yes/no
Indicate experience in your type of business?
yes/no
Focus on your needs?
yes/no
Offer publication of your registrations?
yes/no
Quote a firm registration fee?
$
Advise you of additional costs?
$
Provide recourse if audit results challenged?
yes/no
Indicate the number of surveillance visits per year?
1 2
Demonstrate a respectful, supportive philosophy?
yes/no
Provide flexible scheduling?
yes/no
#2
yes/no
yes/no
yes/no
yes/no
yes/no
$
$
yes/no
1 2
yes/no
yes/no
#3
yes/no
yes/no
yes/no
yes/no
yes/no
$
$
yes/no
1 2
yes/no
yes/no
Summary
Once selected, your registrar and your organization will have a long term relationship (for
so long as you maintain your ISO registration).
Remember that your selected registrar becomes your Supplier of Registration Services and as
such should be treated like any other subcontractor, i.e.:
They become part of your Approved Subcontractor List.
Their performance should be measured against criteria which you decide upon.
They are subject to having nonconformances related to their performance just
like any other organization providing services or products to you, and can be
replaced if considered unsatisfactory.
EASA-Q:2000
SPECIMEN FORM LETTER ISO ADVISORY TO A SUPPLIER
Dear____________:
To further our commitment to customer satisfaction by developing an effective quality
management system for our organization, (Name your organization) has initiated a quality
process designed to meet the requirements of the International Standard Organizations
ISO 9001:2000 quality management system standard.
An ISO requirement is that our suppliers be evaluated and their performance monitored for
compliance to our defined requirements. As an initial step towards meeting our needs, we
respectfully ask you to complete the enclosed supplier evaluation form and return it to us as soon
as possible. You will be notified in due course of our specific quality requirements for the supply of
goods and/or services.
We have appointed (enter name of person and title) as our Management Representative to whom
all quality matters should be referred.
We look forward to our mutually beneficial relationship being enhanced by our decision to
implement ISO 9001:2000.
Sincerely,
NB: This letter should be addressed to the CEO of the supplier's organization and, where
applicable, to their Quality Manager.
NONCONFORMANCE RECORD
Page __ of __
Revision 00
NC #
Originator:
Approved by:
Description
Date Open
Date Closed
CAR ref.
Approved by
Shipper/Receiver
Shipper/Receiver
Mechanic
Shipper/Receiver
Shipper/Receiver
Shipper/Receiver
Shipper/Receiver
Shipper/Receiver
Shipper/Receiver
10
Shipper/Receiver
DATE
NONCONFORMANCE REPORT
Part/Item
Dept./Supplier
Qty. rejected
Part #
W.O.# / P.O.#
Serial #s
DESCRIPTION OF NONCONFORMANCE
Reported by:
DISPOSITION
Comments
Use as-is
Re-grade
Rework
Scrap
Other (specify)
Approved (Quality Manager)
Approved (Inspector)
Due date:
Re-inspected
Corrective action
Approved (Quality Manager)
CLOSE OUT
Inspector.
Inspection Report #
CAR #
Approved (Inspector)
Date:
Additional notes
Date:
Report #
DATE
Dept./Supplier:
Area / operation:
Originator:
Person responsible:
NONCONFORMING CONDITION
Reported by:
CORRECTIVE/PREVENTIVE ACTION
Approved (Inspector)
Due date:
Approved
Yes
No
Approved (Quality Manager)
FOLLOW UP
New due date:
Approved
Yes
No
Approved (Inspector)
Date:
Additional notes
Date:
Request #
IEEE 112 IEEE Standard Test Procedure for Polyphase Induction Motors and Generators.
IEEE 113 Test Procedures for DC Machines
IEEE 115 IEEE Guide: Test Procedures for Synchronous Machines.
IEEE 432 IEEE Guide for Insulation Maintenance for Rotating Electric Machinery (5 hp to less
than 10 000 hp).
IEEE 522 IEEE Guide for Testing Turn-To-Turn Insulation on Form-Wound Stator Coils for
Alternating-Current Rotating Electric Machines.
IEEE 792 IEEE Recommended Practice for the Evaluation of the Impulse Voltage Capability of
Insulation Systems for AC Electric Machinery Employing Form-Wound Stator Coils.
IEEE 841 IEEE Standard for Petroleum and Chemical IndustrySevere Duty Totally Enclosed
Fan-Cooled (TEFC) Squirrel-Cage Induction MotorsUp to and Including 370 KW (500 HP)
IEEE 1068 IEEE Recommended Practice for the Repair and Rewinding of Motors for the
Petroleum and Chemical Industry.
ISO 2953 Mechanical vibration -- Balancing machines -- Description and evaluation
ISO 10012-1 Quality assurance requirements for measuring equipment. International
Organization for Standardization. Geneva, Switzerland, 1992.
ISO 1940-1 Mechanical Vibration - Balance Quality Requirements of Rigid Rotors.
ISO 1940-2 Determination of Permissible Residual Unbalance.
ISO 10816-1 Mechanical Vibration - Evaluation of Machine Vibration by Measurements on NonRotating Parts - Part 1: General Requirements.
MIL Std 167-1 Mechanical Vibrations of Shipboard Equipment
NEMA MG 1 Motors and Generators.
NEMA MG 2 Safety Standard and Guide for Selection, Installation, and Use of Electric Motors
and Generators
NFPA 70B Recommended Practice for Electrical Equipment Maintenance
NFPA 70E Standard for Electrical Safety Requirements for Employee Workplaces.
29CFR1910.331 - .335 OSHA: Electrical Safety-Related Work Practices.
Appendix A-10
Repair, Test, and Inspection Plan for AC Squirrel Cage Motors
The procedures for AC motor repair are included as suggested and effective means of
providing a quality motor repair. They are by no means intended to cover every category of
electrical rotating machine, but rather to provide examples upon which to develop similar
process descriptions for any electrical apparatus. The procedures are, however, based on
actual and successful application of their contents. For those service centers which may have
well documented procedures already, it is acceptable to substitute those in this manual for
your own providing their content meets the ISO 9001-2000 requirements.
TEST & INSPECTION PLAN-AC
REPAIR, TEST & INSPECTION PLAN FOR
AC SQUIRREL CAGE MOTORS
INCOMING INSPECTION - PART I
UPON RECEIPT
CONTROL TASK
To establish the condition of the motor upon receipt at the service center and record its receipt.
RESPONSIBILITY
The Shipper/Receiver.
REASON FOR CONTROL
Careful examination of the motor immediately upon receipt provides safeguards for both the
service center and the customer. The inspection can reveal obvious damage, evidence of
transit damage, or missing parts such as connection box covers, lifting eyebolts, etc. Digital
photographs are an excellent, low-cost method of recording these situations.
The motor nameplate detail is recorded which, together with the customer detail, provides
positive identification and the preparation of a job card/service order set.
Recording this information prevents any potential dispute by allowing prompt detection of any
damage of which the customer may not be aware (e.g., damage in transit) and thus the
customer can be advised of this type of damage prior to repairs being started. This protects the
customer from unexpected additional repair cost.
MEASURING EQUIPMENT REQUIRED
No measuring is normally expected. A digital camera is recommended.
RECORDING DOCUMENT
(Specify document by description, form # etc.)
FREQUENCY
Every motor received for repair or servicing.
TEST SPECIFICATIONS
None applicable.
All motors shall be visibly inspected upon receipt. When necessary, photographs may
be taken to serve as records of damage, missing items or ancillary fittings.* Such
photographs may be taken using a digital camera.
1.1
1.2
The carrier driver and the customer shall be notified immediately of any
obvious damage noted upon receipt. The customer shall be notified of any
obviously missing parts.
Check motor shaft for freedom to turn, end play, shaft extension run out (see
ANSI/EASA AR100 for guidance) and damage. Record "As Found"
conditions.
2.1
2.2
Examine all leads and connections. Record condition and any special
configuration.
2.3
2.4
2.5
Carefully examine all parts as they are removed. Record the condition of all machined
surfaces. Where applicable, record coupling/pulley/gear position on the shaft. Mark the
shaft if practical also. Check fan security.
3.1
Measure and record "As Found" condition and dimensions of bearings and
housings. Record position of spring or wave washers, thrust direction and any
spacers within the bearing assemblies. Check and record any stator/rotor
interference (rubbing/scoring caused by bearing failure).
3.2
3.3
Check rotor for loose or broken bars (growler test). Check for damaged end
rings, etc. Record findings.
3.4
If the motor is not being rewound, all parts and windings shall be thoroughly
cleaned free of dirt, grit, grease and oil with appropriate cleaning agents. It is
important to remove all traces of cleaning agents and to ensure that all parts
are completely dry. Conduct megohmmeter, high-potential, surge and reduced
voltage three-phase balance tests on the stator.
Note: For a high-potential test, leads NOT being tested should be connected to
the motor frame.
3.5
If the motor windings are to be removed, conduct a core loss test prior to burn
out and removal of the old winding (EASA Tech Note 17 provides guidance).
3.6
If the motor windings are to be removed, carefully measure and record the coil
dimensions: inside nose-to-nose, core length and coil extensions. Cut off the
connection end of the winding and put aside for reference during connection of new
windings.
3.7
Prepare windings for removal from the core using a controlled heat oven. Do
not exceed a core temperature of 680oF
3.8
Remove old windings and clean out slots. Check for any raised, loose or
damaged laminations (EASA Tech Note 16 provides guidance).
3.9
Conduct a second Core Loss test. Record the result and compare with initial
reading. Any significant deterioration in values shall be corrected with
appropriate repair methods (EASA Tech Note 17 provides guidance).
IMPORTANT
Where new windings are required, these should be manufactured using suitable winding
equipment and using only new copper magnet wire of the correct dimension and dielectric
coating specification. Do not change the dimensions, specification or design without careful
consideration of possible effects on stray losses and winding resistance. Use a micrometer to
measure bare wire diameter, not a wire gauge.
To prevent duplicating an incorrect winding, compare the data taken to data on file (EASA
Winding Data CD for example), or calculate flux and current densities and compare with similar
machines.
EASA Tech Note 16 provides guidance on this and other related matters.
Replacement rotor bars and end rings must have the same resistance values as the originals.
After completion of coil winding, wedging and connecting, but before treatment, the
following tests shall be performed and the results recorded (refer to test criteria in
ANSI/EASA AR100).
a.
b.
c.
d.
Megohmmeter test.
High-potential test.
Surge comparison test.
Reduced voltage three-phase balance test.
On completion of the winding treatment and bake process, visually inspect the
windings for satisfactory coating quality (even coating, no runs or drips).
4.2
4.3
Collect any new parts (e.g., bearings etc.). Verify that the parts are the correct
replacements by comparing with the old parts or to manufacturer's assembly
drawings or specifications. Collect all components into the assembly area.
Ensure that adequate tooling and space exists to proceed with the assembly.
4.4
Check that all fitted surfaces are clean and free of nicks and burrs, and that there
is no varnish build up on the rotor surfaces.
4.5
At this stage, windings and internal surfaces may be painted with appropriate
paints and lacquers to improve the sealing and appearance.
ASSEMBLY
CONTROL TASK
To assemble the motor and prepare for final testing prior to returning the motor to the customer.
RESPONSIBILITY
Assembler/Mechanic.
REASON FOR CONTROL
Re-assembly of a motor after repair is an important stage in the process. Control at this point is
essential to ensure that all components are correct and fully functional so that the motor will
operate correctly and reliably when returned to service with the customer. This care in turn
prevents wasted time and allows delivery as promised by removing the possibility of rework
caused by poor repair or overlooked detail, thus benefiting both customer and the service
center.
MEASURING EQUIPMENT REQUIRED
Thermometer (to establish bearing temperature for installation), feeler gauges, dial indicator
RECORDING DOCUMENT
(Specify document by form #, description etc.)
FREQUENCY
Every motor serviced or repaired.
TEST SPECIFICATIONS
See ANSI/EASA AR100.
ASSEMBLY PROCEDURE
5.0
For motors with ball or roller bearings, gently heat the bearing inner races to a
maximum of 225oF using an approved service center method. Install the bearings with
identification numbers facing out. After the inner race has cooled, install remaining
bearing components.
5.1
Once assembled, pack the bearings with a high grade of grease to customer or
motor manufacturer specifications (generally 1/3 full).
Note: Lubricating oil for sleeve-type bearing assemblies is installed as a final step prior
to final test.
5.2
Check match marks on the motor frame and insert the rotor into the stator bore
ensuring that the drive end of the shaft is at the drive end of the motor frame.
5.3
Check end bracket and frame spigot (frame rabbet) surfaces and lightly lubricate
to facilitate installation. Check for dowel pins and align accordingly during
assembly.
5.4
5.5
Align inner bearing caps and install outer caps. Half fill each outer cap with the
same grease used to pack the bearings. Tighten bolts in a uniform manner to
prevent uneven stress on the bearings.
5.6
Check overall alignment by rotating the rotor by hand to ensure freedom from
rubbing or undue friction. Check and record sleeve bearing clearances.
Check and record shaft end play and run out (see ANSI/EASA AR100 for
guidance).
5.8
Make all lead connections secure and ensure that identification tags have been
attached (usually done by the winding dept.).
Note: Couplings, gears or pulleys should NOT be installed until after successful final
tests are completed on the motor. This saves time should the motor require
dismantling to correct a fault detected during the final test procedures.
FINAL TEST
CONTROL TASK
To inspect and no-load test run the repaired motor before returning the motor to the customer.
RESPONSIBILITY
Inspector/Tester.
REASON FOR CONTROL
The customer depends on the service center to provide a quality serviced motor which will
perform reliably and within the nameplate specifications. The no-load test is a key element used
to assess the motor after servicing and to determine that the above conditions are met. Careful
control of the no-load test and inspection ensures compliance to these requirements by
checking to see that the motor turns freely in its bearings without excessive friction or
overheating, that the dynamic balance is sufficient to contain vibration within acceptable limits,
that the speed is correct and that measured electrical parameters meet the given nameplate
ratings.
MEASURING EQUIPMENT REQUIRED
Megohmmeter, high-potential tester, volt/ohmmeter, ammeter, tachometer, wattmeter, vibration
measuring equipment, thermometer, dial indicator.
RECORDING DOCUMENT
(Specify document by form #, description etc.)
FREQUENCY
Every motor serviced or repaired.
TEST SPECIFICATIONS
See ANSI/EASA AR100.
Review all preceding test and inspection documentation to verify that all required test
and inspections have been completed. HOLD further testing until documents have
been cleared.
6.1
6.2
Note: All leads NOT being tested must be connected to the motor frame.
6.3
6.4
6.5
Measure and record winding resistance. Correct for temperature and compare to
commercial values or calculated values. For wound rotors, record open circuit
volts. (To run, short out rotor winding and operate as a squirrel cage motor.)
6.6
6.7
After completing all pre-running inspection and testing, follow safe practice
standards and connect the motor to suitable power leads for a no-load running
test.
6.8
6.9
After reaching rated voltage, monitor bearing temperature and vibration. Verify
that shaft-mounted blowers are moving air in the correct direction. For sleeve
bearings, check that the oil rings are free and that the lubricant is reaching the
bearing surfaces.
6.10 With the motor running no-load, at its rated voltage, measure and record the
following:
a.
b.
c.
d.
e.
f.
g.
6.11
1.0 RECEIPT
5.0 ASSEMBLY
PREPARE FOR
SHIPPING
SHIP
SYMBOLS
x
*
OPERATION STAGE
INSPECTION
Appendix A-11
Repair, Test, and Inspection Plan for DC Motors
Note:
The procedures for DC motor repair are included as suggested and effective means of
providing a quality motor repair. They are by no means intended to cover every category of
electrical rotating machine, but rather to provide examples upon which to develop similar
process descriptions for any electrical apparatus. The procedures are, however, based on
actual and successful application of their contents. For those service centers which may have
well documented procedures already, it is acceptable to substitute those in this manual for
your own providing their content meets the ISO 9001-2000 requirements.
TEST & INSPECTION PLAN-DC
REPAIR, TEST & INSPECTION PLAN FOR
DC MOTORS
INCOMING INSPECTION - PART I
UPON RECEIPT (Incoming Inspection for motor servicing)
CONTROL TASK
To establish the condition of the motor upon receipt at the service center and record its receipt.
RESPONSIBILITY
The Shipper/Receiver.
REASON FOR CONTROL
Careful examination of the motor immediately upon receipt provides safeguards for both the
service center and the customer. The inspection can reveal obvious damage, evidence of
transit damage, or missing parts such as connection box covers, lifting eyebolts etc. Digital
photographs are an excellent. low-cost method of recording these situations. The motor
nameplate detail is recorded which, together with the customer detail, provides positive
identification for the preparation of a job card/service order set. Recording this information
prevents any potential dispute by allowing prompt detection of any damage which the customer
may not be aware of (e.g., damage in transit) and thus the customer can be advised of this type
of damage prior to repairs being started. This protects the customer from unexpected additional
repair cost.
MEASURING EQUIPMENT REQUIRED
No measuring is normally expected. A digital camera is recommended.
RECORDING DOCUMENT
(Specify document by description, form # etc.)
FREQUENCY
Every motor received for repair or servicing.
TEST SPECIFICATIONS
None applicable.
All motors shall be visibly inspected upon receipt. When necessary, photographs may
be taken to serve as records of damage, missing items or attached fittings. Such
photographs may be taken using a digital camera.
1.1 In all instances, details of incoming condition shall be recorded in writing on
appropriate documents.
1.2 The carrier driver and the customer shall be notified immediately of any obvious
damage noted upon receipt. The customer shall be notified of any obviously
missing parts.
Check motor shaft for freedom to turn, end play and damage. Record "As
Found" conditions.
Apply megohmmeter tests to the windings (e.g., winding to ground, coil to coil).
See ANSI/EASA AR100.
Record the results.
Examine leads and connections. Record condition and any special
configuration.
Inspect brush rigging for cracks or other damage and check if the neutral
position is marked. If not, mark for reference in re-assembly.
Check and record air gaps.
Inspect commutator for loose bars or other damage.
Perform a continuity test on the field windings. Record the results.
Measure and record winding resistances.
2.2
2.3
Prior to running tests, check neutral setting. Record input volts at brushes and
output volts at A1 and A2.
2.4
During run test, check for sparking at the commutator; if severe, recheck
neutral and interpole polarity. Record armature voltage and current, and field
voltage and current at low speed. If safe to do so, record readings at high
speed, include tachometer reading and vibration levels.
Note:
Carefully examine all parts as they are removed. Record condition and any detail which
will ensure correct reassembly after repair.
3.1
Measure and record "As Found" dimensions and condition of bearings and
housings. Record positions of spring or wave washers, thrust direction and any
spacers within the bearing assembly.
3.2
3.3
3.4
If the motor is not being rewound, all parts and windings shall be thoroughly
cleaned free of dirt, grit, grease and oils with appropriate cleaning agents. It is
important to remove all traces of the cleaning agents and ensure that all parts
are properly dry. Volt drop test armature and DLRO test winding bar-to-bar.
Perform megohmmeter, high-potential and surge tests on the armature.
Perform megohmmeter, high-potential, surge, voltage drop test, polarity and
coil resistance on field windings. Record the results.
3.5
Armatures
After completion of winding/cleaning, baking, treating, turning, undercutting and
beveling processes, visually inspect the armature for cleanliness, coating quality and
commutator surface condition.
4.1
4.2
DC Field Coils
Before installation of the field poles, the field windings shall receive the
following tests:
a.
b.
c.
d.
e.
4.3
Conduct a polarity test to ensure that the polarity of each pole is opposite the
polarity of the poles on either side (North - South).
Perform a megohmmeter test as per ANSI/EASA AR100.
Perform a high-potential test as per ANSI/EASA AR100.
Note: If not all coils have been rewound, be sure to
use the reduced percentage multiplier.
Perform AC volt drop test and surge test on field coils.
ASSEMBLY
CONTROL TASK
To assemble the motor and prepare for final testing.
RESPONSIBILITY
Assembly mechanic.
REASON FOR CONTROL
Re-assembly of a motor after repair is an important stage in the process. Control at this point is
essential to ensure that all components are correct and fully functional so that the motor will
operate correctly and reliably when returned to service with the customer. This care, in turn,
prevents wasted time and allows delivery as promised by removing the possibility of rework
caused by poor repair or overlooked detail, thus benefiting both customer and the service
center.
MEASURING EQUIPMENT REQUIRED
Bearing heater, thermometer, dial indicator, steel rule, feeler gauges, spring gauge.
RECORDING DOCUMENT
(Specify document by form #, description etc.)
FREQUENCY
Every motor serviced or repaired.
TEST SPECIFICATIONS
See ANSI/EASA AR100.
ASSEMBLY PROCEDURE
5.0
Collect any new parts and verify that they are the correct replacements by comparing
with the old parts or to manufacturer's assembly drawings or specifications.
Collect all components into an assembly area. Ensure that adequate tooling and space
exists to proceed with the assembly.
5.1
Check that all fitted surfaces are clean and free of nicks and burrs, and that there
is no varnish build up on the pole faces of both armature and field coils.
5.2
At this stage, windings and internal surfaces can be painted with appropriate
lacquers or paint to improve sealing and appearance where required.
5.3
Install brush holder assembly. (Where assembly is adjustable, check the match
mark for neutral before installing.) Adjust the brush holders to provide the
maximum installation clearance over the commutator.
5.4
Check match marks on the motor frame and insert the armature into the frame
bore ensuring that the drive end of the shaft is at the drive end of the frame.
Protect the commutator from damage by wrapping with heavy paper.
5.5
For motors with ball or roller bearings, gently heat the bearing inner races to a
maximum 225oF using an approved service center method such as an induction
bearing heater. Install bearings with identification numbers facing out. After the
inner race has cooled, install remaining bearing components.
5.6
Once assembled, pack the bearings with a high grade grease to customer or
motor manufacturer's specifications (usually 1/3 full).
Note: Lubricating oil for sleeve type bearing assemblies is installed as a final
step prior to final testing.
5.7
Check end bracket and frame spigot surfaces and lightly lubricate to facilitate
installation. Check for dowel pins and align accordingly during assembly.
5.8
5.9
Align inner bearing caps and install outer caps. Half fill each outer cap with the
same grease used to pack the bearing. (See EASA Tech Note 19 for guidance.)
Tighten bolts in a uniform manner to prevent uneven stress on the bearing.
5.10 Check and record shaft end play. Check shaft extension run out and check
commutator run out (see ANSI/EASA AR100 for guidance).
5.11 Make all lead connections secure. Attach identification tags as required.
5.12 Adjust brush holders so that they are parallel with the commutator and have a
clearance of not more than 1/8" and not less than 3/32". Install brushes, checking
snugness and freedom to slide in their holders. Note: ensure all brushes are the
same grade.
FINAL TEST
CONTROL TASK
To inspect and no-load test run the motor and ensure that it performs to the required
specifications before returning it to the customer.
RESPONSIBILITY
The test technician (Supervisor or Quality Control inspector).
REASON FOR CONTROL
The customer depends on the service center to provide a quality serviced motor which will
perform reliably and within nameplate specifications. The no-load test is a key element used to
assess the motor after servicing and to determine that the above conditions have been met.
Careful control of the no-load test and inspection ensures compliance to these requirements by
checking to see that the motor turns freely in its bearings without excessive friction or
overheating, that the dynamic balance is sufficient to contain vibration within acceptable limits,
that the speed is correct and that measured electrical parameters meet the given nameplate
ratings.
MEASURING EQUIPMENT REQUIRED
Feeler gauges, dial indicator, megohmmeter, high-potential tester, voltmeter, ohmmeter,
tachometer, thermometer, vibration measurement device.
RECORDING DOCUMENT
(Specify document by form #, description etc.)
FREQUENCY
Every motor serviced or repaired.
TEST SPECIFICATIONS
See ANSI/EASA AR100.
Review all preceding test and inspection documentation to verify that all required test and
inspections have been completed. HOLD further testing until documents have been
cleared.
6.1
6.2
6.3
6.4
Check continuity and resistance of space heaters, RTD's and similar devices.
Energize space heaters and check for normal current flow.
6.5
Measure and record winding resistance, correct for temperature and compare with
commercial test values or calculated values.
6.6
Check that the armature and interpoles are connected to provide correct interpole
polarity.
Check that the assembly has been set to the correct neutral position. If required,
electrically reset neutral by using the DC kick neutral method or the AC induced
voltage method.
6.7
Measure and record air gaps. The air gap length on like poles must be equal.
6.8
After completing all pre-run inspection and testing, follow safe practice standards
and connect the motor to suitable power leads for a no-load run test.
Shunt or Compound Motors
Apply rated voltage to the field circuit and then from a separate source, slowly
increase armature voltage to rated voltage. Check for any signs of excessive
vibration or higher than normal currents.
6.10 With the motor running at its rated no-load speed, measure and record the
following:
a.
b.
c.
d.
e.
f.
g.
h.
i.
Armature voltage;
Armature current;
Field voltage;
Field current;
R.P.M.
End play;
Vibration amplitude in horizontal, vertical and axial directions;
Bearing temperature and ambient temperature;
For motors with dual speed operation (field weakening) repeat test
at maximum RPM.
Typical running time on test should not be less than one hour or
whatever is practical to allow bearing temperatures to settle. (See
Section 6.10 of TEST & INSPECTION PLAN-AC for more detailed
recommendations on run times.)
Note 2:
Note 3:
6.11
1.0 RECEIPT
ARMATURE
FIELD COILS
INSPECT COILS
3.5 COMMUTATOR
4.1 INSPECT
4.2 TEST
4.3 TEST
REASSEMBLE
ASSEMBLE
SHIP
Appendix A-12
Sample Process Control Procedures
PROCESS CONTROL
The main objective of having a documented process is to help eliminate the variations which can
creep into day-to-day work by providing standardized guidelines and procedures designed to
assist you in meeting customer expectations of reliability and quality. The basic intent is to identify
what is to be done, when and by whom.
The guidelines provide recommendations for procedures at each significant stage of the work
process which can help achieve the desired service quality level. While they have been compiled
from actual experience from a variety of sources, they, like anything else, can be improved upon.
Shipping personnel, under the supervision of the Service Center Foreman, shall ensure
that the items to be shipped are correctly identified, marked and recorded on the
appropriate documentation. This documentation would normally comprise as a
minimum:
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1.1
1.2
1.3
Packing slip;
Carrier documentation (if subcontracted transport);
Where applicable, special instructions for installing, and/or commissioning
the repaired motor;
Prominently displayed warnings (if applicable) to be attached to the motor
(e.g., no oil in bearings).
Securing the motor to a skid or frame to allow removal by forklift should the
customer's facility not be equipped with direct lift cranes.
Securing the shaft by "blocking" to prevent possible vibration damage to
bearings, especially if the delivery is over rough road surfaces (e.g.,
delivery to a construction or mining site).
Covering the motor with weatherproof material, or sealing blower vents etc.
Receiving personnel, under the supervision of the Service Center Foreman, shall
ensure that items and/or materials received are verified as matching specifications
and fitness for use. In addition, objective evidence that the material was produced to a
specific quality standard, or certification level documentation from an approved source
shall be required if the application of the received items is to a contract governed by a
recognized quality assurance standard. Where applicable, jurisdictional safety
regulatory documentation shall be required also (e.g., MSDS Material Safety Data
Sheet).
1.1
1.2
Where incoming materials are destined for specific jobs, they will be clearly
marked with the appropriate job number.
1.3
1.4
Any materials not fully conforming shall be held and, where applicable, placed
in suitable quarantine storage to await satisfactory disposition. Non-conforming
items shall be processed per procedures described.
1.5
Inspection upon receipt shall be applicable to, but not limited to, the following
material:
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Magnet Wire (verify wire size, varnish coating criteria, damage, length on
spool per label);
Anti-friction bearings (correct specification, exterior packing damage,
quantity etc.);
Insulating materials, preformed (correct specifications, quantity, size,
damage etc.);
Preformed coils (correct specifications, quantity, damage etc.);
Machined items (correct specifications, quantity, damage etc.);
Varnishes, paints, resins (correct specifications, safety and conformance
to jurisdictional requirements governing this type of product, quantity).
PERSONNEL
All persons performing varnish dipping shall be suitably trained and experienced in all
aspects of the process.
2.0
WORK AREAS
The dipping area shall be maintained in a clean and orderly condition at all times.
2.1
The varnish tank will be covered when not in use to prevent contamination of the
varnish.
2.2
The dipping area and tank shall be suitably equipped with approved fire equipment
and must fully comply with applicable fire regulations.
3.0
TOOLING
Suitable apparatus to lift and lower the work in and out of the varnish shall be maintained
in safe and efficient working order.
4.0
CONTROL
Preheat the stator to approximately 140oF (60oC).
Mask spigot fits and plug holes in the stator frame. Lower the stator (vertically wherever
possible) slowly into the varnish to allow varnish to displace air in the windings.
The stator should be fully immersed and allowed to stand until all signs of trapped air
escapement have ceased.
The work is then lifted clear of the varnish tank surface and allowed to drain completely.
Inspect the work for possible bare areas, poor varnish adhesion or other defects.
If required, repeat the dipping process as described, reversing stator (end to end) for
each additional dip.
* Special processes are activities such as welding, brazing, varnish dipping and VPI processes
whose results cannot be directly examined to establish full conformance. Verification of
conformance depends on evidence generated during the process.