ASQC E2 96 Guide for Inspection Planning

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ANSI ASQC E2-1996

AMERICAN NATIONAL STANDARD

uide to Inspection Planning

AMERICAN SOCIETY FOR QUALITY CONTROL611 EAST WISCONSIN AVENUEMILWAUKEE WISCONSIN 53202



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MERIC N N TION L ST ND RD

uide to Inspection Planning

[Reaffirmationof ANSI/ASQCE2-1984]

Prepared byAmerican Society for Quality Control

Energy Division Standards Committee

An merican National Standard pproved on January 12 1996

Guide to Inspection Planning describes the significant elements that should be considered in the development of inspec-tion activities. The standard is intended to provide generic guidelines for a product/process inspection system.

merican National Standard An American National Standard implies a consensus of those substantially concerned withits scope and provisions. An American National Standard is intended as a guide to aid the manufacturer the consumer andthe general public. The existence of an American National Standard does not in any respect preclude anyone whether heor she has approved the standard or not from manufacturing marketing purchasing or using products processes orprocedure not conforming to the standard. American National Standards are subject to periodic review and users arecautioned to obtain the latest editions.

Caution Notice This American National Standard may be revised or withdrawn at any time. The procedures of he Amer-ican National Standards Institute require that action be taken to reaffirm revise or withdraw this standard no later than fiveyears from the date of publication. Purchasers of American National Standards may receive current information on allstandards by calling or writing the American National Standards Institute.



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©1996 by ASQCAll rights reserved. No p rt of this book may be reproduced in any fonn or by any means electronic mechanical.photo-copying recording or otherwise without the prior written pennission of the publisher.

ASQC Mission: To facilitate continuous improvementand increase customersatisfaction by identifying communicatingand promoting the use o quality principles concepts and technologies; and therebybe recognizedthroughout the worldas the leading authority on and champion for quality.

10 9 8 7 6 54 3 2 1

Printed in the United States of America

§ Printed on acid-free paper

Published byASQC611 East Wisconsin AvenueMilwaukee WKousin 53201



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ontents

Page

1.0 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

2.0 Applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

3.0 ] efmitions • •

4.0 Determination of Organizational ResponSibilitiesand Infonnation Sources s Bases of Inspection Planning . . 14.1 Responsibilities and Interface . . . • . . . . . . . . . . . . . . . . . . . . . . • . . . . . . . . . . • . . . . . . . . . . . . . 14.2 Information Accessibility . . . . . . • • . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

5.0 Planning for Inspection Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25.1 Files and Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . • • • • . . . . . . . . . . . . . . 2

5.2 Inspection Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25.3 Inspection Personnel • • . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25.4 Inspection Procedures • • • • • • • 35.5 Preplanning Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . • . . . . . . . . . 35.6 Scheduling and Revising Inspection Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

6.0 Contents of Inspection Plans • • • • • • • • • • • • • • • • • • 36.1 Identification • . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46.2 Inspection Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46.3 Characteristics . . . . . . . . . • . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . • . . . . . . 46.4 cceptance Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46.5 Inspection Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46.6 Extent of Inspection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6.7 Witness and Hold Points . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6.8 T e s t s

6.9 Special Processes . . . . . . • . . . . . . . . . . . . . . . . . . . . . . . . . . . • . . . . . . . . . . . . . . . . . . . . . . . . 56.10 Surveillance Inspection . . . . • . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6.11 Reporting Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6.12 Inspection Release . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

7.0 Other Related Functions . . . . . . . . . . • . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6



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oreword

(This Foreword is not part of the American National StandardANSJIASQC E2-1996 Guide to Inspection Planning.his standard was developed to provide guidance to industrial organizations in planning for and applying inspection to

construction, manufacturing, operating, or service fWtCtions.

The standard is presented in a typicalproject time sequence givingthe organizationalbasics, project inspection planningelements, and then details of planning for direct inspection. It s presented as guidance to be utilized as the applying organizations detennine to be most appropriate. As such it is not directly applicable to individual products or industries, butmust be tailored to each specific case. The primary objectiveof the standard is to assist in making the inspection planningprocess most efficient and thus contribute to better quality of items/servicesprovided and to better productivity.ANSJIASQC E2-1996 is a reaffirmation of ANSJIASQC E2-1984. The Energy Division Standards Committee of ASQCincluded the following personnel during preparation of the 1984 version of this standard:

Daniel Bounelis, Past Chairman-Argonne National Laboratory

R B. Glasscock- Washington Public Power Supply SystemW. R Kazor-Westinghouse -Water Reactor DivisionWilliam Kellerman-Bechtel Power CorporationD. L. Martin, Chairman-F M Technical Services Inc.

Robert Rinderman-Cleveland Electric IlluminatingB. E. Scanga Westinghouse-Nuclear Services Integration DivisionRobert E. Souder Vice Chairman-Floor Engineers Constructors Inc.Chase T. Springer-Commonwealth Associates Inc.D. A. Snyder-UNC Nuclear IndustriesS. L Cunningham, Writing GroupChairman-Westinghouse- Nuclear ServicesIntegration Division

Suggestions for improvement of this standard will be welcome. They should be sent to the standard's sponsor,American Society for Quality Control, c/o Standards Administrator, 611 East Wisconsin Avenue, MDwaukee, WI53202.

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Guide to Inspection Planning

LO SCOPE

This standard provides guidance for an inspection plan-ning system, identifies elementsof the inspection planningprocess, and includes a section whichpresents techniquesfor the preparation of inspection plans for specific tasks

and projects.

2.0 APPUCABILITY

This standard describes methods of planning for the in-spection of products and services. The inspection coveredby this planning activity includes that performed at sourceof supply, during receiving, storage, in-process, and atcompletion of work. The methods and techniques for in-spection planning described in this standard are applicableto manufacturing, construction/installation, and opera-tional activities.

he extent to which individual elements of this standardare applied can best be detennined by the user, consistentwith the intended end use, complexity o the item(s) andactivities inspected, and contractual requirements. Whereelements are contained as standard policy in a company squality assurance manual or related documents, they neednot be repeated.

3.0 DEFINITIONS

inspection planning: The function of evaluating and de-tennining inspection requirements, preparing for inspec-tion, and defining methods andmeans, including facilities,equipment. personnel,procedures, and plans, for fulfillingthose requirements.

inspection plan: A document identifying methods and se-quence for inspection including frequency of inspection,characteristics to be inspected. data to be recorded. tools,

facilities, and referencing or otherwise deftning accep-tance criteria. The plan identifies a system for identifyingand disposing of inspected items and activities. The in-spection plan may be referenced as an integral part of theprocess control plan.

inspector: A person who, through examination, mea-surement. or test. detennines confonnance of a productor service to preestablished requirements, and then

records or otherwise acts upon the decision of acceptanceor rejection.

N 1E: The inspectionperformed by the inspector maybe a veriftcati.on of checks made by personnel who per-formed the work activities on product 'services.

surveillance inspection: An overview of selected activi-ties as they are being performed to ascertainand verify con-formance to requirements, often with special emphasis onmaterials, processes, and processing parameters.

witness point: A notification point in a function or processsequence where notification of the inspector is requiredfor his or her option of observing or visually examining aspeciftc work operationor test Work may proceed beyonda witnesspoint with or withoutinspection action followingnotification to the inspection organization.

hold point: Hold points are mandatory veriftcati.on pointsidentified within the inspection plan beyond which workshould not proceed until mandatory veriftcation is performed, acceptance established, or written release grantedby the inspector.

4.0 DETERMINATION OF ORGANIZATIONALRESPONSmiUTIES AND INFORMATIONSOURCES AS BASES OF INSPECTIONPLANNING

This standard presents guidanceon inspection planning,based upon the existence within the organization of appro-priate management controls and resources, or a qualityassurance program. Inspectionplanning provisions shouldbe documented as part of the quality assurance program.These provisions may be included in a manual, in a proce-dure(s), or instruction(s), and should include assignmentof inspection planningresponsibilities.

4.1 Responsibilities and Interfaces

Responsibility within the organization for the inspectionplanning activity shouldbe established.As part of inspec-tion planning, responsibility for inspectionactivities andfunctions of supporting and interfacing organizationsshould alsobe determined.Typically, supporting and inter-focing organizations include manufacturing, engineering,





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5.4 Inspection Procedures

Inspectors may be provided detailed guidelines, checklists, instructions, or procedures when necessary to supplement the drawings, specifications, and other applicabledocuments.

5 5 Preplanning Considerations

For overall plan, as appropriate:

a. Detennine scope of tasks or project s).

b. Review functions of item s), uses, and expected lifetime, to determine significant characteristics. Reviewqualification data for items as one source of infonnation on significant characteristics.)

c. Consider manufacturing methods and process repeatability in developing an inspection plan.

d Select physical comparison standards or visual aids todisplay acceptance criteria when visual interpretationsmay be difficult to render consistently.

e. Obtain definitive clarification from the responsible organization when specification or drawing characteristics are open to interpretation.

f. Discuss product/service needs with customers.

g. Review inspection practices for similar producWservices by other organizations. Considermaking visits toreview pertinent details of the inspections.)

h. Consult with suppliers of inspection equipment to detennine most efficient means of meeting qualificationand calibration requirements of purchased equipment.

i. Evaluate information gained by inspection for product/service improvement, characterization of items,feedback to designer, reliability analyses, forwardingof results to customer, and problem solving/correctiveactions).

j. Determine the need for inspector training, priorto initiation of the plan, i f possible, especially for unique ornonstandard inspection techniques.

k. Confer with interfacing organizations to plan logisticsand flow of items for inspection. Determine need forsource, receiving, in-process, and final inspection.

1 Develop inspection methods for items concurrentlywith prototype or preproduction stage. f appropriate,develop physical standards or visual aids for use duringproduction inspection.

m. Review procurement,manufacturing, construction, ormaintenance schedule or plan to determine optimumpoints for the integrationof pertinent inspection. Consider flfSt-piece inspection to detect deficiencies earlyin cycle), witness points, or hold points.

n. Plan for application of surveillance inspection to inpucess operations and qualityassurancesystems onaperiodic, rotatiooal, statistical, oc random basis, as needed

o. Plan for reinspection of critical items or characteristicson a sampling basis to assess inspection repeatability.

p. Detennine requirements for inspection of items in storage, including their preservation, need for maintenance,shelf life, and maintenanceof identification/traceability.

q. Make arrangements for identification and control ofnonconforming items for example, segregation whereappropriate).

r. Provide for verificationof he acceptability of items foruse or installation, including reviewof appropriate datapackage or documentation.

s. Detennine final inspection acceptance requirements tobe performedprior to shipment or use.

5.6 Scheduling and Revising Inspection Plans

The inspection planning processshould include a mechanism for detennining the need for inspection plans and forinitiating the inspection plans. These should be developedin conjunction with themanufacturing/construction opera

tion process schedules.Also, as appropriate:a. Develop a schedule for preparation of specific inspec

tion plans for inspections to be perfonned at selectedpoints in process, at specified times during a project,and at times or cycles in opemtions).

b. Establish requirements for control of inspection plansand changes thereto, includingreview and approval requirements, distribution, andprovisionfor updating forexample, for designchanges and for improved inspection methods).

c. Provide for reinspection of customer-returned or non

conforming items as a means of evaluating the effectiveness of the inspection system. Initiate and incorpomte the necessary revisions to inspection plans.

6.0 CONTENTS OF INSPECTION PLANS

This section presents information and guidance on preparation of inspection plans for specifictasks and projects. Note



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that the complexityof he item(s) being impected may requirethe iOOividualwho is peparing the inspectionplan to wodcinclose coocdinationwith the designer to detmnine the signif-icant ciJaractemtics to be inspected The following m C variouselements that shouldbe used within the inspection plan.

6.1 IdentificationIdentify what is to be inspected in a manner to providefortraceability between the item, item identity, itemmanufacture/service operation, and inspection records.

-Name, part number, pmchase order number, serial number, model number, lot number, heat number

-Material, assembly, subassembly, componentidentifier

-Size, weight, color

-Process, operation, quantity/batch characteristics

-Matingparts, dimensions, etc.

-Quality records or certifications

-Inspector identification, date, and data requirements

Identify primary references of technical requirementsforitems and services such as drawings, specifications,andprocurement documents. Include the specific documentnumberand revision number or date of the document.Provision should be made for the inspector to enter the revision number or date on the inspection record In addition,supplemental reference documentsmay include

-Inspection criteria documents (required codes andstandards)

-Inspection procedures and instructions

-Manufacturing and worlc instructions and procedures

-Fabrication/flow schematics

--Operating(mstruction manuals

-Configuration information

6.2 Inspection Conditions

Indicate in the inspection plan inspection sequence and

timing, for example, concurrent with toolingchange, uponreceipt, after completion of an intermediate step, prior toshipping, or upon transfer to a new location. f timing iscritical, as when inspection is a • hold point, this shouldbe identified (see 6.7).

Identify special inspection conditions,such as proper lighting level and magnification limits for visual inspection,

4

conditionsof cleanliness, smface preparation, and temperature for the worlc piece.

Identify requirementsfor specially qualified personnel

Identify needed environmental conditions (temperature,humidity, cleanliness).

Identify physical limitations (clearances, access considerations) and any special handlingrequirements.

State requirements regardingremoval and replacement ofpacking, coating, or other protective material.

List requirements for lockingout or tagging items for personnel safety or to maintain the system/item in the accepted conditions.

6 3 llaracteRitics

Identify characteristics to be inspected. Where appropri

ate characteristics may be classified into categories, i.e.,critical, major, and minor. f conditional acceptance ispossible (due to tolerance allowance or other variable parameters), so identify.

Identify, as necessary, the number and location of datapoints and information to be recorded for each characteristic to be inspected.

6.4 Acceptance Criteria

Provide sufficient infonnation, directly or by reference, toenable the inspector to detennine i f he item or activity isconfonning or nonconforming. Acceptance criteria mayinclude dimensional tolerances, instrument readings, visual appearance,results of destructive testing on representative samples,and functional requirements. Physical standards that represent limits of acceptance are particularlyuseful in arriving at consistent boundaries of acceptanceand common understandingby interfacing groups (inspector, producer, designer, and customer).

· 6.5 Inspection Methods

Define methods for performing inspectionsuch as worlcpiece set-up directions, observation techniques, techniquesfor obtaining item attribute information, and methods forchecking fitor function.

Specify inspection equipment requirements(gages, meters,tools), including rangeaccuracy, and calibration requirements, as applicable.

Methods foc surveillance inspectionof processesare useful;foc example, ways to monitor special pucess parameters.



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A brief descriptive paragraph on items to be inspectedmaybe appropriate to provide the inspector with appreciationfor the significant chamcteristics.

The plan should indicate action to be taken for itemsfound not to meet acceptance criteria (physical separntion,

have items corrected, identify items as nonconfonning, asappropriate).

6.6 Extent of lnspectioo

Indicate how much inspection to apply to items:

a. None (process controls are adequate)

b. Sampling (stratified samples inspected intermittentlyverify continuingvalidity of initially establishedquality

c. Complete inspection (all items inspected whereprocesses are variable or for final inspection of criticalchamcteristics)

d combination of he above (all items inspected forcertain characteristics, but only selected sample items examined for other characteristics, based on end-itemrequirements and a known degree of process control

Sampling plans, when appropriate, should be specifiedin sufficient detail to provide requirements for sampleselection and disposition of the lot based on inspectionresults.

Sampling plans should be selected using the applicabledocument, or developed based on the criticality of theproduct, quantities involved, the risks involved, contractual requirements, and other similar factors. There are anumber of valid bases for statistical sampling which maybe used in developing a sampling plan.

6.7 Witness and Hold Points

Delineate witness points and hold points consistent withmanufacturing/construction/operation process flow sheetsand identify the organization which may perform the inspection. Include steps in process such as completion of

subassemblies, tests, special process performance, pointsin process where critical parameters are to be measuredand maintained, and points where further processing mayrender important characteristics uninspectable.

Requirements for review duringhold points by customerand other designated representatives should be determinedby review of contracts and technical specifications andincluded in the inspection plan.

6.8 Tests

Tests to be performed should be listed in the inspectionplan with reference to the test procedure. Testing frequency and stage in processing where item to be tested isselected shouldalso be considered

6 9 Special Processes

Identify requirements for the inspection of specialprocesses, such as cleaning, bending, welding, heattreating, and nondestructive examination. Identify requirements for inspector qualification and certification,i applicable.

Identify unique instructions and/or procedures of thespecial process clearly, including unusual conditions orconfigurations, sampling or testing requirements, andinformation to be recorded.

6.10 Surveillance Inspection

Surveillance inspection may be performed during fabrication, construction, storage, or in-service to verify adequacy of a supplier s inspection program or to determinethat the producer s quality verification activities are adequate.

The inspection plan may include a section defining techniquesfor surveillance inspection,and describingobseivationto be made of general conditions, including housekeeping/cleanliness, identification of parts and components,

exclusion of foreign materials, and notation of inspectionstatus of items. When special processes are in use, spotreviews shouldbe made to assess general conditions andoperations, including checks on qualification of equipment, personnel,process, and procedure.

Methodsfor verification of inspection results of characteristics, by alternate means, may be included (for example,rough check of steel classification by magnetic property;go-no go check of actual dimension .

Methods for obtaining spot samples for validation byalternate nondestructive or destructive evaluation maybe

included.

6.11 Reporting Results

Identify either an appropriate inspection reporting form orthe results to be documented (identification, inspectiondata, identityof inspector, and date of inspection). Inspection records should be identifiable to batch, lot, serial



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number, <X work order number. When data is to be taken,define the number of data points and specify the appropri-ate foonat for recording the data.

The Inspection Plan should provide for

-Obtaining and comparing inspection infonnation, dataand results to acceptance criteria. A decision should bereached with each inspection identifying whether or notcompliancewith acceptmce criteria has been ochieved. Thisacceptance/rejection decision should be recorded datedsignedor stunped and made avaiJable to interncting groups

-Ob taining written disposition f<X authorized organi7a-tions for example, a material review board for release ofnonconforming items and services

-Including in reports as-built information, i.e., requiredactual measmements, and providing them to the organi7a-tion responsible for configmation control

Provide inspection data including descriptions of anydefective items or services, on a timely basis to responsi-ble organizations as feedback to be used for trend analysis,design, or process improvement

6 .U InsPectionRelease

Provide for inspection release of tems or services at signif-icant stages. Controlled access storage should be provided

6

for important items when determined necessary. The in-spection release should ensure that all criteria required forrelease have been met, i.e., what items of nonconformancehave been dispositioned acceptable, what nonstandardprocesses have been used for repair, if any, and that rein-spection has been applied. For items to be shipped or services provided under contact, a certificate of conformancewith appropriate objective evidence) is often used as a

method for documenting release.

7.0 OTHER RELATED FUNCTIONS

Other inspection planning activities should be consideredas inspection of products/service progresses, and per-formed as necessary. Examples include

a. Prepared and provide summarized data to managementgroups for evaluation to enable efforts at improvement,such as trend analyses, reliability analyses, and problem solving/corrective actions.

b. Provide inspection data including descriptions of anydefective items or services, to responsible design orga-nizations as feedback.

c. Provide status of acceptance of products and services tointerested groups, such as plant managers or controllersgroups, for invoicing actions.



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ASQC E2 96 Guide for Inspection Planning