QUESTIONNAIRE FOR SK INSPECTORS 2013 - estif.org fileITC/Hros – Project SK-Annex E: Questionnaire for SK Inspectors -- 10.2.2014 – Page 1 of 24 QUESTIONNAIRE FOR SK INSPECTORS

ITC/Hros – Project SK-Annex E: Questionnaire for SK Inspectors -- 10.2.2014 – Page 1 of 24

QUESTIONNAIRE FOR SK INSPECTORS – 2013 Table 1 – GENERAL DATA

Inspector’s name / nickname / code ETR

Questionnaire number / code ETR-1

I would like to be acquainted with all output documents of the project: YES

I would like to participate in the project (to attend the discussions, etc.): NO

Table 2 – ASSESMENT OF FPC ASPECTS ACCORDING TO ANNEX E

Annex E Aspect NC

2.1

General

The FPC shall be operated according to a documented quality system. The manufacturer shall establish, document and maintain the FPC system to ensure that the products placed on the market comply with the declared performance of the characteristics. The records must be kept at least for a period of 3 years. All quality documentation shall be kept up to date.

OK

2.2

Responsibility and authority

The responsibility, authority, and the interrelationships between all personnel who manage, perform, or verify work affecting quality or product conformity, shall be defined. This applies particularly to personnel who need the organizational freedom and authority to:

a) Identify procedures to demonstrate conformity of the product at appropriate stages b) Initiate action to prevent the use and production of non-conforming product

c) Identify and record any product quality problems or non-conformities

OK

2.3

Management and representative for the FPC

At every place of production, a representative with the appropriate knowledge and production experience shall be appointed by the manufacturer and given responsibility for managing and supervising of the FPC procedures and for ensuring that the requirements of this annex are implemented and maintained

OK

2.4

Quality and Objectives

Top management shall ensure that quality objectives regarding the production process are established at relevant functions and levels within the organization. The quality objectives shall be measurable.

At least one example of a quality objective could be to lower the number of non-conforming products from year to year.

OK

2.5

Management review

Management shall review at least every year the FPC system to ensure its continuing suitability, adequacy and effectiveness. Records of such reviews shall be maintained. The minimum input for management review shall be at least related to the conformity of the product and include the following:

a) Status of corrective and preventive actions b) Status of complains c) Follow up from previous management reviews d) Follow up of quality objectives e) Results of audits

OK

2.6

Training of personnel

The manufacturer shall establish and maintain procedures for the training (with a training plan and training records) of all personnel in activities affecting quality or product conformity.

Personnel performing work affecting product conformity shall be qualified on the basis of appropriate education, training and/or experience, as required.

OK


Annex E Aspect NC

3

Quality Documentation

The manufacturer’s documentation and procedures shall be relevant or appropriate to the production and process control used during manufacture of the product, and shall provide at least the following items:

a) Quality aims or policy, the organizational structure, responsibilities and authority of the management with regard to product conformity;

b) Procedures for specifying and verifying the raw materials and other constituent materials;

c) Manufacturer’s production control and other techniques, processes and systematic actions that will be used;

d) Inspections and tests to be carried out before, during and after manufacture, together with their frequency and possible retest procedures;

e) Procedures for handling, storage, packaging, marking and labelling the product; f) Procedures for all personnel to receive training in the activities affecting quality or

conformity of the product g) A procedure that will specify how non-complying products shall be dealt with. Any event

of this kind shall be recorded as they occur and these records shall be kept for the period defined in the manufacturer’s written procedures.

h) A procedure for corrective actions that instigates action to eliminate the cause of non-conformities in order to prevent recurrence.

i) A procedure shall be established to define the responsibilities and requirements for planning and conducting internal audits, establishing records and reporting results

j) The manufacturer shall have written procedures ensuring that processes related to affixing traceability codes and/or markings are inspected regularly.

OK

4.1

Inspection and testing - General

All necessary facilities, equipment and personnel shall be available to carry out the inspections and tests. The manufacturer may employ, under contract, a subcontractor who has the facilities, equipment and personnel to carry out the inspection and tests on behalf of the manufacturer. The manufacturer shall be responsible for control, calibration, and maintenance of testing, measuring, and inspection equipment, whether owned by or on loan to the manufacturer or a subcontractor.

Inspection and testing shall be performed by personnel qualified for such tasks on the basis of documented appropriate education, training and/or experience.

OK

4.2

Test equipment

Tests to demonstrate conformity of the finished product to the relevant product standard shall be performed using appropriate testing equipment and documented working instructions.

The test equipment shall be controlled regularly by calibration or verification following the manufacturer’s own instructions.

OK

4.3

Inspection and testing of raw materials and other constituent materials

The manufacturer shall ensure that raw materials and other constituent materials conform to his specified requirements. In determining the checks necessary consideration shall be given to the control exercised by the supplier and the documented evidence of conformity supplied (often referred to as supplier certified components or certified raw materials). There should be a proper traceability to the supplier’s documentation.

This table shows the minimum checks to be carried out on incoming goods. All checks and tests shall be recorded:

OK


Annex E Aspect NC

4.3

Material Method Requirement Frequency

Pipe

Visual check and documentation check

No damage Each delivery

Measurement Purchase specification: pipe dimensions within tolerance

Each delivery (1)

Absorber sheet

Visual inspection No damage

Each delivery

Document check

Purchase specification:

Parameters of optical characteristics (solar

absorbance and thermal emittance)

Absorber

Visual inspection No damage Each delivery

Document check




and proper connection between absorber sheet and

pipes (this may be a mechanical test also)

Pressure/leakage test shall be done

on 100% of absorbers- by

supplier or manufacturer.

Pipe grid


Document check

Purchase specification




Reflector material,

reflector shape (if the finished

reflector is delivered)

Document check or direct test for shape (eg: master

shape )

Purchase specification: Solar reflectance, shape

Each delivery (document check) or less frequency

if it is tested

Heat pipes

Test for check performance (may be done by heat pipe

manufacturer)

Purchase specification Variable

Glass tubes(assembly of absorber and

glass cover)

Specific test method Purchase specification Variable

Glazing

Measurement

Purchase specification: dimensions and optical

characteristics(solar transmittance) Each delivery (1)

Document check or direct test

If only a document check is done, then there must be a

special agreement to assure optical characteristics

OK


Annex E Aspect NC

4.3


Insulation

Visual Damage Each delivery

Document check Purchase specification:

density and thermal conductivity

Each delivery

Weight measurement

Manufacturer’s method

Each delivery (1)

Dimension measurement

Outgasing test (only for flat plate collectors)

Casing

Material of frame elements

Visual check

Purchase specification Each delivery (1) Measurement (verify

product is inside tolerance)

Material of rear panel

Visual check



Hydraulic connections

Visual Check

Measurement (verify product is inside

tolerance)

Purchase specification Each delivery (1)

Sealant Documentation and Visual check


1

4.4

Inspection and testing during manufacture and on finished product

In order to manufacture products which conform to the product standard the manufacturer shall control his process and perform inspection and tests as described in his manual, and complying at least with the following table.

OK


Annex E Aspect NC

4.4

Process Method Requirement Frequency

Cutting of pipe Measurement Manufacturer

specification for dimensions

At the beginning of each

production order (2)

Cutting of absorber sheet

Measurement Manufacturer


At the beginning of Each


Cutting of frames Measurement Manufacturer




Connection of pipe to absorber

Visual

Proper welding

Each absorber

(Recommended but not obligatory) mechanical test with manufacturer’s method

Manufacturer’s specification

Absorber Visual check No damage Each absorber

Reflector material Visual

No damage Each collector

Assembly Visual Proper assembly Each collector

Sealing Visual Proper sealing Each collector

Leakage Manufacturer method for pressure test

Manufacturer method Each collector

Release of each collector

Visual or manufacturer’s method


OK

4.3 & 4.4

Note 1: In this case, the frequency of checks may be decreased in result of reliability of the supplier (ISO 9001 certificate etc.) and history of deliveries (no complains, no non-conformities). In this case a written procedure shall exist, describing the rules for decreasing the frequency and return to full-check in case of non-conformities.

OK

4.5

Inspection and test records

The results of products inspection and testing shall be recorded

The record shall contain the product identification, the date and time of manufacture and for each property the test methods, the test results, the inspection result and the identification of the person carrying out the inspection.

OK

5

Actions in the case of non-conforming products

If the result of a test or the inspection of a product is a failure, the manufacturer shall immediately take the steps necessary to rectify the deficiency. Products which do not conform to the requirements of the product standard, shall be marked, isolated or controlled accordingly. When the deficiency has been identified and rectified, the test or inspection in question shall be repeated without delay accordingly to the quality documentation, to provide the evidence that the defects have been overcome. Corrective and preventive actions taken in case of non-conforming products shall be documented.

OK


Annex E Aspect NC

6

Handling, storage, packaging and marking of products

In accordance with the quality documentation the manufacturer shall:

a) Provide methods of handling that prevent damage or deterioration; b) Provide suitable storage areas or stock rooms or prevent damage or deterioration of the

product;

c) Control the packaging, storage and the marking processes

OK

7

Traceability of products

Individual collectors and their main components (if applicable) (cover sheet, absorber, insulation, reflector, polymer sealing and gaskets and heat pipes) shall be identifiable and traceable with regard to their production origin.

2

8

Internal audit

The organization shall conduct internal audits at planned intervals of at least once a year to determine whether the quality management system

a) Conforms to the quality documentation b) Is effectively implemented and maintained

In case of internal audit, an audit programme shall be planned, taking into consideration the status and importance of the processes and areas to be audited, as well as the results of previous audits. The audit criteria, scope, frequency and methods shall be defined. The selection of auditors and conduct of audits shall ensure objectivity and impartiality of the audit process. Auditors shall not audit their own work.

A document procedure shall be established to define the responsibilities and requirements for planning and conducting audits, establishing records and reporting results.

Records of the audits and their results shall be maintained.

The management responsible for the area being audited shall ensure that any necessary corrections and corrective actions are taken without undue delay to eliminate detected nonconformities and their causes.

Follow up activities shall include the verification of the actions taken and the reporting of verification results.

OK

Table 3 – DESCRIPTION OF NON-CONFORMITIES AND COMMENTS

Non conformities Comments

1 Regarding the insulation of the HS deposits: a) No periodic monitoring of injected polymer mass are presented. b) Contrary to the IT03 (Rev.2) polymer injection, it appears that you are operating at 21 ° C when the instruction given as working range 22 º C-25 º C.

A small company which grew up very fast. Production responsible has no time to check everything and forgot it.

2 There is no traceability procedure for the main raw materials for the production of the collectors and HS deposits.

A small company which grew up very fast. Production responsible has no time to check everything and didn’t introduce traceability because of lot of work.

///End of the questionnaire



Inspector’s name / nickname / code ST

Questionnaire number / code ST-1


I would like to participate in the project (to attend the discussions, etc.): NO


Annex E Aspect NC

2.1

General


OK

2.2



d) Identify procedures to demonstrate conformity of the product at appropriate stages e) Initiate action to prevent the use and production of non-conforming product

f) Identify and record any product quality problems or non-conformities

OK

2.3



OK

2.4




1

2.5

Management review


f) Status of corrective and preventive actions g) Status of complains h) Follow up from previous management reviews i) Follow up of quality objectives j) Results of audits

2

2.6




3


Annex E Aspect NC

3



k) Quality aims or policy, the organizational structure, responsibilities and authority of the management with regard to product conformity;

l) Procedures for specifying and verifying the raw materials and other constituent materials;

m) Manufacturer’s production control and other techniques, processes and systematic actions that will be used;

n) Inspections and tests to be carried out before, during and after manufacture, together with their frequency and possible retest procedures;

o) Procedures for handling, storage, packaging, marking and labelling the product; p) Procedures for all personnel to receive training in the activities affecting quality or

conformity of the product q) A procedure that will specify how non-complying products shall be dealt with. Any event


r) A procedure for corrective actions that instigates action to eliminate the cause of non-conformities in order to prevent recurrence.

s) A procedure shall be established to define the responsibilities and requirements for planning and conducting internal audits, establishing records and reporting results

t) The manufacturer shall have written procedures ensuring that processes related to affixing traceability codes and/or markings are inspected regularly.

4

4.1




OK

4.2

Test equipment



OK

4.3




OK


Annex E Aspect NC

4.3


Pipe




Each delivery (1)

Absorber sheet


Each delivery

Document check




Absorber


Document check









Pipe grid


Document check





Reflector material,




shape )



if it is tested

Heat pipes


manufacturer)



glass cover)


Glazing

Measurement






OK


Annex E Aspect NC

4.3


Insulation




Each delivery

Weight measurement


Each delivery (1)



Casing


Visual check




Visual check




Visual Check


tolerance)




OK

4.4



OK


Annex E Aspect NC

4.4
















Visual

Proper welding

Each absorber













OK

4.3 & 4.4


OK

4.5




5

5



OK


Annex E Aspect NC

6



d) Provide methods of handling that prevent damage or deterioration; e) Provide suitable storage areas or stock rooms or prevent damage or deterioration of the

product;

f) Control the packaging, storage and the marking processes

OK

7

Traceabilty of products


OK

8

Internal audit


c) Conforms to the quality documentation d) Is effectively implemented and maintained






6



1 2.4 There are no quality objectives documented A small company – it is primary for them to reach the lower number of non-conforming products. They consider it to be senseless to have to document objectives

2 2.5 There is no management review documented A small company – Management is directly involved in the production process. They pay attention to complaints, non conformities, corrective and preventive actions continuously.

3 2.6 There is no training procedure,plan and training record

A small company – staff is qualified, records relating to education and experience are kept. They don´t understand why training procedures and a plan should be drawing up .

4 3. Quality aims and a training plan are missing in the Quality Documentation

See comments above.

5 4.5 Not all of inspections are recorded. If inspections are recorded, time of manufacturing is missing.

Visual inspections are not recorded – they don´t consider it to be necessary, because in most of cases it is possible to solve non-conformity immediately – if not, the component/product is separated.

They don´t understand why time of manufacturing should be recorded – it is not necessary.

6 8. There is no evidence of internal audits taking place.

A small company - they have difficulties with internal audits. Who audits who?




Inspector’s name / nickname / code JHP

Questionnaire number / code 078/000032


I would like to participate in the project (to attend the discussions, etc.): YES


Annex E Aspect NC

2.1

General


OK

2.2



g) Identify procedures to demonstrate conformity of the product at appropriate stages h) Initiate action to prevent the use and production of non-conforming product

i) Identify and record any product quality problems or non-conformities

OK

2.3



OK

2.4




OK

2.5

Management review


k) Status of corrective and preventive actions l) Status of complains m) Follow up from previous management reviews n) Follow up of quality objectives o) Results of audits

OK

2.6




OK


Annex E Aspect NC

3



u) Quality aims or policy, the organizational structure, responsibilities and authority of the management with regard to product conformity;

v) Procedures for specifying and verifying the raw materials and other constituent materials;

w) Manufacturer’s production control and other techniques, processes and systematic actions that will be used;

x) Inspections and tests to be carried out before, during and after manufacture, together with their frequency and possible retest procedures;

y) Procedures for handling, storage, packaging, marking and labelling the product; z) Procedures for all personnel to receive training in the activities affecting quality or

conformity of the product aa) A procedure that will specify how non-complying products shall be dealt with. Any event


bb) A procedure for corrective actions that instigates action to eliminate the cause of non-conformities in order to prevent recurrence.

cc) A procedure shall be established to define the responsibilities and requirements for planning and conducting internal audits, establishing records and reporting results

dd) The manufacturer shall have written procedures ensuring that processes related to affixing traceability codes and/or markings are inspected regularly.

OK

4.1




OK

4.2

Test equipment



OK

4.3




1


Annex E Aspect NC

4.3


Pipe




Each delivery (1)

Absorber sheet


Each delivery

Document check




Absorber


Document check









Pipe grid


Document check





Reflector material,




shape )



if it is tested

Heat pipes


manufacturer)



glass cover)


Glazing

Measurement






1


Annex E Aspect NC

4.3


Insulation




Each delivery

Weight measurement


Each delivery (1)



Casing


Visual check




Visual check




Visual Check


tolerance)




1

4.4



1


Annex E Aspect NC

4.4
















Visual

Proper welding

Each absorber













1

4.3 & 4.4


OK

4.5




OK

5



OK


Annex E Aspect NC

6



g) Provide methods of handling that prevent damage or deterioration; h) Provide suitable storage areas or stock rooms or prevent damage or deterioration of the

product;

i) Control the packaging, storage and the marking processes

OK

7



2

8

Internal audit


e) Conforms to the quality documentation f) Is effectively implemented and maintained






OK



1 NC 4 Some of Incoming materials without evidence of controls carried on according D4.3 and D.4.4 (RP 78.01).

Lack of knowledge and training in product requirements.

2 NC 7 There is no evidence related to the traceability of Individual collectors and their main components (cover sheet, absorber, insulation, reflector, polymer sealing and gaskets and heat pipes).

Lack of knowledge about application of this requirement.




Inspector’s name / nickname / code JHP

Questionnaire number / code 078/000043




Annex E Aspect NC

2.1

General


OK

2.2



j) Identify procedures to demonstrate conformity of the product at appropriate stages k) Initiate action to prevent the use and production of non-conforming product

l) Identify and record any product quality problems or non-conformities

OK

2.3



OK

2.4




1

2.5

Management review


p) Status of corrective and preventive actions q) Status of complains r) Follow up from previous management reviews s) Follow up of quality objectives t) Results of audits

OK

2.6




2


Annex E Aspect NC

3



ee) Quality aims or policy, the organizational structure, responsibilities and authority of the management with regard to product conformity;

ff) Procedures for specifying and verifying the raw materials and other constituent materials;

gg) Manufacturer’s production control and other techniques, processes and systematic actions that will be used;

hh) Inspections and tests to be carried out before, during and after manufacture, together with their frequency and possible retest procedures;

ii) Procedures for handling, storage, packaging, marking and labelling the product; jj) Procedures for all personnel to receive training in the activities affecting quality or

conformity of the product kk) A procedure that will specify how non-complying products shall be dealt with. Any event


ll) A procedure for corrective actions that instigates action to eliminate the cause of non-conformities in order to prevent recurrence.

mm)A procedure shall be established to define the responsibilities and requirements for planning and conducting internal audits, establishing records and reporting results

nn) The manufacturer shall have written procedures ensuring that processes related to affixing traceability codes and/or markings are inspected regularly.

3

4.1




2

4.2

Test equipment



OK

4.3




4


Annex E Aspect NC

4.3


Pipe




Each delivery (1)

Absorber sheet


Each delivery

Document check




Absorber


Document check









Pipe grid


Document check





Reflector material,




shape )



if it is tested

Heat pipes


manufacturer)



glass cover)


Glazing

Measurement






4


Annex E Aspect NC

4.3


Insulation




Each delivery

Weight measurement


Each delivery (1)



Casing


Visual check




Visual check




Visual Check


tolerance)




4

4.4



OK


Annex E Aspect NC

4.4
















Visual

Proper welding

Each absorber













OK

4.3 & 4.4


OK

4.5




4

5



OK


Annex E Aspect NC

6



j) Provide methods of handling that prevent damage or deterioration; k) Provide suitable storage areas or stock rooms or prevent damage or deterioration of the

product;

l) Control the packaging, storage and the marking processes

5

7



OK

8

Internal audit


g) Conforms to the quality documentation h) Is effectively implemented and maintained






6



1 NC 2.4 There are no documented quality objectives A very small company without culture of quality system – luck of knowledge about how to define and follow objectives

2 NC 2.6 There is no evidence about definition of education, training and/or experience need to qualify personnel

A very small company – luck of knowledge about documentation of needs that people should achieve.

3 REMARK Production process procedure should be reviewed considering in a specifical way controls to be carried on according D4.3 and D.4.4 (RP 78.01).

Luck of knowledge and training in product requirements.

4 NC 4.3 Incoming materials without evidence of controls carried on according D4.3 and D.4.4 (RP 78.01).

Luck of knowledge and training in product requirements.

5 NC 6 No evidence of marking on collector according std rules.

Luck of knowledge of information and data to include in labels.


A very small company without culture of quality system – luck of knowledge about how to do internal audits (identified with management review).




Inspector’s name / nickname / code Uli Fritzsche

Questionnaire number / code UF-2



Table 2 – ASSESMENT OF FPC ASPECTS ACCORDING TO ANNEX E – Comments related to small manufacturer (< 1000 collectors per year) and where the management is directly involved into the production!

Annex E Aspect NC

2.1

General


OK

Applicable for all company sizes!

2.2



a) Identify procedures to demonstrate conformity of the product at appropriate stages b) Initiate action to prevent the use and production of non-conforming product

c) Identify and record any product quality problems or non-conformities

OK


2.3



OK


2.4




1

Difficult to implement in small factories; if they re-work the products, there’s no remaining non-conformity

2.5

Management review


a) Status of corrective and preventive actions b) Status of complains c) Follow up from previous management reviews d) Follow up of quality objectives e) Results of audits

2

Difficult to implement in small factories; it will be just a formal document without real benefit

2.6




3


Annex E Aspect NC

Possible to implement in an adequate way; so far not realized!

3



a) Quality aims or policy, the organizational structure, responsibilities and authority of the management with regard to product conformity;

b) Procedures for specifying and verifying the raw materials and other constituent materials;

c) Manufacturer’s production control and other techniques, processes and systematic actions that will be used;

d) Inspections and tests to be carried out before, during and after manufacture, together with their frequency and possible retest procedures;

e) Procedures for handling, storage, packaging, marking and labelling the product; f) Procedures for all personnel to receive training in the activities affecting quality or

conformity of the product g) A procedure that will specify how non-complying products shall be dealt with. Any event


h) A procedure for corrective actions that instigates action to eliminate the cause of non-conformities in order to prevent recurrence.

i) A procedure shall be established to define the responsibilities and requirements for planning and conducting internal audits, establishing records and reporting results

j) The manufacturer shall have written procedures ensuring that processes related to affixing traceability codes and/or markings are inspected regularly.

4

Red marked points not easy to explain and implement for small manufacturers

4.1




OK


4.2

Test equipment



OK


4.3




OK



Annex E Aspect NC

4.3


Pipe




Each delivery (1)

Absorber sheet


Each delivery

Document check




Absorber


Document check









Pipe grid


Document check





Reflector material,




shape )



if it is tested

Heat pipes


manufacturer)



glass cover)


Glazing

Measurement






OK


Annex E Aspect NC

4.3


Insulation




Each delivery

Weight measurement


Each delivery (1)



Casing


Visual check




Visual check




Visual Check


tolerance)




OK

4.4



OK



Annex E Aspect NC

4.4
















Visual

Proper welding

Each absorber













OK

4.3 & 4.4


OK

Difficult to implement (the written procedure) for small manufacturer; what about existing, but not recorded history? It is common practice to reduce the inspection frequency according to the history, but it is another thing to write down the rules. Usually in small factories, these frequencies will be defined by the management itself for every product/ part.

4.5




5

A lot of manufacturer are working only with negative record within their production. Sometimes, the record is only a signature on the part. For small productions, there’s no need to record every positive test and inspection.


Annex E Aspect NC

5



OK


6



a) Provide methods of handling that prevent damage or deterioration; b) Provide suitable storage areas or stock rooms or prevent damage or deterioration of the

product;

c) Control the packaging, storage and the marking processes

OK


7



OK

Difficult to implement for small productions. For them, it is (roughly) traceable via the delivery note and first in- first out process.

8

Internal audit


a) Conforms to the quality documentation b) Is effectively implemented and maintained






6

Difficult to realize for small productions, where the management is directly involved in the production. For these kind of productions, the management report as well as the internal audit may be combined into one short document. It’s not possible for them to document the procedure, but they could record their audit-work.



1 2.4 There are no quality objectives documented A small company – it is primary for them to reach the lower number of non-conforming products. They consider it to be senseless to have to document objectives

2 2.5 There is no management review documented A small company – Management is directly involved in the production process. They pay attention to complaints, non conformities, corrective and preventive actions continuously.

3 2.6 There is no training procedure,plan and training record

A small company – staff is qualified, records relating to education and experience are kept. They don´t


understand why training procedures and a plan should be drawing up .

4 3. Quality aims and a training plan are missing in the Quality Documentation

See comments above.

5 4.5 Not all of inspections are recorded. If inspections are recorded, time of manufacturing is missing.

Visual inspections are not recorded – they don´t consider it to be necessary, because in most of cases it is possible to solve non-conformity immediately – if not, the component/product is separated.

They don´t understand why time of manufacturing should be recorded – it is not necessary.


A small company - they have difficulties with internal audits. Who audits who?


Documents

QUESTIONNAIRE FOR SK INSPECTORS 2013 - estif.org fileITC/Hros – Project SK-Annex E: Questionnaire for SK Inspectors -- 10.2.2014 – Page 1 of 24 QUESTIONNAIRE FOR SK INSPECTORS