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Supplier Evaluation / QVR Assessment

Workbook Index
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Document Change Summary

Instructions

QVR / Supplier Evaluation Scoring

QVR Process Map

Cover (sheet)

Supplier Evaluation Summary

Quality

Delivery

Support & Technology

Cost

Print Review
Special Processes: AIAG
CQI-11 Plating System Assessment

CQI-9 Heat Treat System Assessment


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CQI-9 Instructions for Cover Sheet


CQI-9 Cover Sheet
CQI-9 Elements, Sec. 1-3
CQI-9 Job Audit, Sec. 4
CQI-9 Assessor's Qual. Reqs..
CQI-9 Process Table A
CQI-9 Process Table B
CQI-9 Process Table C
CQI-9 Process Table D
CQI-9 Process Table E

CQI-15 Welding System Assessment


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CQI-15 Cover Sheet Instrts


CQI-15 Cover Sheet
CQI-15 Elements Section 1 - 5
CQI-15Job Audit Section 6 Proc.
CQI-15 Arc Welding Table A
CQI-15 Resist.Welding Table B
CQI-15 Laser Welding Table C
CQI-15Solid State Weld. Table D

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CQI-11 Instructions for Cover


CQI-11 Cover Sheet
CQI-11 Sections 1 & 2 General
CQI-11 Sect. 3 ZN-ZN Alys. Eq.
CQI-11 Section 4-DECO Equip.
CQI-11 Section 5 Job Audit
CQI-11 Assessor's Quals.
CQI-11 Process Table A
CQI-11 Process Table B
CQI-11 Process Table C
CQI-11 Process Table D
CQI-11 Process Table E
CQI-11 Process Table F

CQI-17 Soldering System Assessment


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CQI-17 Cover Sheet Instrts.


CQI-17 Cover Sheet
CQI-17Sect. 1&2 - Gen. Overview
CQI-17 Section 3 - Equipment
CQI-17Section 4 - Job Audit
CQI-17Proc. Tab. A Paste Print.
CQI-17 Process Table B Insp.
CQI-17Proc. Tab. C Surface Mnt
CQI-17 Proc. Table D Reflow
CQI-17 Proc. Table E Glue Disp.
CQI-17 Proc. Table F Flux
CAI-17 Proc. Table G Pre-Heat
CQI-17 Proc.Table H Wave
CQI-17 Proc. Table I Fountain
CQI-17Proc. Tab.J Dip Soldering
CQI-17Proc Tab. K Select. Sold.
CQI-17Tab. L Auto Iron Solding
CQI-17Tab. M Man.l Iron Solder
CQI-17Tab. N Laser & Soft Beam
CQI-17 Tab. O Induction
CQI-17Tab. P Conform. Coat&Tst
CQI-17 Tab. Q PCB Seperation
CQI-17Tab. R In-circuit Testing
CQI-17 Tab. S Re-work

CQI-12 Coating System Assessment


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CQI-12 Cover Sheet Instrts.


CQI-12 Cover Sheet
CQI-12 Section 1 & 2 General
CQI-12 Job Audit
CQI-12 Assessor's Quals.
CQI-12 Process Table A
CQI-12 Process Table B
CQI-12 Process Table C
CQI-12 Process Table D
CQI-12 Process Table E
CQI-12 Process Table F
CQI-12 Process Table G
CQI-12 Process Table H
CQI-12 Process Table I
CQI-12 Process Table J

Supplier Evaluation (QVR) Change Summary (Rev. 6.0)


A. PROCESS MAP:
1
Changed to Input-Process-Output (IPO) type format. Provided additional clarity to a couple of steps of the process.
B. SUPPLIER ASSESSMENT WORKSHEET
1
Entire Supplier Evaluation is segregated into 4 key critical areas: Quality, Delivery, Support & Technology, and Cost .
2
Counter on the Supplier Evaluation Score Summary page that displays total non-conformances by severity: either Major or Minor.
ANY element scored less than "7" will FAIL the entire audit. Additionally, a collective (total) score below 70%
will also Fail the audit.
3
There are an areas findings sheet for each section. Any line item question that scores below 70% will automatically be displayed on
these findings sheets.
Deleted by Revision 5 dated July 15, 2010.
4
A button has been added to take you directly to the AIAG Special Processes worksheets. By clicking 'YES" on the "COVER PAGE" you
will be immediately forwarded to the desired Special Processes Worksheet. If your facility doesn't handle any "SPECIAL PROCESSES" then
you can depress the "NO" button on the "COVER PAGE" you will be asked to delete the corresponding worksheets, as they will not
be required. This also reduces the size of the Supplier Evaluation / QVR Worksheet.
5
Have added the ability to answer "YES" or "NO" to each of the questions. If you answer "YES", the ranking defaults to "7" in the score; if you
answer "NO", the ranking defaults to "6". This allows you to answer a specific question without influencing the rest of the sections.
NOTE: If the supplier has not satisfied any of the audit question, please label as "ZERO" (0), versus "NO".
6
You may also type in N/A for those areas that do not apply to this supplier. Notice that the "TOTAL POINTS POSSIBLE" will not change, so
as to not penalize the supplier.
7
A supplier should receive a score of 7 if they meet the minimum requirements of a question. However if the supplier excels in an area, you may
reward them with the score of 8, 9, or 10. Any score over 7 will not increase the points possible.
NOTE: Bonus points cannot improve any section over 100%.
C. COVER PAGE:
a.
Cover page altered to reflect areas of non-conformances (Quality, Delivery, Support & Technology, and Cost).
b.
Areas highlighted in "YELLOW" on the cover page and audit reports are the only cells that you may key information into.
Exceptions are in areas noted that may be overwritten as required. Example is 3d below.
c.
Have added area to show Corporate Addresses and phone numbers. The corporate area will autopopulate when you fill in the 'Manufacturing
Site' information. If the addresses are different, you still have the ability to overwrite the corresponding cells as needed.
d.
Bottom left hand corner displays whether or not a follow up audit will be required. This area is autopopulated, however may
be overwritten as needed.
D. PARAMETERS FOR WORKSHEET:
a.
Any finding with a ranking of less than 7 equates to a FAILED Supplier Evaluation / QVR Assessment.
b.
Supplier Evaluation totals below 70% equals a FAILED Supplier Evaluation / QVR Assessment.
c.
Any section / critical area as described above that falls below 70% equals a Failed Supplier Evaluation/QVR Assessment.
Revised to clarify language and responsibility (Process Map), and add Enviromental elements back in (omitted with Rel. 1.2)

Revised to add requirement for 'All applicable issues identified" to be resolved (closed) PRIOR to Sourcing on 'Instructions' and 'QVR Scoring Key' worksheets.

Supplier Evaluation (QVR) Overview


Purpose:
To evaluate a potential supplier's process and procedures for effectiveness and capability for
maintaining a high level of quality of potential purchased components.
The acronym 'QVR' stands "Quality, Value, Responsiveness", and is frequency used within
Remy to be synonymous with a 'Supplier Evaluation' or 'Potential Supplier Assessment'.
The potential supplier will be given a rating from the Remy Supplier Quality Engineer upon
completion of the assessment.
Application:
The Supplier Evaluation may be applicable whenever the project requires new suppliers and / or
new parts.
The Program Manager, Purchasing Commodity Manager, or Supplier Quality Manager shall
determine applicability for the specific supplier or component.
Instructions:
A general overview of the process is illustrated on the next worksheet of this file; reference
QVR Process Map
Prior to an on-site review, the responsible Remy Commodity Manager shall request the potential
supplier to complete a Supplier Self-Assessment survey (Appendix C), located on the Remy
Supplier web-page (http://www.remyinc.com/suppliers_manual.asp).
Note: For Remy internal use, refer to RCP-741 QVR Survey Letter.

Upon receipt of the completed survey, Remy key-stakeholders (Commodity Mgr., Supplier
Quality, Program Mgr.) will review the information provided and determine whether to proceed
with an on-site evaluation. If so, the supplier will be contacted by Remy to coordinate an on-site
verification of the supplier's capabilities.
The Cover page and QVR Survey are to be completed by Supplier Quality Engineer (or
delegate). The cover summarizes the results of the QVR process audit for the specific supplier
and part on the given date. The Survey provides the detailed assessment criteria for rating.
NOTE: ALL applicable issues identified (i.e. scores <7) MUST be resolved prior to Sourcing.
The Print Review Process may be utilized, at the discretion of the Supplier Quality Engineer and
PDRE, when part prints (part numbers) for a given potential supplier are known at the time of the
on-site assessment. This process may also be utilized at other times during the development
process.
The results of the QVR Review will be maintained by the Supplier Quality Department (within the
Remy PPAP Tracking System application). A non-controlled copy of the cover page may be
filed in the program folder to provide program documentation.
Process Owner:
Supplier Quality Department

Remy Inc.

This document has been reviewed and approved by authorized personnel.


Approval date and name are recorded electronically in the document control system.
The electronic version is the only controlled copy.

Rev. Level 3.5


RCP-740

SUPPLIER EVALUATION SCORING GUIDELINES

Score

Supplier is not familiar with the requirements of the element and has no relevant source documentation (flow
charts, forecasts, plans, procedures, strategies, etc.) in this area.

Supplier is familiar with the requirements of the element, but there is no evidence of source documentation,
planning, or implementation.

Supplier is familiar with the requirements of the element, and has preliminary source documentation with
incomplete plans for implementation.

Source documentation is available. Implementation (with assigned responsibilities) has just started, (0-30%
complete).

Source documentation is available and implementation is in progress (30-60% complete). Deficiencies have
been identified but improvements are not quantifiable.

Implementation has progressed (60-80% complete) and there is preliminary evidence of relevant results.

Implementation is nearly complete (80-95% complete) and documented evidence of implementation


effectiveness exists.

Full implementation of source documentation for the requirement and complete confirmed evidence of
implementation effectiveness. The supplier has met minimum requirements.

Analysis of results and on-going continuous improvement can be demonstrated in key areas linked to
customer satisfaction.

Supplier has reached world class performance and is able to show growth beyond ISO-9000and TS16949
requirements and continuous improvement in all areas.

Supplier is "best-in-class" and is able to demonstrate significant innovation in new ways to show relevant
results beyond the customer requirements. The supplier set the industry benchmark.

10

Supplier Evaluation Audit - Release 1.2

APPROVAL STATUS:

NOT APPROVED

Score:

Fail

Individual Section Performance


FAIL
QUALITY
FAIL
DELIVERY
FAIL
SUPPORT & TECH.
FAIL
COST
COMPLETE
WORKSHEET AS
SPECIAL PROCESSES
REQUIRED

Date Completed:

Supplier Information
MANUFACTURING SITE

CORPORATE SITE

Supplier's Name:

Corporate Headquarters:

Street Address:

Address:

City, State:

City, State:

Zip code (or Mail Code):

Zip code (or Mail Code):

Country:

Country:

Telephone #:

Corp. E-mail Address

Fax:

SCAR Primary Contact Name

Commodity and/or

Phone and Fax #

Service Provided:

Email Address
PPAP Primary Contact Name
Phone and Fax #

SPECIAL PROCESSES (REF. AIAG GUIDELINES)


Click Yes or No in Box
Provided
YES

NO

YES

NO

YES

NO

Welding Services Provided [YES / NO]

YES

NO

Soldering Services Provided [YES / NO]

YES

NO

CQI-9 Heat Treat-SP1

Heat Treat Services Provided [YES / NO]

CQI-11 Plating - SP2

Plating Services Provided [YES / NO]

CQI-12 Coating - SP3

Coating Services Provided [YES / NO]

CQI-15 Welding - SP4

CQI-17 Soldering - SP5

Email Address

Key personnel completing this survey:


Name:

SUPPLIER REPRESENTATIVES:
Title

Expiration Date:

ISO/TS16949
ISO14000

Registrar

Other (identify)

Certification Body

Follow-up Audit Required?

REMY REPRESENTATIVES:
Title

ISO 9001:2000

Does this location have a quality system certification?


Certificate Number

Name:

Person responsible for audit corrective actions:

Survey corrective action due date:

YES
NOTE: ALL "open" issues identified
MUST be resolved PRIOR to Sourcing.

The results of this audit have been explained to the supplier to the extent that expectations are understood.
Remy Representative Signature

Supplier Evaluation Audit - Rel. 5.0

Supplier Representative Signature

Release date: 19-July-2010

41%
10%
24%
25%

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

NOTE: Only areas in dull yellow are editable


Cover Page

Total Points
Possible for a
REQUIREMENT CATEGORIES
World Class
Supplier

Index Page

Q-11
Q-12
Q-13

Quality System Capability


Internal Audit
Corrective &
Preventative action system
APQP
PPAP
Document Control System
Training Records
Final Inspection
Process Control
Nonconforming Material Control
Control of Inspection, Measuring,
and Test Equipment (IMTE)
Supplier Control
Control of Supplied Material

D-1
D-2

Dock Storage, Material Handling,


and Packaging
Material ID and Traceability

Quality

Q-1
Q-2

Delivery

0.00%

MinorSum
s

SCORE

30
50

M
M

0
0

FAIL
FAIL

1
2

2
3

30
30
40
30
40
60
60
30

M
M
M
M
M
M
M
M

0
0
0
0
0
0
0
0

FAIL
FAIL
FAIL
FAIL
FAIL
FAIL
FAIL
FAIL

1
1
2
1
1
2
2
2

2
2
2
2
3
4
4
1

50
40
20

M
M
M

0
0
0

FAIL
FAIL
FAIL

2
2
1

3
2
1

100
30

M
M

0
0

FAIL
FAIL

2
3

8
0

FAIL

FAIL

FAIL

Support &
Technology

RED

Major
Sums

S-1

Process/ Tool/ Die/ Jig/


Fixture/ Part Design Control

30

S-2

Technical Capability

110

S-3

Housekeeping

40

S-4

Facility Security- All Required

40

FAIL

0.00%

S-5

Information systems

80

FAIL

Cost

0.00%

Q-3
Q-4
Q-5
Q-6
Q-7
Q-8
Q-9
Q-10

M=
Major

C-1
C-2

Lean Manufacturing
Preventive Maintenance Program
Business Management Systems:
Production Capacity, Planning, and Scheduling
Business Management Systems: Materials

50
40

0
0

FAIL
FAIL

0
2

5
2

0.00%

C-3
C-4

All Section Totals

Supplier Evaluation Audit - Rel. 5.0

150
70

0
0

FAIL
FAIL

5
0

10
7

1250

FAIL

49

80

SDE COMMENTS

SUPPLIER ACTIONS

RESP

DUE

Note: Score in
accordance with
AIAG "Quality
System
Assessment"
manual unless
otherwise noted.

Release date: 19-July-2010

Cover Page

REQUIREMENT CATEGORIES

Index Page
Q-1
1
2
3
Q-2
1
2
3
4
5
Q-3

2
3
Q-4
1
2

Quality System Capability


Is the supplier TS-16949 Certified? If No do they have a plan to achieve TS16949 Certification?
Is there access to e-mail and the World Wide Web provided for those
individuals with Quality and Management responsibilities?
Is the key quality contact for the plant location accessible via telephone (either
land line or cell phone) and Email?
Internal Audit
Is there a current Internal Audit schedule?
Are audits conducted as scheduled?
Are there regular (at least monthly) standard work audits that are cascading
and performed by leadership?
For any Internal Corrective Action (ICAR) is there a functional management
review procedure in place.
Are corrective actions and follow-up carried out to verify that actions taken
are effective?
Corrective &
Preventative action system
Does the supplier's process require documentation of the non-conformance (7Step or 8D), containment and inspection of affected material when a nonconformance is found either by the supplier or the customer?
Does the supplier have a corrective action system and use analysis tools such
as A3 Story-Board, 8D, 7D, 7 step, 5 phase, etc.?
Has the supplier been placed in a controlled shipment or New business hold
status with the last 6 months? Answer "Yes Or No"
APQP
Does the supplier have a formal / documented APQP process?
Does the supplier have a standard form to document APQP requirements?
Is there evidence that a system exists to support design, procure,
manufacture, develop, and implement new production tooling (i.e. Gantt
charts, supplier selection, tool validation/runoff, PPAP/runoff at
manufacturing location)?

Supplier Evaluation Audit - Rel. 5.0

Total Points
Possible for a
World Class
Supplier

M = Major

SCORE

RED

30

FAIL

10

RED

10

RED

10

RED

0
0
0

FAIL
RED
RED

10

RED

10

RED

10

RED

50
10
10

M
M
M

30

FAIL

10

RED

10

RED

10

30
10

M
M

SDE COMMENTS

RED SCORE <7


Is the supplier certified to any Quality System?

Amt. Of
Major
Findings

Amt. of Below
70%
Observations

SUPPLIER ACTIONS

RESP

DUE

1
1
1

RED SCORE <7


1
1

1
RED SCORE <7

1
1

0
0

FAIL
RED

RED SCORE <7

10

RED

10

RED

Release date: 19-July-2010

REQUIREMENT CATEGORIES
Q-5
1
2
3
4
Q-6
1

2
3
Q-7
1
2
3

4
Q-8
1
2
3

PPAP
Are appropriate procedures in place for preparation of PPAP documentation
in accordance with AIAG guidelines?
Are there approved customer PPAP's on file that correlate to the current
revision of prints being used for production?
The supplier shall have the AIAG electronic version of PPAP documentation
The Supplier must have an IMDS account and at least 1 trained person.
Answer YES or NO.
Document Control System
Is there a master list(s) of all controlled documents (or acceptable alternative)
readily available which indicates document approval status and revision?
Are all changes (revisions) identified on each document and do these revision
notes indicate the purpose/reason for the change? (includes control plans,
process flow diagrams, and PFMEA's).
Is there a system in place to track when changes are implemented relative to
production parts?
Training Records
Are records available to show that production operators have been trained in
their operations?
Are employee training needs documented and are records of completed
training maintained?
Are there specific training records documenting operator training in
processes necessary for the commodity being considered?
Is there objective evidence that all personnel are trained using the company
procedure for emergency, unplanned shutdowns and power outages
(including quarantine and inspection of materials made before, during and
after the emergency)?
Final Inspection
Does the supplier carry out final inspection and testing in accordance with the
quality plan (Control Plan) and/or documented procedures?
Does the supplier hold product until the required inspections and tests have
been completed or necessary reports have been received and verified, except
for release under positive recall?
Does the supplier conduct scheduled audits of the packaged final product to
verify conformance to all specified requirements.
Does the supplier maintain records which provide evidence that the product
has been inspected and/or tested, clearly showing whether the product has
passed or failed inspection based on the defined acceptance criteria, and
identifying the authority responsible for the product release?
Are first piece inspected parts retained until final data is complete to enable
traceability to raw data?
Are set-up and partially finished first piece sample inspected parts scrapped
after final data is complete? If those parts are finished and not scrapped is
there a control system in place to assure they are properly finished to
specification. These parts must be identified, contained and separately
inspected and released.

Supplier Evaluation Audit - Rel. 5.0

Points
Possible

M = Major

40

FAIL

10

RED

10

RED

RED

10

SCORE

RED

SDE COMMENTS

10

RED

30

FAIL

RED

RED

10

10

10

Sum of
Majors

Sum of Section
NC

RED
FAIL

10

RED

10

RED

10

RED

10

RED

60

1
RED SCORE <7

FAIL

10

RED

10

RED

10

RED

RED

RED

RED

10

10

10

DUE

RED SCORE <7

RESP

40

SUPPLIER ACTIONS

RED SCORE <7

RED SCORE <7

Release date: 19-July-2010

Total Points
Possible for a
World Class
Supplier

M = Major

Process Control
Are individual operations specified by detailed work and inspection
instructions that are readily available? (I.e. drawings showing process steps,
standardized format, photos of actual process steps)
Do the supplier's procedures require approval of processes and equipment
after set-ups, tool changes, prior to actual use? Are there specified criteria for
first piece approval?
Are workmanship standards defined by written specifications, photographs,
and / or labeled boundary samples that are readily available to the operator?

60

FAIL

10

RED

10

RED

10

RED

Is inspection data from the process recorded? Are records available?


Is SPC used to track variability in the process for controlling process
parameters? Are corrective actions recorded for out of control conditions?

10

RED

10

RED

REQUIREMENT CATEGORIES

Q-9
1

3
4
5

6
Q-10
1
2
3
Q-11
1
2
3

Does the supplier have a document that explains in detail the type of
machines and sizes for each operation (s) that will be used for the commodity
being requested? Is it readily available?
Nonconforming Material Control
Do the supplier's procedures require isolation, containment, and visual
identification of nonconforming material sufficient to prevent unauthorized
use and/or shipment?
Are the non-conforming materials isolated and identified per the above
procedure so that they are not used or shipped?
Does the supplier have a documented procedure for immediate customer
notification in the event that it is suspected that nonconforming material may
have been shipped?
Control of Inspection, Measuring,
and Test Equipment (IMTE)
Is special or final test equipment verified after set-up, maintenance, and
changeover?
Is the calibration of each piece of IMTE verified at prescribed intervals, against
certified equipment traceable to recognized international or national
standards?
Are IMTE calibration operations carried out in an appropriately controlled
environment? Are there records to verify this?
Are appropriate records kept of IMTE calibration that include the type of
equipment, identification, location, frequency of calibration, verification
method, acceptance method, and any necessary corrective action?
Does the calibration system include employee-owned equipment used for
product inspection?

Supplier Evaluation Audit - Rel. 5.0

10

SCORE

RED

SDE COMMENTS

Sum of
Majors

RED

FAIL

10

RED

10

RED

50

10

RED

FAIL

RED

SUPPLIER ACTIONS

RESP

DUE

RED SCORE <7

30

10

Sum of Section
NC

1
RED SCORE <7

1
RED SCORE <7
1

10

RED

10

RED

10

RED

10

RED

Release date: 19-July-2010

REQUIREMENT CATEGORIES

Q-12

Supplier Control
Are suppliers selected and evaluated based on their ability to meet quality
system and quality assurance requirements?
Are records maintained of supplier performance to quality system, delivery,
and product quality requirements, including appropriate corrective actions?

Are on-site assessments of supplier capabilities performed and documented


as appropriate? Note; commercially available or trade name items are exempt.

Q-13

Are special processes such as heat treat, plating, or coating subcontracted?


(separate QVR must be used if sub-contracted) Has the HT survey been
performed and Passed? HT, Plating and coating suppliers must have
ISO14000 or Use Environmental Self Survey and approval by Remy Corp
EH&S.
Control of Supplied Material
Does the supplier's receiving quality system use at least one of the following
methods to qualify product prior to use:
(1) evaluation of supplier statistical data, (2) receiving inspection and/or
testing, (3) combination of supplier quality system assessments and supplier
quality performance history, (4) third party product evaluation/testing?
Are material storage areas clean, well organized, and sufficiently maintained
to (1) preserve traceability information, (2) prevent damage, and (3) prevent
contamination with undocumented or uninspected goods?

Supplier Evaluation Audit - Rel. 5.0

Total Points
Possible for a
World Class
Supplier

M = Major

40

FAIL

10

RED

10

RED

10

RED

SCORE

RED

SDE COMMENTS

10

RED

20

FAIL

10

RED

RED

10

Sum of
Majors

Sum of Section
NC

SUPPLIER ACTIONS

RESP

DUE

RED SCORE <7


1

RED SCORE <7

Release date: 19-July-2010

REQUIREMENT CATEGORIES

Q-1
Q-2
Q-3
Q-4
Q-5
Q-6
Q-7
Q-8
Q-9
Q-10
Q-11
Q-12
Q-13

Quality System Capability


Internal Audit
Corrective &
Preventative action system
APQP
PPAP
Document Control System
Training Records
Final Inspection
Process Control
Nonconforming Material Control
Control of Inspection, Measuring,
and Test Equipment (IMTE)
Supplier Control
Control of Supplied Material
Quality Section Total

Total Points
Possible for a
World Class
Supplier

M = Major

30
50

M
M

0
0

30

30
40
30
40
60
60
30

M
M
M
M
M
M
M

50
40
20
510

SDE COMMENTS

Sum of
Majors

Sum of Section
NC

FAIL
FAIL

RED SCORE <7


RED SCORE <7

1
2

2
3

FAIL

RED SCORE <7

0
0
0
0
0
0
0

FAIL
FAIL
FAIL
FAIL
FAIL
FAIL
FAIL

RED SCORE <7


RED SCORE <7
RED SCORE <7
RED SCORE <7
RED SCORE <7
RED SCORE <7

1
2
1
1
2
2
2

2
2
2
3
4
4
1

FAIL

RED SCORE <7

M
M
M

0
0
0

FAIL
FAIL
FAIL

RED SCORE <7


RED SCORE <7
0.00%

2
1

SCORE

RED

20

2
1

SUPPLIER ACTIONS

RESP

DUE

31
*Only areas in dull yellow are editable*

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

Note: Score in accordance with AIAG "Quality


System Assessment" manual unless otherwise
noted.

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

Note: Score in accordance with AIAG "Quality


System Assessment" manual unless otherwise
noted.

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

Note: Score in accordance with AIAG "Quality


System Assessment" manual unless otherwise
noted.

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

Note: Score in accordance with AIAG "Quality


System Assessment" manual unless otherwise
noted.

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

Note: Score in accordance with AIAG "Quality


System Assessment" manual unless otherwise
noted.

*Only areas in dull yellow are editable*

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

Cover Page
Index Page

D-1

2
3
4
5
6
7
8
9
10
D-2
1
2
3

Total
Points
Possible
REQUIREMENT CATEGORIES
M = Major
for a World
Class
Supplier

Dock Storage, Material Handling,


and Packaging
Is there a material handling and storage system in use that adequately preserves part
quality and integrity during the production process (i.e. correct size and weight
containers, adequate for projected lot sizes and pulls, protection against elements
(rust, corrosion, physical damage, contamination, and equipment available to safely
move containers from operation to operation.)?
Does this system capture net and gross weight of individual and packaged
components?
Evaluate the inventory management system and it's ability to optimize inventory turns,
assure stock rotation and minimize inventory levels?
Evaluate the system which assures material that has passed final inspection and is
packaged for shipment, is labeled and identified correctly?
Does the supplier control the packing, packaging and marking processes so as to
ensure product conformance to specifications?
Are materials shipped in conformance with the customer requirements adhering to upto-date customer specified transportation mode and routings?
Does the supplier have a computerized system for receiving customer planning
information and ship schedules and Advanced Shipping Notifications (ASN'S), unless
waived by the customer?
Is the dock clean and orderly?
Are there adequate storage areas for WIP and finished goods? (i.e. adequate for
projected lot sizes and pulls, protection against elements, equipment necessary for
safe moves of product)
Is there a system in place that allows for UPS, FED X, or DHL orders to be received or
shipped as necessary.
Material ID and Traceability
Does identification of purchased materials and their records maintain traceability to
material certifications and test reports?
Do records show that lot identity and disposition are maintained throughout the
supplier's manufacturing and delivery process to assure lot integrity and traceability
to materials used and processes performed?
Do process records adequately reflect process and inspection status throughout the
system, including storage and in-process holding areas?

Supplier Evaluation Audit - Rel. 5.0

SCORE

RED

FAIL

10

RED

10

RED

RED

RED

10

RED

10

RED

10

RED

10

RED

10

RED

100

10
10

10

RED

30

FAIL

10

RED

10

RED

10

RED

SDE COMMENTS

SUPPLIER
ACTIONS

RESP

DUE

Note: Score in accordance with AIAG "Quality


System Assessment" manual unless otherwise
noted.

Release date: 19-July-2010

REQUIREMENT CATEGORIES

D-1
D-2

Dock Storage, Material Handling,


and Packaging
Material ID and Traceability
Delivery Section Total

Total
Points
Possible
M = Major
for a World
Class
Supplier

SCORE

RED

100

FAIL

30
130

M
M

0
0

FAIL
FAIL

SDE COMMENTS

SUPPLIER
ACTIONS

RESP

DUE

Note: Score in accordance with AIAG "Quality


System Assessment" manual unless otherwise
noted.

0
*Only areas in dull yellow are editable*

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

*Only areas in dull yellow are editable*

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

Cover Page
Index Page

S-1
1
2
3
S-2
1
2

3
4
5
6
7
8
9

10

11
S-3
1
2
3
4

Total
Points
Possible
REQUIREMENT CATEGORIES for a
World
Class
Supplier

Process/ Tool/ Die/ Jig/


Fixture/ Part Design Control
Are records available of formal documented design reviews by the
appropriate functions conducted at appropriate stages of design per the
design plan?
Are design changes identified, documented, reviewed and approved by
authorized personnel before implementation?
Does the supplier have documented procedures for controlling customer
documents, i.e., drawings and specifications?
Technical Capability
Does the supplier have relevant experience with the commodity or service
being considered?
Do the supplier's current processes and equipment require improvement or
development to manufacture the product or perform the service being
considered?
For Special characteristics, does the supplier perform capability studies on
new and ongoing processes? There must be evidence that on-going
processes are capable.
Does the supplier have access to product or tooling development in-house
or with a parent company?
Are all required inspection devices on site to inspect Remy parts to validate
engineering specifications?
Are there qualified manufacturing engineering and technical resources
available to support the commodity being considered?
Does the supplier have resources available for the support of tool and gage
design and fabrication? (ex. Computer aided design system, tool room,
EDM capabilities, as necessary.)
Is there a method to capture Tooling cost, tool life, and tool description for
each operation. Is it available for review?
Are there specific Quality Assurance Engineering and other technical
resources available necessary to support the commodity being
considered?
Is there evidence that a system exists to design, develop, and implement
new production quality plans and systems for the commodity being
considered? (i.e. Gantt or MS Project, preliminary process flow, preliminary
PFMEA, preliminary Control Plan, capability studies, gage R&R, PPAP, and
gaging instructions.)
Does the supplier possess the applicable heat treat and/or plating
specifications and necessary inspection equipment?
Housekeeping
Is the supplier's plant layout clean, efficient, organized, and well lighted
with demonstrated evidence of "good housekeeping" being practices
throughout the manufacturing process?
Lighting should be sufficient to carry out visual work and recording at or
near the activity. IS it?
Operations should be organized to facilitate good material flow and
minimize the potential for handling damage to occur.
Are all Indirect materials clearly identified and placed in areas designated.

Supplier Evaluation Audit - Rel. 5.0

M = Major

SCORE

RED

30

FAIL

10

RED

10

RED

RED

110

10
M

FAIL

10

RED

RED

RED

10

RED

10

RED

RED

10

RED

10

RED

10

10

10

10

RED

10

RED

10

RED

40

FAIL

10

RED

10

RED

10

RED

10

RED

SDE COMMENTS

SUPPLIER
ACTIONS

RESP

DUE

Note: Score in accordance with AIAG "Quality


System Assessment" manual unless otherwise
noted.

Release date: 19-July-2010

End

S-4
1

3
4
S-5
1
2
3
4
5
6
7
8

REQUIREMENT CATEGORIES

Facility Security- All Required


Are all external and internal doors, windows, gates, and fences protected
with locking devices adequate to prevent unauthorized entry?
Is the physical security of international, domestic, high-value, and
dangerous goods cargo assured by being properly marked, and segregated
within the warehouse by use of a safe, caged, or otherwise fenced-in area?
Is unauthorized access to the shipping, loading dock and cargo areas
prohibited? Controls must include the positive identification of all
employees, visitors and vendors.
Are there measures in place requiring proper storage of empty and full
containers to prevent unauthorized access?
Information systems
Does the supplier have the capability to respond to Remy with a Ship To
date based on the initial order over the Internet within 24 hours?
When the supplier receives the forecast, is there a system in place to
measure performance against it?
Do you have a system that communicates your demand signals to your
suppliers?
Does the supplier have a disaster recovery plan?
Do you have a network infrastructure/bandwidth system that exists to
support manufacturing and business processes?
Are the following: Smoke Detection and Fire Suppression resident at this
site?
How do you segregate customer specific data and information within your
systems.
Does the supplier use any special security "firewall"/encryption solutions
to securely communicate with your customers any sensitive information?

Supplier Evaluation Audit - Rel. 5.0

Total
Points
Possible
for a
World
Class
Supplier
40

M=Major

SCORE

RED

FAIL

10

RED

10

RED

10

RED

10

RED

80

FAIL

10

RED

10

RED

10

RED

10

RED

10

RED

10

RED

10

RED

10

RED

SDE COMMENTS

SUPPLIER
ACTIONS

RESP

DUE

Note: Score in accordance with AIAG "Quality


System Assessment" manual unless otherwise
noted.

Release date: 19-July-2010

End

S-1
S-2
S-3
S-4
S-5

REQUIREMENT CATEGORIES

Process/ Tool/ Die/ Jig/ Fixture/ Part Design Control


Technical Capability
Housekeeping
Facility Security- All Required
Information systems
Support Section Total

Supplier Evaluation Audit - Rel. 5.0

Total
Points
Possible
for a
M=Major
World
Class
Supplier
30
110 M
40
40 M
80 M
300
M

SCORE

RED

0
0
0
0
0
0

FAIL
FAIL
FAIL
FAIL
FAIL
FAIL

SUPPLIER
ACTIONS

SDE COMMENTS

0.00%

RESP

DUE

Note: Score in accordance with AIAG "Quality


System Assessment" manual unless otherwise
noted.

*Only areas in dull yellow are editable*

Release date: 19-July-2010

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

*Only areas in dull yellow are editable*

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

Cover Page
Index Page

C-1
C.1.1
C.1.2
C.1.3
C.1.4
C.1.5
C-2
C.2.1
C.2.2
C.2.3

C.2.4

C-3
C.3.1
C.3.2
C.3.3
C.3.4
C.3.5
C.3.6
C.3.7
C.3.8
C.3.9

C.3.10

C.3.11
C.3.12

C.3.13

C.3.14

C.3.15

REQUIREMENT CATEGORIES

Lean Manufacturing
Is the factory layout designed to support Lean Manufacturing?
Is the supplier practicing lean concepts for product and process
development?
Is the supplier working in cells?
Is the supplier practicing one-piece flow concept?
Is the work in process on a pull system?
Preventive Maintenance Program
Is there a schedule of planned maintenance on all machinery, tooling, and
equipment in the process?
Are records available for all maintenance activities planned and unplanned?
Root cause and corrective action should be included in unplanned
maintenance records?
Does the supplier monitor equipment uptime/downtime?
Is there a clearly defined and documented plan for emergencies, unplanned
shutdowns and power failures? Plan must include responsibilities,
evacuation procedure, re-start and quarantine/inspection of materials
produced before, during and after the emergency/failure.
Business Management Systems:
Production Capacity, Planning, and Scheduling
Can the supplier demonstrate that their production planning methodology is
capable of satisfying customer demands- 100% on-time shipments.
Is there evidence of corrective action taken when delivery schedule
compliance is less than 100% on-time?
Is the production forecast process automated or is it currently supported by
a manual Forecast process?
Is this someone who reviews the forecast? Is there a process to approve the
response prior to commitment to the customer.
Describe your daily production planning process and review. Is there a
documented system available and is it being followed.
How do you track/ review / measure performance to schedule/ commit. Is
this used as a planning tool?
What process safeguards exist to track product through-put and status? Is
documented system being followed?
How do you support short term upside requests and what incremental
capacity level is maintained? Is system being followed?
What long term capacity limitations exist for this site (Raw/Manufacture etc).
Is there an contingency plan for production to be completed in the event of
an emergency?
Is there a procedure to determine the quantity of equipment, size and
physical plant layouts. to complete weekly production volumes without
serious detriment to overall operations and part quality? Current capacity
utilization is ~40%, based on a __hours, __shift, __ days per work week.
How and when are risks/misses communicated to your customer, mgmt? Is
the system documented and followed?
Does the supplier have a system in place that determines if the operations
will be completed in house or sub-let? Is it documented?
Does the supplier have a system (Documentation) in place that captures,
labor rate per hour per operation, manning requirements at each operation,
set up costs at each operation, and other fixed and variable costs associated
with each operation? Is this readily available to review?
Does the supplier have a system in place that reviews all associated
operations costs; (i.e.raw material, packing, packaging, scrap, and
transportation) that displays that costs and goals are being met? Is this
document available for review?
Does the supplier have a system that calculates expenses and profits
associated with SG&A (Sales, General & Administration)

Supplier Evaluation Audit - Rel. 5.0

Total Points
Possible for
a World
M = Major
Class
Supplier

SCORE

RED

SDE COMMENTS

50
10

0
0

FAIL
RED

RED SCORE <7

10

RED

10
10
10
40

0
0
0
0

RED
RED
RED
FAIL

10

RED

10

RED

10

RED

10

RED

150

FAIL

RED

10
10

RED

10

RED

10

RED

10

RED

10

RED

10

RED

10

RED

10

RED

RED

10

RED

10

RED

10

RED

10

RED

10

RED

10

SUPPLIER
ACTIONS

RESP

DUE

Note: Score in accordance with AIAG "Quality


System Assessment" manual unless otherwise
noted.

RED SCORE <7

RED SCORE <7

Release date: 19-July-2010

REQUIREMENT CATEGORIES

C-4
C.4.1
C.4.2
C.4.3
C.4.4

C.4.5
C.4.6
C.4.7

C-3
C-4

M=Major

SCORE

RED

SDE COMMENTS

RED SCORE <7

Business Management Systems: Materials


Does the company have strategic objectives for materials and supply chain
management?
Is there a method to determine which items are purchased centrally and
which from mfg. Site?

70

FAIL

10

RED

10

RED

Is there a procedure and process for an escalation path for part shortages?

10

RED

10

RED

10

RED

10

RED

10

RED

Does the supplier have a system that tracks the number of orders with ontime delivery (OTD) from their suppliers? What is the result during last 6
months?
Does the supplier have a system in place that confirms the product and
quantities in their software, coorelates with the product quantities that are
physically on the floor is correct?
Is there a documented process to perform cycle counts? Is it used?
Is there a Corrective Action Process in place for inventory non-conformances

REQUIREMENT CATEGORIES

C-1
C-2

Total Points
Possible for
a World
Class
Supplier

Lean Manufacturing
Preventive Maintenance Program
Business Management Systems:
Production Capacity, Planning, and Scheduling
Business Management Systems: Materials
Cost Section Total

Total Points
Possible for
a World
Class
Supplier

310

M=Major

RED

SDE COMMENTS

RED SCORE <7

50
40 M

0
0

FAIL
FAIL

150 M
70

0
0

FAIL
FAIL
FAIL

SUPPLIER
ACTIONS

RESP

DUE

Note: Score in accordance with AIAG "Quality


System Assessment" manual unless otherwise
noted.

SUPPLIER
ACTIONS

RESP

DUE

Note: Score in accordance with AIAG "Quality


System Assessment" manual unless otherwise
noted.

RED SCORE <7


0.00%
*Only areas in dull yellow are editable*

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

*Only areas in dull yellow are editable*

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

REMY INTERNATIONAL, INC.

Supplier QVR Source Evaluation Audit

Cover Page

Part Print Review

Part Number

The proposed parts that the supplier will produce must be reviewed with representatives present from the following functional areas.
SuppliersManufacturingRepresentative
SuppliersQualityEngineering
Remy

Production Engineering
Supplier Quality
SuppliersRawMaterialandSub-Suppliers
Remy

Is there consensus that ALL dimensions and features are manufacturable?


Note Exceptions:

Is there consensus that all dimensions are properly tolerance?


Note Exceptions:

Is the part designed optimally for the process and material?


Note Exceptions:

Is the part dimensioned properly to allow for proper gaging (correct datums and basic dimensions)?
Note Changes Required:

Is gaging available to measure all features shown on the print?


Note Exceptions:

Is there a clear understanding that all KPC items will require a CPK of 1.67 or greater?
Note Exceptions:

Is GR&R known for gages that will be used for KPCs? (must be less than or equal to 10%)
Note Exceptions and GR&R value:

Does the supplier have access to the applied specifications (Paint, Materials, Plating, Heat Treatment Etc)
What do they need?:

Have the DFMEA items for this part been reviewed with the supplier?
List Items:

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes
10 Does the Supplier have a preliminary process flow established? Is it acceptable to Remy?
Note Exceptions:
Yes

Index Page

Cover Page

Index Page

CQI-9 HEAT TREAT SYSTEM ASSESSMENT


Instructions for completing the Cover Sheet
1

Facility Name: Name of the facility being assessed.


One form shall be used for each facility. The facility may have several buildings or physical
locations in the same general area. If there is a separate management team (Quality Manager and
Metallurgist) or different management system, then these locations shall be considered as
separate facilities.

Address: The street address of the facility being assessed; P.O. Box numbers may be given as
additional information.

Phone Number: The phone number of the facility.


If there is no common phone number for the facility, the phone number of the Operations
Manager or Quality Manager shall be used.

Fax number: The fax number of the facility.

Number of Heat Treat Employees at this Facility: The number of employees, salaried and hourly,
associated with the Heat Treat operation at this facility.

Captive Heat Treater (Y/N): Enter "Y" if this facility heat treats components for their own company. Enter
"N" if the company does not Heat Treat any components for their own company.

Commercial Heat treater (Y/N): Enter "Y" if this facility Heat Treats components for companies other than
their own company. Enter "N" if this facility does not Heat Treats any components for other companies.

Date of Assessment: Enter the date(s) of the assessment. An alphanumeric format shall be used
to avoid confusion with different numeric formats.
Example: May 3 -- 4, 2006.

Date of Previous Assessment: List the date of the previous CQI-9 Special Process: Heat Treat
System Assessment of this facility.

10

Type(s) of Thermal Processings at this Facility: Place a checkmark to designate the thermal process(es)
performed at this facility. This information determines the appropriate Process Table that shall be
used during the assessment. Processes not listed on the cover sheet are not part of the Heat Treat
System Assessment.

11

Current Quality Certification(s): the heat treater shall list their current quality certifications, e.g.,
ISO/TS 16949, ISO 9001-2000. Certifications may be from 3rd party sources or customer
quality certifications. If customer quality certification is given, then the year of the last
assessment by the customer shall also be given.

12

Date of Re-assessment (if necessary): If "Not Satisfactory" findings were observed from the
original assessment, then the heat treater shall address each item and determine correct action,
including root cause analysis and implementation of the corresponding corrective action(s).
The date of the re-assignment shall be given here, and the appropriate Question(s) from Sections
1 - 4, in the original assessment, shall be modified to reflect that the evidence, relating to the
implementation of the corrective action(s), has been observed. Also, the "Number of Not
Satisfactory Findings" shall be modified as appropriate.

13

Personnel Contacted: List the name(s), title(s), phone number(s), and email address(es), if
available, of the principal participants from the plater's organization.

14

Auditors/Assessors: List the name(s), Company(ies), phone number(s) and email address(es), if
available, of the auditor/assessor(s).

15

Number of "Not Satisfactory" Findings: Enter the number of "Not Satisfactory" findings
observed during the assessment.

16

Number of "Needs Immediate Action" Findings: Enter the number of "Needs Immediate
Action" findings observed during the assessment.

17

Number of "Fail" Findings in the Job Audit(s): Enter the number of "Fail" findings observed
from the job audit.

Special Process: Heat Treat System Assessment


Cover Page
Facility Name:
Address:

Phone Number:
Fax Number:

Type(s) of Thermal Processing at this Facility:


Process Table A - Ferrous
Carburizing
Carbonitriding
Carbon Correction
Neutral Hardening
Quench & Temper
Austempering / Martempering
Tempering
Precipitation Hardening / Aging

Number of Heat Treat Employees at this Facility:


Captive Heat Treater (Y/N):
Commercial Heat Treater (Y/N):
Date of Assessment:

Date of Previous Assessment:


Process Table B - Ferrous
Nitriding (Gas)
Ferritic-Nitrocarburizing (Gas or
Salt)
Process Table C - Aluminum
Aluminum Heat Treatment
Process Table D - Ferrous
Induction Heat Treating
Process Table E
Annealing
Normalizing
Stress-Relieving
Current Quality Certification(s):
Date of Re-assessment (if necessary):
Personnel Contacted:
Name:

Title:
0
0
0
0

Auditors/Assessors:
Name:

Phone:

Email:

Phone:

Email:

0
0
0
0

Company:
0
0
0

Number of "Not Satisfactory" Findings:

Number of "Needs Immediate Action" Findings:

Number of "Fail" Findings in the Job Audit(s):

Index Page

Cover Page

Special Process: Heat Treat System Assessment

Index Page

Assessment

Question
Number

Question

Requirements and Guidance

Objective Evidence

Section 1 - Management Responsibility & Quality Planning

1.1

To ensure readily available expertise, there shall


be a dedicated and qualified heat treat person on
site. This individual shall be a full-time employee
and the position shall be reflected in the
Is there a dedicated and
organization chart. A job description shall exist
qualified heat treat person on- identifying the qualifications for the position
site?
including metallurgical and heat treat knowledge.
The qualifications shall include a minimum of 5
years experience in heat treat operations or a
combination of a minimum of 5 years of formal
metallurgical education and heat treat experience.

1.2

The organization shall incorporate a documented


advance quality planning procedure. A feasibility
study shall be performed and internally approved
for each part. Similar parts can be grouped into
part families for this effort as defined by the
Does the heat treater perform organization. After the part approval process is
advanced quality planning? approved by the customer, no process changes
are allowed unless approved by the customer.
The heat treater shall contact the customer when
clarification of process changes is required. This
clarification of process changes shall be
documented.

1.3

The organization shall incorporate the use of a


documented Failure Mode and Effects Analysis
(FMEA) procedure and ensure the FMEA's are
updated to reflect current part quality status.
The FMEA shall be written for each part or part
family or they may be process-specific and written
Are heat treat FMEA's up to for each process. In any case, they shall address
date and reflecting current all process steps from part receipt to part
processing?
shipment and all key heat treat process
parameters as defined by the organization. A
cross-functional team shall be used in the
development of the FMEA. All special
characteristics, as defined by the organization and
its customers, shall be identified, defined, and
addressed in the FMEA.

1.4

The organization shall incorporate the use of a


documented Control Plan procedure and ensure
the Control Plans are updated to reflect current
controls.
The Control Plans shall be written for each part or
part family or they may be process-specific and
written for each process. In any case, they shall
address all process steps from part receipt to part
shipment and identify all equipment used and all
key heat treat process parameters as defined by
the organization.
Are heat treat process control
A cross-functional team, including a production
plans up to date and reflecting
operator, shall be used in the development of
current processing?
Control Plans, which shall be consistent with all
associated documentation such as work
instructions, shop travelers, and FMEA's. All
special characteristics, as defined by the
organization and its customers, shall be identified,
defined, and addressed in the Control Plans.
Sample sizes and frequencies for evaluation of
process and product characteristics shall also be
addressed consistent with the minimum
requirements listed in the Process Tables,
Sections 3.0 and 4.0.

N/A

Satisfactory

Not
Satisfactory

Needs Immediate
Action

Special Process: Heat Treat System Assessment

Are all heat treat related and


referenced specifications
current and available? For
example: SAE, AIAG, ASTM,
General Motors, Ford, and
DaimlerChrysler.

To ensure all customer requirements are both


understood and satisfied, the organization shall
have all related heat treat and customer
referenced standards and specifications available
for use and a method to ensure that they are
current. Such standards and specifications
include, but are not limited to, those relevant
documents published by SAE, AIAG, ASTM,
General Motors, Ford, and DaimlerChrysler. The
organization shall have a process to ensure the
timely review, distribution, and implementation of
all customer and industry engineering standards /
specifications and changes based on customerrequired schedule. Timely review should be as
soon as possible and shall not exceed two
working weeks. The organization shall document
this process of review and implementation, and it
shall address how customer and industry
documents are obtained, how they are maintained
within the organization, how the current status is
established, and how the relevant information is
cascaded to the shop floor within the two-week
period. The organization shall identify who is
responsible for performing these
tasks.

Is there a written process


specification for all active
processes?

The heat treater shall have written process


specifications for all active processes and identify
all steps of the process including relevant
operating parameters. Examples of operating
parameters include process temperatures, cycle
times, load rates, atmosphere or gas flow settings,
belt speeds, quench agitation speeds, etc. Such
parameters shall not only be defined, they shall
have operating tolerances as defined by the
organization in order to maintain process control.
All active processes should have a written
process specification.
These process specifications may take the form of
work instructions, job card, computer-based
recipes, or other similar documents.

1.7

Has a valid product capability


study been performed initially
and after process equipment
has been relocated, or had a
major rebuild?

To demonstrate each process is capable of


yielding acceptable product the organization shall
perform product capability studies for the initial
validation of each process, after relocation of any
process equipment, & after a major rebuild of any
equipment. The organization shall define what
constitutes a major rebuild. Initial product
capability studies shall be conducted for all heat
treat processes per furnace line defined in scope
of work & in accordance with customer
requirements. A furnace line may include a
combination of equipment that is integrated in the
performance of a heat treatment process, e.g.,
hardening, quenching, and tempering. Capability
study techniques shall be appropriate for the heat
treat product characteristics, e.g., tensile strength,
case depth, hardness. Any specific customer
requirements shall be met, in the absence of
customer requirements, the organization shall
establish acceptable ranges for measures of
capability. An action plan shall exist to address the
steps to followed in case capability indices fall
outside customer requirements or
established ranges.

1.8

The analysis of products and processes over time


can yield vital information for defect prevention
efforts. The organization shall have a system to
Does the heat treater collect
collect, analyze, and react to product or process
and analyze data over time,
data over time.
and react to this data?
Methods of analysis shall include ongoing trend or
historical data analysis of product or process
parameters. The organization shall determine
which parameters to include in such analysis.

1.5

1.6

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Special Process: Heat Treat System Assessment

1.9

Management shall review the furnace monitoring


systems at intervals not to exceed 24 hours. The
heat treat monitoring system includes but is not
limited to temperature strip charts, atmosphere
Is management reviewing the
strip charts, computer data logs, furnace and
heat treat monitoring system
operator logs, etc.
every 24 hours?
The management review shall include efforts to
detect out-of-control conditions or alarm
conditions. The process of reviewing the furnace
data shall be documented and this requirement
also applies to computerized data.

1.10

Are internal assessments


The organization shall conduct internal
being completed on an annual
assessments on an annual basis, at a minimum,
basis, at a minimum, using
using the AIAG HTSA.
AIAG HTSA?

1.11

The quality management system shall include a


documented process for reprocessing that shall
include authorization from a designated individual.
The reprocessing procedure shall describe
product characteristics for which reprocessing is
allowed as well as those characteristics for which
Is there a system in place to reprocessing is not permissible.
authorize reprocessing and is Any reprocessing activity shall require a new
it documented?
processing control sheet issued by qualified
technical personnel denoting the necessary heat
treat modifications. Records shall clearly indicate
when and how any material has been
reprocessed. The Quality Manager or a designee
shall authorize the release of reprocessed
product.

1.12

The quality management system shall include a


Does the Quality Department
process for documenting, reviewing, and
review, address, and
addressing customer concerns and any other
document customer and
concerns internal to the organization. A disciplined
internal concerns?
problem-solving approach shall be used.

1.13

Is there a continual
improvement plan applicable
to each process defined in the
scope of the assessment?

1.14

Does the Quality Manager or


The Quality Manager is responsible for authorizing
designee authorize the
and documenting appropriate personnel to
disposition of material from
disposition quarantine material.
quarantine status?

1.15

There shall be procedures or work instructions


available to heat treat personnel covering the heat
treating process. These procedures or work
Are there procedures or work
instructions shall include methods of addressing
instructions available to the
potential emergencies (such as power failure),
heat treat personnel that
equipment start-up, equipment shut-down, product
define the heat treating
segregation (See 2.8), product inspection, and
process?
general operating procedures. These procedures
or work instructions shall be accessible to shop
floor personnel.

The heat treater shall define a process for


continual improvement for each heat treat process
identified in the scope of the HTSA. The process
shall be designed to bring about continual
improvement in quality and productivity. Identified
actions shall be prioritized and shall include timing
(estimated completion dates). The organization
shall show evidence of program effectiveness.

1.16

Is management providing
employee training for heat
treating?

The organization shall provide employee training


for all heat treating operations. All employees,
including backup and temporary employees, shall
be trained. Documented evidence shall be
maintained showing the employees trained and
the evidence shall include an assessment of the
effectiveness of the training. Management shall
define the qualification requirements for each
function, and ongoing or follow-up training shall
also be addressed.

1.17

Is there a responsibility matrix


to ensure that all key
management and supervisory
functions are performed by
qualified personnel?

The organization shall maintain a responsibility


matrix identifying all key management and
supervisory functions and the qualified personnel
who may perform such functions. It shall identify
both primary and secondary (backup) personnel
for the key functions (as defined by the
organization). This matrix shall be readily available
to management at all times.

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Special Process: Heat Treat System Assessment

1.18

1.19

Is there a preventive
maintenance program? Is
maintenance data being
utilized to form a predictive
maintenance program?

Has the Heat Treater


developed a critical spare part
list and are the parts available
to minimize production
disruptions?

The organization shall have a documented


preventive maintenance program for key process
equipment (as identified by the organization). The
program shall be a closed-loop process that
tracks maintenance efforts from request to
completion to assessment of effectiveness.
Equipment operators shall have the opportunity to
report problems, and problems shall also be
handled in a closed-loop manner.
Company data, e.g., downtime, quality rejects, firsttime-through capability, recurring maintenance
work orders, and operator-reported problems,
shall be used to improve the preventive
maintenance program. Furnaces and generators
shall be scheduled for burn-out at frequencies
determined by the organization (see Section 1 of
the Process Tables).
Maintenance data shall be collected and analyzed
as part of a predictive maintenance program.

The heat treater shall develop and maintain a


critical spare parts list and shall ensure the
availability of such parts to minimize production
disruptions.

Section 2 - Floor and Material Handling Responsibility

2.1

2.2

2.3

2.4

It is critical that all customer requirements and lot


identification be adequately transferred to internal
heat treat documents. The facility shall ensure
that the data entered in the receiving system
match the information on the customer's shipping
documents. Documented processes and
Does the facility ensure that evidence of compliance shall exist, e.g., shop
the data entered in the
travelers, work orders, etc. Sometimes the
receiving system matches the material received does not precisely correspond
information on the customer's to customer shipping documents. The facility shall
shipping documents?
have a detailed process in place to resolve
receiving discrepancies.
The requirements stated above also apply to
captive heat treat departments. This process
refers to receiving and shipping the parts in and
out of the heat treat department.

Is product clearly identified


and staged throughout the
heat treat process?

Procedures for part and container identification


help to avoid incorrect processing or mixing of
lots. Appropriate location and staging within the
facility also help to ensure that orders are not
shipped until all required operations are
performed. Customer product shall be clearly
identified and staged throughout the heat treat
process. Non-heat treated, in-process, and
finished product shall be properly segregated and
identified. All material shall be staged in a
dedicated and clearly defined area.

Out-going lot(s) shall be traceable to the incoming


lot(s).
Is lot traceability and integrity The discipline of precisely identifying lots and
maintained throughout all
linking all pertinent information to them enhances
processes?
the ability to do root cause analysis and continual
improvement.

The control of suspect or non-conforming product


is necessary to prevent inadvertent shipment or
contamination of other lots. Procedures shall be
Are procedures adequate to adequate to prevent movement of non-conforming
prevent movement of non- product into the production system. Procedures
conforming product into the shall exist addressing proper disposition, product
production system?
identification, and tracking of material flow in and
out of the hold area. A non-conforming hold area
shall be clearly designated to maintain
segregation of such material.

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Special Process: Heat Treat System Assessment

2.5

2.6

Heat-treating furnaces and other processing


equipment contain areas that have a risk of
trapping or holding parts. Such trapping of parts
Is there a system to identify can lead to damage, improperly processed parts
trap points in the entire heat or lot mixing/contamination. A system shall exist
treat process to reduce risk of to identify trap points in the entire heat treat
mixed parts (inappropriate, process to reduce risk of mixed parts
non-heat treated, or
(inappropriate, non-heat treated, or improperly
improperly heat treated
heat treated parts). The heat treater shall have
parts)?
documented procedures to identify and monitor
trap points for each process/equipment.
Monitoring of potential trap points shall occur for
every part changeover.

Are containers free of


inappropriate material?

Containers handling customer product shall be


free of inappropriate material. After emptying and
before re-using containers, containers shall be
inspected to ensure that all parts and
inappropriate material have been removed. The
source of inappropriate material shall be identified
and addressed. This is to ensure that no
nonconforming heat treated parts or inappropriate
material contaminate the finished lot.

2.7

Furnace loading parameters shall be specified,


documented, and controlled. Examples include
Is furnace loading specified,
feed rate, belt speed, number of parts per fixture,
documented and controlled?
and load weight. Refer to Process Tables,
Section 3.0, for frequency of checks.

2.8

Are operators trained in


material handling,
containment action and
product segregation in the
event of an equipment
emergency including power
failure?

Unplanned or emergency downtime greatly raises


the risk of improper processing. Operators shall
be trained in material handling, containment
action, and product segregation in the event of an
equipment emergency including power failure.
Training shall be documented. Work instructions
specifically addressing potential types of
equipment emergencies and failures shall be
accessible to and understood by equipment
operators. These instructions shall address
containment actions related to all elements of the
heat-treating process, e.g., loading, austentizing,
quenching, tempering.

2.9

Handling, storage, and packaging shall be


adequate to preserve product quality. The heat
treaters furnace loading system, in-process
handling, and shipping process shall be assessed
Is the handling, storage and
for risk of part damage or other quality concerns.
packaging adequate to
Some equipment includes conveyors and other
preserve product quality?
moving components that may not be able to
handle all part configurations. Other practices
such as stacking of overloaded containers can
also increase the risk of part damage.

2.10

Plant cleanliness, housekeeping, environmental,


and working conditions shall be conducive to
controlling and improving quality. The heat treater
Are plant cleanliness,
should evaluate such conditions and their effect
housekeeping, environmental
on quality. A housekeeping policy shall be clearly
and working conditions
defined and executed. The facility shall be
conducive to control and
reviewed for conditions that are detrimental to
improved quality?
quality processing such as loose parts on floor, oil
around quench tanks, inadequate plant lighting,
smoke, etc.

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Special Process: Heat Treat System Assessment

Many heat-treated parts are subjected to surface


finish or appearance operations such as plating or
coating after heat treatment. Parts shall be free
from contaminants that are detrimental to
subsequent processes or the product. Pre-wash
(if applicable) and post-wash parameters shall be
monitored and documented. Oils and other
contaminants or residues can be difficult to
remove once subjected to the heat treatment
process. Review the chemical suppliers
recommendation for cleaning the system. Parts
shall be free of rust, burrs, chips, detrimental
amounts of drawing compound, cutting fluids, rust
preventing oils, lubricants, etc., prior to heat treat.
Note: Refer to the appropriate heat treater's
requirements and specifications to determine
acceptability. Refer to Process Table, Section
5.0, for frequency of checking washer solutions.

2.11

Are parts free from


contaminants that would be
detrimental to the heat
treatment of the product?

2.12

The quenching system shall be monitored,


documented, and controlled. The temperature,
agitation, level, concentration (if applicable), time
in the quenchant, and additions shall be controlled
to the heat treater's specifications. Refer to
Process Tables, Sections 3.0 and 5.0, for
Is the quenching system
frequency of checks. Computer-monitoring
monitored, documented, and equipment, with alarms and alarm logs, satisfy the
controlled?
verification requirement. Quench delay tolerance
and alarm is required for furnaces with integral
quench tanks. Temper delay time shall be
specified by the heat treater for parts that are
quenched and tempered, e.g., carburizing,
carbonitriding, neutral hardening, solution treating
and aging.

2.13

Is soluble oil or other rust


preventive monitored and
controlled if applicable?

Parts are often dipped in or sprayed with rust


preventive solutions immediately after the heat
treating process. Soluble oil solutions or other
rust preventive solutions shall be monitored and
controlled, if applicable. The heat treater shall
have and maintain documented tolerances for the
solutions. Refer to Process Tables, Section 5.0,
for frequency of checks.

2.14

Are process control


parameters monitored per
frequencies specified in
Process Tables?

Process control parameters shall be monitored


per frequencies specified in Process Tables.
Refer to Process Tables, Section 3.0. Computer
monitoring equipment with alarms and alarm logs
satisfy the verification requirement. A designated
floor person shall verify the process parameters,
e.g., by initialing a strip chart or data log.
Management review is required per Question 1.9.

2.15

2.16

Are In-Process / Final Test In-Process / Final Test Frequencies shall be


Frequencies performed as performed as specified in Process Tables. Refer
specified in Process Tables? to Process Tables, Section 4.0.

Is product test equipment


verified?

Product test equipment shall be verified. Test


equipment shall be verified/calibrated per
applicable customer-specific standard or per an
applicable consensus standard such as those
published by ASTM, DIN, EN, ISO, JIS, NIST,
SAE etc. Verification/calibration results shall be
internally reviewed, approved, and documented.
Refer to Process Tables, Section 1.0, for
frequency of checks.

Section 3 - Equipment

3.1

The heat-treat furnaces, generators, and quench


systems shall have proper process controls and
Do furnaces, generators, and related equipment. Examples include temperature,
quench systems have proper carbon potential/dew point, gas flows, quench
process control equipment? monitoring system including agitation, temperature
control and quenching oil analysis, etc. as listed in
the applicable Process Tables, Section 1.0.

3.2

The calibration and certification of the process


Are process equipment
equipment shall be checked at regular specified
calibrations and/or verification intervals. Refer to the applicable Process Tables,
certified, posted, and current? Sections 1.0 and 2.0, for equipment calibration or
certification time tables.

3.3

The thermocouples and protection tubes shall be


Are thermocouples &
checked or replaced in compliance to a preventive
protection tubes checked or
maintenance schedule. Refer to the applicable
replaced per Process Tables?
Process Tables, Section 2.0.

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Special Process: Heat Treat System Assessment

3.4

Are temperature uniformity


surveys performed per
requirements in Process
Tables?

Temperature uniformity surveys shall be


conducted per the requirements in the applicable
Process Tables, Section 2.0. The frequency
reductions allowed in AMS 2750D are not allowed
under this document. Certain furnace designs,
e.g., rotary retorts preclude direct temperature
profiles. Alternate test methods per AMS 2750D
3.5.15 are acceptable for furnaces where
temperature uniformity studies are not possible.

3.5

Is the variation of the furnace


controlled thermocouple from
set point within the
requirements in the Process
Table?

The variation between the furnace-control


thermocouple and the set point temperature shall
be within the limits defined in the applicable
Process Tables, Section 2.0. This does not apply
to the first zone of a multi-zone continuous
furnace.

3.6

The heat treater shall have a list of heat treat


Are the process & equipment
process and equipment alarms. These alarms
alarm checks being tested
shall be independently tested quarterly at a
quarterly or after any repair or
minimum, and after any repair or rebuild. These
rebuild?
checks shall be documented.

3.7

Generator and furnace atmosphere carbon


potential/dew point shall be continuously
monitored, automatically controlled, and
documented. This requirement is specific to
Process Table 1, Sections 1.0 and 3.0, for
carburizing, carbonitriding, and neutral hardening.
Continuous monitoring and automatic control of
the carbon potential/dew point is required for all
generators and atmosphere furnaces except
Are generators and furnace rotary retort and shaker furnaces that preclude in
atmospheres continuously situ control and monitoring. For rotary retort and
monitored, automatically
shaker furnaces, the method described in AMS
controlled, and documented? 2750D 3.5.15..2 "Property Surveys" shall be used
to ensure adequate control of the furnace
atmosphere. If generators are not used, the flow
rates of the supplied atmosphere gases shall be
monitored and controlled. The assessor shall
verify the effectiveness of the atmosphere control
system per customer requirements, the heat
treaters control plan, and internal procedures.

The atmosphere control system shall maintain the


atmosphere dew point/carbon potential set point
within the parameters specified in the control plan
or internal procedures. The heat treater shall have
a back-up method of checking the carbon
potential/dew point. Examples are dew point,
electrical wire resistance, gas analysis, shim
stock, carbon bar, etc. The automatic and
continuous atmosphere control system shall
consist of sensors such as oxygen probes or online Infrared (IR) gas analysis. See Process Table
A, Sect. 3.0 for verification frequencies.

3.8

When the back-up verification


check of the atmosphere does
not agree or correlate within
pre-established limits with the
primary control method
(carbon potential/dew point
reading), is correlation of the
carbon-bearing atmosphere to
the primary control method reestablished?

This issue is specific to Process Table 1,


carburizing, carbonitriding, and neutral hardening.
When the back-up verification check of the
atmosphere does not agree or correlate within preestablished limits with the primary control method
(carbon potential/dew point reading), the heat
treater shall resolve the out-of-limit discrepancy.
The back-up atmosphere monitoring system
reading and the automatically controlled
atmosphere dew point/carbon potential reading
shall be maintained within the correlation limits
specified in the control plan or internal
procedures. These range tolerances vary with the
specific heat treat process and the equipment
used.
The heat treater shall make appropriate technical
adjustments and corrections and then reestablish/demonstrate the correlation of the actual
atmosphere carbon potential/dew point reading to
the primary control and back-up atmosphere
reading. The range tolerances for correlation
between the two readings shall be in the control
plan or internal procedures. The back-up carbon
potential/dew point reading shall be established
using one or more of the following methods:
Carbon bar or slug
Shim stock
3-gas analyzer
Dew point
Hot wire resistance

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Special Process: Heat Treat System Assessment

3.9

All ammonia lines to furnaces shall be equipped


with quick disconnects or a three-valve fail-safe
vent system. Normal valves may allow ammonia
to leak through even when they are closed. This
can be undesirable and detrimental in heat treat
processes not specifying/requiring ammonia.
A quick disconnect shall be present in any
ammonia line going to a furnace. This line shall
Are all ammonia lines
be disconnected after carbonitriding (or any other
equipped with quick
process using ammonia) before another heat
disconnects or a three valve treating operation not specifying/using ammonia
fail safe vent system?
begins.
An alternative three-valve ammonia "fail-safe"
vent system is permitted. See the definition
Three Valve Fail-Safe Vent and diagram in the
glossary.
Documentation shall show when ammonia lines
are disconnected for non-ammonia bearing
atmosphere processes.

3.10

This is applicable to fasteners and small metal


parts. The heat treater shall perform a minimum 3
hours oxidizing burn-out prior to processing
For fasteners and small metal product not requiring ammonia as an addition.
parts, is a minimum of 3 hours Ammonia pick-up can be undesirable in parts and
allocated for an oxidizing burn- heat treat processes not specifying/requiring
out prior to processing
ammonia as an addition. Log book, data logger,
product not requiring
or other records shall document the actual
ammonia?
oxidizing burn-out time and that sufficient time has
been allocated to remove ammonia from the
furnace prior to processing parts in heat treat
processes not specifying ammonia.

3.11

Do all atmosphere furnaces


and generators have flow
scopes or flow meters for all
gases?

3.12

3.13

3.14

All atmosphere furnaces and generators (output


trim/adjustment gas) shall have flow scopes or
flow meters for all gases. Flow scopes and
meters shall be periodically serviced per the heat
treater's preventive maintenance program.
Cleaning and proper re-assembly procedures
shall be documented.

Infrared temperature pyrometers are required at


the exit end of continuous belt furnaces running
For threaded fasteners, are threaded fasteners to monitor for under
all continuous belt furnaces temperature parts. The temperature alarm shall
equipped with sight glass
be within 28C (50F) of the furnace set point
inspection ports and infrared temperature. Results shall be strip charted or
pyrometers at discharge end continuously data logged. Infrared (IR) units shall
of the hardening furnace? be calibrated annually at a minimum and certified.
All sight glasses shall be cleaned per the
preventive maintenance schedule.

Is salt chemistry in the


austenitizing salt bath
monitored?

Is the quenching medium


analyzed?

Applicable to ferritic-nitrocarburizing,
austempering, and neutral hardening in salt.
The heat treater shall check the salt chemistry in
the austentizing salt bath, or part decarburization,
daily. Refer to the applicable Process Tables,
Section 3.0, for frequency of checks.
The heat treater shall periodically have the
quenching medium analyzed for specific
quenching characteristics, e.g., cooling curve,
water content, salt concentration, as specified in
the applicable Process Tables, Section 5.0.
The quench media characteristic tolerances shall
be specified by the quench medium supplier or the
heat treater.
Analysis shall be reviewed for conformance by
the heat treater. This review shall be
documented.

FOR INDUCTION HEAT TREATING


3.15

3.16

A method to detect proper part position, such as


Is the positioning of each part
the use of proximity switches, optical sensors,
being controlled?
mechanical probes, etc., is required for each part.

Does the heat treater control


the energy or power for each
part?

The heat treater shall control the energy or power


for each part.
A signature monitor for each machine is
preferred. A signature monitor gives the energy
unit (voltage, kilowatt, etc.) vs. time or distance
(for scanning systems).
An energy monitor or equivalent is acceptable if
approved by the authorized customer
representative.

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Special Process: Heat Treat System Assessment

3.17

The heat treater shall have a coil management


system. Coil refers to the heating coil and the
quench plenum.
Does the supplier have a coil Spare coils for each part shall be available onmanagement system? Coil
site.
refers to the heating coil and Coils shall conform to the approved original
the quench plenum.
design.
Engineering change approval from the customer
is required whenever the coil design is changed.

3.18

The quench system shall be an automatic


operation. No manual quenching is allowed unless
Is quench system automatic? specifically approved by the authorized customer
representative. Quenching shall be automatically
initiated and controlled.

3.19

Does each lot of parts have


first piece set-up?

The heat treater shall perform first piece set-up for


each lot of parts

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Index Page

Section 4 - Job Audit

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Index Page

Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Material:
Heat Treat Requirements:
Question #
4.1

Job Audit Question


Are contract review, advance
quality planning, FMEA, control
plans, etc., performed by qualified
individuals?

Related
HTSA Question #

N/A
N/A

Does the heat treat facility have the


customer specifications for the
part?

1.5

4.3

Is a shop traveler created to meet


customer requirements?
Is material identification (part
numbers, lot numbers, heat
numbers, contract numbers, etc.)
maintained throughout the heat
treat process?
Is there documented evidence of
Receiving Inspection?

1.6
2.1

4.5
4.6

4.7

Are the Loading / Racking


requirements identified?
Is the proper recipe or process
specification (cycle times,
temperature, atmosphere, etc.)
used? Refer to Process Tables,
Section 3.0, for specific parameters.
List parameters that were verified in
this audit in the spaces provided
below.

What are the product inspection


requirements?
Requirement: (1)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Requirement: (2)
4.8.2
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Requirement: (3)
4.8.3
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Requirement: (4)
4.8.4
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Operator or Inspector Responsibilities
Were appropriate process steps
4.9
signed off?
4.8

2.2
2.3
2.4

2.1
1.6
2.7
2.9
1.5
1.6
2.1
2.14
2.15

2.15

4.8.1

4.10

Were all inspection steps, as


documented in the control plan
performed?

4.11
Were steps/operations performed
that were not documented in the
control plan?

Job (Shop) Order or


Reference Documentation
Requirement

1.2
1.3
1.4
1.17

4.2

4.4

Customer or Internal
Requirement

1.4
2.2
2.3
2.14
1.2
1.4
1.2
1.4
1.6

Actual Condition
(Objective Evidence)

Pass / Fail
/ N/A

Section 4 - Job Audit

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Index Page

Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Material:
Heat Treat Requirements:
Question #

Job Audit Question

Related
HTSA Question #

4.12

If additional steps were performed,


were they authorized?

1.2
1.4
1.6
1.11
1.17
1.11

4.13

Does the governing specification


allow reprocessing or rework?

4.14

If the order was certified, did the


certification accurately reflect the
process performed?

2.14
2.15

4.15

Was the certification signed by an


authorized individual?

1.17

4.16

Are the parts and containers free of


inappropriate objects or
contamination?

2.6
2.11

Packaging Requirements
4.17
4.18

Are packaging requirements


identified?
Are parts packaged to minimize
mixed parts (for example, parts
packed over height of container)?

2.9
2.9

Shipping Requirements
4.19

Were the parts properly identified?

2.3
2.9

4.20

Were the containers properly


labeled?

2.3
2.9

Customer or Internal
Requirement

Job (Shop) Order or


Reference Documentation
Requirement

Actual Condition
(Objective Evidence)

Pass / Fail
/ N/A

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Assessor(s) shall have the following specific experience to conduct the HEAT TREAT SYSTEM ASSESSMENT:
1
2

Be an experienced quality management system (QMS) internal auditor (for example,


ISO/TS 16949-2002, ISO 9001:2000).
Assessor shall possess heat treating knowledge. Evidence shall include a minimum of 5
years experience in heat treating or a combination of formal metallurgical education and
heat treating experience totaling a minimum of 5 years.
Assessor shall possess knowledge of and be familiar with the application of automotive
quality core tools including statistical process control, measurement systems analysis,
part approval, failure mode and effects analysis, and advanced quality planning.

Note: If more than one assessor is required to meet the above qualifications, the lead assessor
shall be the person meeting the requirements in item # 1 above.

PROCESS TABLE A - Carburizing / Carbonitriding / Carbon Correction / Neutral Hardening /


Austempering / Martempering / Tempering / Precipitation Hardening - Aging
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Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the auditor
shall verify heat treater is conforming to the customer's requirements.
* Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
** Does not apply to furnaces operating below 760C (1400F).
----- indicate "not applicable".
Item # Related HTSA
Category/Process Steps
Question #
1.0
PROCESS AND TEST EQUIPMENT REQUIREMENTS
3.1
All furnaces, generators and quench systems shall have
A1.1
3.7
temperature indicating instruments.

Batch
Furnace

Continuous
Furnace *

Generators

Yes

Yes

Yes

A1.2

3.1
3.7

Continuous strip charts and/or data loggers are required for


temperature and carbon monitoring unit, e.g., dew point,
oxygen probe, IR gas analyzer, etc.

Yes

Yes

Yes

A1.3

1.18

A program for furnace and generator burnout is required


(applies to carbon bearing atmospheres).

Yes

Yes

Yes

A1.4

3.2

Furnace weigh scales shall be verified quarterly and


calibrated annually at a minimum.

Yes

Yes

-----

A1.5

3.2

Dew pointers, 3-gas analyzers, spectrometers, and carbon IR


combustion analyzers (shim stock analysis), used to verify
carbon potential in furnaces, shall be calibrated annually at a
minimum.

-----

-----

-----

A1.6

3.2

Verification of calibration of spectrometers, and carbon IR


combustion analyzers, shall be checked daily or prior to use.

-----

-----

-----

A1.7

3.2

Verification of calibration of 3-gas analyzers with zero gas


and span gas shall be performed weekly at a minimum.

-----

-----

-----

A1.8

3.2

Oxygen probe controllers shall be calibrated quarterly at a


minimum.

Yes

Yes

Yes

A1.9

2.16

All hardness test equipment (for each scale used) shall be


calibrated semi-annually minimum, and verified daily
minimum per the applicable ASTM standard.

-----

-----

-----

A1.10

2.16

Files shall be verified daily (or prior to use) with provers per
SAE J864.

-----

-----

-----

A1.11

3.2

Refractometers (typically used to check polymer quenchants


and washer solutions) shall be verified daily (with distilled
water) and calibrated annually (per manufacturer's
requirements) at a minimum.

-----

-----

-----

2.0

PYROMETRY

A2.1

3.2
3.3

Thermocouples and calibration of thermocouples shall


conform to AMS 2750D.

Yes

Yes

Yes

A2.2

3.2
3.3

Instrument Calibration per AMS 2750D shall be quarterly at a


minimum.

Yes

Yes

Yes

Frequency reductions per AMS 2750D are not allowed.

PROCESS TABLE A - Carburizing / Carbonitriding / Carbon Correction / Neutral Hardening /


Austempering / Martempering / Tempering / Precipitation Hardening - Aging
Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the auditor
shall verify heat treater is conforming to the customer's requirements.
* Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
** Does not apply to furnaces operating below 760C (1400F).
----- indicate "not applicable".
Item # Related HTSA
Category/Process Steps
Question #
3.2
CQI-9 requires a comparative check of the control
A2.3
3.3
temperature sensor (CTS) in the Qualified Work Zone to a (1)
calibrated test temperature sensor (CTTS) or, (2) resident
thermocouple (R-T/C). (1) The CTS shall be within an
operating temperature range of +/- 5C (or +/-10F) of the
CTTS. This check shall be performed monthly. (2) Within the
operating temperature range the difference between the
CTS and R-T/C readings shall be no more than +/- 1C (or +/2F) as determined at the time of the most recent
temperature uniformity survey. This check shall be performed
weekly. Any actions to correct a failing reading or validate a
test result shall be documented. Additionally, Type K and N
thermocouples shall be checked monthly for equipment
operating at or above 760C (1400F) and changed annually at
a minimum. Type K and N thermocouples shall be checked
quarterly for equipment operating below 760C (1400F) and
changed every two years at a minimum.

Batch
Furnace
Yes

Continuous
Furnace *
Yes

Generators

Yes

Yes - In Qualified Work


Zone

-----

Yes

Type R and S thermocouples shall be checked monthly for


equipment operating at or above 760C (1400F) and changed
every two years at a minimum. Protection Tubes shall be
visually checked at the same frequency as thermocouples.
A2.4

3.4

Temperature Uniformity Survey (TUS): refer to AMS 2750D


for procedures. TUS frequency shall be annual and after
major rebuild.
Temperature uniformity tolerance for hardening furnaces
shall be +/- 14 C (or +/- 25 F). Temperature uniformity
tolerance for tempering furnaces shall be +/- 11 C (or +/- 20
F).
Minimum and maximum temperature ranges shall be tested
per AMS 2750D. Exception: If the operating range of the
Qualified Work Zone is equal to or less than 85 C (153 F)
then only one temperature is required to be tested. The
temperature shall be within the operating range of the
Qualified Work Zone.
Frequency reductions per AMS 2750D are not allowed.

A2.5

3.5

Recorded temperature(s) for austentizing processes shall be


controlled within +/- 9C (or +/- 15F) of the set point as
evidenced by continuous recording pyrometers. Furnace
temperature shall be controlled with soak times starting at the
lower tolerance limit (as defined above).

Yes

Yes - In Qualified Work


Zone

-----

A2.6

3.5

Recorded temperature(s) for tempering and precipitation


hardening processes shall be controlled within +/- 6C (or +/10F) of the set point as evidenced by continuous recording
pyrometers. Furnace temperature shall be controlled with
soak times starting at the lower tolerance limit (as defined
above).

Yes

Yes - In Qualified Work


Zone

-----

A2.7

3.2

Infrared pyrometers shall be calibrated to a black body


furnace annually.

3.0
A3.1

1.4
2.14

PROCESS MONITOR FREQUENCIES


Monitor primary temperature control instrument(s).

-----

Each batch or
continuous recording
with sign-off every 2
hours. Alarm systems
satisfy the sign-off
requirement.

Each lot or continuous Each Shift


recording with sign-off
every 2 hours. Alarm
systems satisfy the signoff requirement

PROCESS TABLE A - Carburizing / Carbonitriding / Carbon Correction / Neutral Hardening /


Austempering / Martempering / Tempering / Precipitation Hardening - Aging
Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the auditor
shall verify heat treater is conforming to the customer's requirements.
* Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
** Does not apply to furnaces operating below 760C (1400F).
----- indicate "not applicable".
Item # Related HTSA
Category/Process Steps
Question #
1.4
Monitor generator atmospheres.
A3.2
2.14
3.7

Batch
Furnace
-----

Continuous
Furnace *
-----

Generators
Continuous

A3.3

1.4
2.14
3.7

Monitor primary furnace atmosphere control(s)**.

Continuous recording
with sign-off every 2
hours. Alarm systems
satisfy the sign-off
requirement.

Continuous recording
with sign-off every 2
hours. Alarm systems
satisfy the sign-off
requirement

A3.4

1.4
2.14
3.7
1.4
2.14
3.13
1.4
2.12

Verify primary atmosphere control method by back-up


method**.

Daily

Daily

For austentizing salt baths: Salt chemistry (soluble oxides) or Daily


decarburization on the parts shall be checked daily.

Daily

-----

A3.5

A3.6

-----

Daily

Quench Media Process Parameters


- Temperature

Each batch or
continuous recording
with sign-off every 2
hours. Alarm systems
satisfy the sign-off
requirement.

Each lot or continuous


recording with sign-off
every 2 hours. Alarm
systems satisfy the signoff requirement.

-----

- Quench Level

Daily

Daily

-----

- Agitation

- Daily visual check is - Daily visual check is


required.
required.

-----

- Monitor each load in - Monitor every 2 hours


the absence of an
in the absence of an
alarm system.
alarm system.
A3.7

1.4
2.14

Monitor time in furnace, cycle time or belt speed.

Each batch

A3.8

1.4
2.7

Monitor load size or fixturing or loading rate as applicable.

Each batch

A3.9

1.4
2.12

Quench Delay Time Alarm system shall be based on the time that the load exits
the furnace to the time the load is at the bottom of the
quench tank.

4.0
A4.1
A4.2
A4.3
A4.4
5.0
A5.1

A5.2
A5.3
A5.4

Twice/shift & after any


change in the belt
speed.
Twice/shift & after any
change in loading rate.

-----

Each batch

Each basket for pushertype continuous


furnaces. Not
applicable for belt
furnaces.

-----

Microstructure

Daily per furnace

Daily per furnace

-----

Surface hardness

Each batch

Every 2 hours minimum

-----

Core hardness (when specified)

Each batch

Every 4 hours

-----

Case depth (when specified)

Each batch

Every 4 hours

-----

Daily
Every six months

Daily
Every six months

---------

Every six months

Every six months

-----

Every six months

Every six months

-----

Daily

Daily

-----

-----

IN-PROCESS/FINAL TEST FREQUENCIES


1.4
2.15
1.4
2.15
1.4
2.15
1.4
2.15
2.12
3.14

2.12
3.14
2.12
3.14
2.12
3.14

QUENCHANT AND SOLUTION TEST FREQUENCIES


Polymer Quench Media
- Concentration
- Quenchability Check; e.g., cooling curve, viscosity, or
titration
Water Quench Media
- Suspended solids
Salt Quench Media
- Analysis & Contaminants
Brine or Caustic Quench Media
- Concentration and/or Specific
Gravity.

PROCESS TABLE A - Carburizing / Carbonitriding / Carbon Correction / Neutral Hardening /


Austempering / Martempering / Tempering / Precipitation Hardening - Aging
Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the auditor
shall verify heat treater is conforming to the customer's requirements.
* Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
** Does not apply to furnaces operating below 760C (1400F).
----- indicate "not applicable".
A5.4
2.12
3.14HTSA
Item # Related
Question #
A5.5

2.12
3.14

A5.6

2.13

A5.7

2.11

Category/Process Steps
- Suspended solids
Oil Quench Media
- Water content, suspended solids,
viscosity, cooling curve, total acid,
and flash point.
Rust Preventive - Soluble Oil
- Concentration
Washers
- Concentration of cleaner
- Temperature of solution (required if temperature is
specified to be above ambient temperature).

Batch
Furnace
Every six months

Continuous
Furnace *
Every six months

Generators

Quarterly

Quarterly

-----

2x / week

2x / week

-----

Daily
Each shift

Daily
Each shift

---------

-----

PROCESS TABLE B - Nitriding (Gas) and Ferritic-Nitrocarburizing (Gas or Salt)


All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the
auditor shall verify heat treater is conforming to the customer's requirements.
* Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
----- indicate "not applicable".
Item #

Related
HTSA
Question #

1.0
B1.1
B1.2

3.1
3.7
3.1
3.7

Category/Process Steps

PROCESS AND TEST EQUIPMENT


REQUIREMENTS
All furnaces, generators and quench systems shall
have temperature indicating instruments.
Continuous strip charts and/or data loggers are
required for temperature and carbon monitoring unit,
e.g., dew point, oxygen probe, IR gas analyzer, etc.

Cover Page

Index Page

Batch
Furnace

Continuous
Furnace*

Generators

Salt Bath

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes For
temperature
only

B1.3

1.18

A program for furnace and generator burnout is


required. Not required for retort gas nitriding.

Yes

Yes

Yes

-----

B1.4

3.12
3.13

-----

-----

-----

Yes

B1.5

3.2

For austentizing salt baths: Salt chemistry (soluble


oxides) or decarburization on the parts shall be
checked daily.
Furnace weigh scales shall be verified quarterly and
calibrated annually at a minimum.

Yes

Yes

-----

-----

B1.6

3.2

Dew pointers and gas analyzers, used to verify proper


atmosphere in furnaces, shall be calibrated annually
at a minimum.

-----

-----

-----

-----

B1.7

2.16

-----

-----

-----

-----

B1.8

2.16

All hardness test equipment (for each scale used)


shall be calibrated semi-annually minimum, and
verified daily minimum per the applicable ASTM
standard.
Files shall be verified daily (or prior to use) with
provers per SAE J864.

-----

-----

-----

-----

B1.9

3.2

Refractometers (typically used to check polymer


quenchants and washer solutions) shall be verified
daily (with distilled water) and calibrated annually (per
manufacturer's requirements) at a minimum.

-----

-----

-----

-----

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

2.0
B2.1
B2.2

3.2
3.3
3.2
3.3

PYROMETRY
Thermocouples and calibration of thermocouples shall
conform to AMS 2750D.
Instrument Calibration per AMS 2750D shall be
quarterly at a minimum.
Frequency reductions per AMS 2750D are not
allowed.

PROCESS TABLE B - Nitriding (Gas) and Ferritic-Nitrocarburizing (Gas or Salt)


All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the
auditor shall verify heat treater is conforming to the customer's requirements.
* Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
----- indicate "not applicable".
Item #

B2.3

Related
HTSA
Question #
3.2
3.3

Cover Page

Index Page

Category/Process Steps

Batch
Furnace

Continuous
Furnace*

Generators

Salt Bath

CQI-9 requires a comparative check of the control


temperature sensor (CTS) in the Qualified Work Zone
to a (1) calibrated test temperature sensor (CTTS) or,
(2) resident thermocouple (R-T/C).

Yes

Yes

Yes

Yes

Yes

Yes - In Qualified
Work Zone

-----

Yes

Yes

Yes - In Qualified
Work Zone

-----

Yes

(1) The CTS shall be +/- 5C (or +/- 10F) of a CTTS at


the operating temperature range; this checked shall
be performed monthly.
(2) The relationship between the CTS and R-T/C at
the operating temperature range shall be within +/- 1C
(or +/- 2F) of their relationship determined at the time
of the most recent temperature uniformity survey; this
checked shall be performed weekly.
Any actions to correct a failing reading or validate a
test result shall be documented.
Additionally, Type K and N thermocouples shall be
checked monthly for equipment operating at or above
760C (1400F) and changed annually at a minimum.
Type K and N thermocouples shall be checked
quarterly for equipment operating below 760C (1400F)
and changed every two years at a minimum.
Type R and S thermocouples shall be checked
monthly for equipment operating at or above 760C
(1400F) and changed every two years at a minimum.
Protection Tubes shall be visually checked at
same frequency as thermocouples.

B2.4

3.4

Temperature Uniformity Survey (TUS): refer to AMS


2750D for procedures. TUS frequency shall be annual
and after major rebuild.
Temperature uniformity tolerance shall be +/- 9 C (15
F).
Minimum and maximum temperature ranges shall be
tested per AMS 2750D. Exception: If the operating
range of the Qualified Work Zone is equal to or less
than 85 C (153 F) then only one temperature is
required to be tested. The temperature shall be within
the operating range of the Qualified Work Zone.
Frequency reductions per AMS 2750D are not
allowed.

B2.5

3.5

Recorded temperature(s) shall be controlled within +/9C (or +/- 15F) of the set point as evidenced by
continuous recording pyrometers. Furnace
temperature shall be controlled with soak times
starting at the lower tolerance limit (as defined
above).

PROCESS TABLE B - Nitriding (Gas) and Ferritic-Nitrocarburizing (Gas or Salt)


All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the
auditor shall verify heat treater is conforming to the customer's requirements.
* Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
----- indicate "not applicable".
Item #

B2.6
3.0
B3.1

Related
HTSA
Question #
3.2

1.4
2.14

Category/Process Steps

Infrared pyrometers shall be calibrated to a black


body furnace annually .
PROCESS MONITOR FREQUENCIES
Monitor primary temperature control instrument(s).

Batch
Furnace

Each batch or
continuous
recording with
sign-off every
2 hours.
Alarm
systems
satisfy the
sign-off
requirement

Continuous
Furnace*

Each lot or
continuous
recording with
sign-off every 2
hours. Alarm
systems satisfy
the sign-off
requirement

1.4
2.14
3.7
1.4
2.14
3.7

Monitor generator atmospheres, if applicable.

Monitor primary furnace atmosphere control(s).

Each batch
(rotary
furnaces
only) or
continuous
recording with
sign-off every
2 hours.
Alarm
systems
satisfy the
sign-off
requirement

Continuous
recording with
sign-off every 2
hours. Alarm
systems satisfy
the sign-off
requirement

B3.4

1.4
3.7

Dissociation of ammonia shall be checked in gas


nitriding.

Every 4 hours

B3.5

1.4
3.7
1.4
2.14
3.13

Gas ratios for ferritic nitrocarburizing shall be


checked.
Check salt chemistry (soluble oxides) in salt baths
used for austenitizing, or decarburization on the parts.

Each batch
and every 4
hours
minimum
Each batch

1.4
2.12

Quench Media Process Parameters


- Temperature

B3.2

B3.3

B3.6

B3.7

- Quench Level

-----

-----

-----

Every 2 hours
minimum
-----

Cover Page

Index Page

Generators

Salt Bath

Each Shift

Every 2 hours
& after any
change

Continuous

-----

-----

Daily

Daily

N/A

-----

Daily

Each batch or
continuous
recording with
sign-off every
2 hours.
Alarm
systems
satisfy the
sign-off
requirement.

Each lot or
continuous
recording with
sign-off every 2
hours. Alarm
systems satisfy
the sign-off
requirement.

-----

Each batch or
continuous
recording with
sign-off every
2 hours.
Alarm
systems
satisfy the
sign-off
requirement.

Daily

Daily

-----

Daily

PROCESS TABLE B - Nitriding (Gas) and Ferritic-Nitrocarburizing (Gas or Salt)


All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the
auditor shall verify heat treater is conforming to the customer's requirements.
* Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
----- indicate "not applicable".
Item #

Related
HTSA
Question #

Category/Process Steps

- Agitation

Cover Page

Index Page

Continuous
Furnace*

Generators

Salt Bath

- Daily
- Monitor
each load in
the absence
of an alarm
system.
Each batch

- Daily
- Monitor every 2
hours in the
absence of an
alarm system.

-----

Daily

Twice/shift &
after any change
in the belt speed.

-----

Each batch

Each batch

Twice/shift &
after any change
in loading rate.

-----

Each batch

Each basket if
applicable.

-----

Each batch

Daily per furnace

---------

Daily per
furnace
Each batch

-----

Each batch
Each batch

Batch
Furnace

B3.8

1.4
2.14

Monitor time in furnace, cycle time or belt speed.

B3.9

1.4
2.7

Monitor load size or fixturing or loading rate as


applicable.

B3.10

1.4
2.12

Quench Delay Time if applicable Each batch


Alarm system shall be based on the time that the load
exits the furnace to the time the load is at the bottom
of the quench tank.
IN-PROCESS/FINAL TEST FREQUENCIES
Microstructure
Daily per
furnace
Surface hardness
Each batch

4.0
B4.1
B4.2
B4.3
B4.4

1.4
2.15
1.4
2.15
1.4
2.15
1.4
2.15

5.0

B5.1

B5.2

B5.3

B5.4

B5.5

Core hardness (when specified)

Each batch

Every 2 hours
minimum
Every 4 hours

Case depth (when specified)

Each batch

Every 4 hours

-----

Daily
Every six
months

Daily
Every six months

---------

---------

Every six
months

Every six months

-----

-----

Every six
months

Every six months

-----

Every six
months

Daily

Daily

-----

-----

Every six
months

Every six months

-----

-----

Quarterly

Quarterly

-----

-----

2x / week

2x / week

-----

2x / week

Daily
Each shift

Daily
Each shift

---------

Daily
Each shift

2.12
3.14

QUENCHANT AND SOLUTION TEST


FREQUENCIES
Quench Media Controls If Applicable
Polymer Quench Media
- Concentration
- Quenchability Check; e.g., cooling
curve, viscosity, or titration.
Water Quench Media
- Suspended solids

2.12
3.14

Salt Quench Media


- Analysis & Contaminants

2.12
3.14

Brine or Caustic Quench Media


- Concentration and/or Specific
Gravity
- Suspended solids

2.12
3.14

2.12
3.14

B5.6

2.13

B5.7

2.11

Oil Quench Media


- Water content, suspended solids,
viscosity, cooling curve, total acid,
and flash point.
Rust Preventive - Soluble Oil
- Concentration
Washers
- Concentration of cleaner
- Temperature of solution (required if temperature is
specified to be above ambient temperature).

PROCESS TABLE C - Aluminum Heat Treating


All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the
auditor shall verify heat treater is conforming to the customer's requirements.
*Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
----- indicate "not applicable".
Item #

Related
HTSA
Question #

1.0

Category/Process Steps

PROCESS AND TEST EQUIPMENT


REQUIREMENTS
All furnaces and quench systems shall have
temperature indicating instruments.
Continuous strip charts and/or data loggers are
required for temperature sensors.
All hardness test equipment (for each scale used) shall
be calibrated semi-annually minimum, and verified
daily minimum per the applicable ASTM standard.

Cover Page

Index Page

Batch Solution Treating


and Aging Furnaces

Continuous Solution
Treating and Aging
Furnaces

Annealing
Furnace

Yes

Yes

Yes

Yes

Yes

Yes

-----

-----

-----

C1.3

3.1
3.7
3.1
3.7
2.16

C1.4

3.2

Furnace weigh scales shall be verified quarterly and


calibrated annually at a minimum.

Yes

Yes

Yes

C1.5

3.2

Refractometers (typically used to check polymer


quenchants and washer solutions) shall be verified
daily (with distilled water) and calibrated annually (per
manufacturer's requirements) at a minimum.

-----

-----

-----

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

C1.1
C1.2

2.0
C2.1

C2.2

3.2
3.3

PYROMETRY
Thermocouples and calibration of thermocouples shall
conform to AMS 2750D.

3.2
3.3

Instrument Calibration per AMS 2750D shall be


quarterly at a minimum.
Frequency reductions per AMS 2750D are not allowed.

C2.3

3.2
3.3

CQI-9 requires a comparative check of the control


temperature sensor (CTS) in the Qualified Work Zone
to a (1) calibrated test temperature sensor (CTTS) or,
(2) resident thermocouple (R-T/C).
(1) The CTS shall be +/- 5C (or +/- 10F) of a CTTS at
the operating temperature range; this checked shall
be performed monthly.
(2) The relationship between the CTS and R-T/C at
the operating temperature range shall be within +/- 1C
(or +/- 2F) of their relationship determined at the time
of the last temperature uniformity survey; this checked
shall be performed weekly.
Any actions to correct a failing reading or validate a
test result shall be documented.
Additionally, Type K and N thermocouples shall be
checked monthly for equipment operating at or above
760C (1400F) and changed annually at a minimum.
Type K and N thermocouples shall be checked
quarterly for equipment operating below 760C (1400F)
and changed every two years at a minimum.

PROCESS TABLE C - Aluminum Heat Treating


All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the
auditor shall verify heat treater is conforming to the customer's requirements.
*Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
----- indicate "not applicable".
Item #

Related
HTSA
Question #

Category/Process Steps

Cover Page

Index Page

Batch Solution Treating


and Aging Furnaces

Continuous Solution
Treating and Aging
Furnaces

Annealing
Furnace

Yes

Yes - In Qualified Work


Zone

Yes

Type R and S thermocouples shall be checked monthly


for equipment operating at or above 760C (1400F) and
changed bi-annually every two years at a minimum.
Protection Tubes shall be visually checked at
same frequency as thermocouples.
C2.4

3.4

Temperature Uniformity Survey (TUS): refer to AMS


2750D for procedures. TUS frequency shall be
quarterly and after major rebuild.
Temperature uniformity tolerance for solution treating
and aging furnaces shall be +/- 6 C (or +/- 10 F).
Temperature uniformity tolerance for annealing
furnaces shall be +/- 14 C (or +/- 25 F).
Minimum and maximum temperature ranges shall be
tested per AMS 2750D. Exception: If the operating
range of the Qualified Work Zone is equal to or less
than 85 C (153 F) then only one temperature is
required to be tested. The temperature shall be within
the operating range of the Qualified Work Zone.
Frequency reductions per AMS 2750D are not allowed.

C2.5

3.5

Recorded temperature(s) shall be controlled within +/6C (or +/- 10F) of the set point as evidenced by
continuous recording pyrometers. Furnace
temperature shall be controlled with soak times starting
at the lower tolerance limit (as defined above).

Yes

Yes - In Qualified Work


Zone

-----

C2.6

3.5

Recorded temperature(s) shall be controlled within +/9C (or +/- 15F) of the set point as evidenced by
continuous recording pyrometers. Furnace
temperature shall be controlled with soak times starting
at the lower tolerance limit (as defined above).

-----

-----

Yes

C2.7

3.2

Infrared pyrometers shall be calibrated to a black body


furnace annually.
PROCESS MONITOR FREQUENCIES
Monitor primary temperature control instrument(s).
Each batch or continuous
recording with sign-off
every 2 hours. Alarm
systems satisfy the sign-off
requirement.

Each lot or continuous


recording with sign-off
every 2 hours. Alarm
systems satisfy the signoff requirement.

Each batch or
continuous
recording with
sign-off every
2 hours.
Alarm
systems
satisfy the
sign-off
requirement.

3.0
C3.1

1.4
2.14

PROCESS TABLE C - Aluminum Heat Treating


All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the
auditor shall verify heat treater is conforming to the customer's requirements.
*Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
----- indicate "not applicable".
Item #

C3.2

Related
Category/Process Steps
HTSA
Question #
1.4
Quench Media Process Parameters
2.12
- Heat treater shall specify temperature range based
on product form and material. Temperature shall be
monitored as noted.

- Quench Level
- Agitation

Continuous Solution
Treating and Aging
Furnaces

Annealing
Furnace

Each batch or continuous


recording with sign-off
every 2 hours. Alarm
systems satisfy the sign-off
requirement.
Daily
- Daily visual check is
required.

Each lot or continuous


recording with sign-off
every 2 hours. Alarm
systems satisfy the signoff requirement.
Daily
- Daily visual check is
required.

-----

- Monitor every 2 hours


in the absence of an
alarm system.
Twice/shift & after any
change in the indexing
speed.
Twice/shift & after any
change in loading rate.
Each load

C3.3

1.4
2.14

Monitor process cycle time

C3.4

1.4
2.7
1.4
2.12

Monitor load size or fixturing as applicable.

Each batch

4.0
C4.1

1.4
2.15

5.0
C5.1

C5.2
C5.3

Index Page

Batch Solution Treating


and Aging Furnaces

- Monitor each load in the


absence of an alarm
system.
Each batch

C3.5

Cover Page

Quench Delay Time Each batch


Quench delay time shall be based on the time that the
load exits the furnace to the time the load is at the
bottom of the quench tank.
IN-PROCESS/FINAL TEST FREQUENCIES
Hardness or tensile testing (post aging).
Each batch

Every 4 hours

---------

Each batch

Each batch
-----

Each batch or
every 4 hours
for continuous
furnaces

QUENCHANT AND SOLUTION TEST FREQUENCIES


2.12
3.14

2.12
3.14
2.11

Polymer Quench Media


- Concentration
- Suspended solids
- Quenchability Check; e.g., cooling
curve, viscosity, or titration.
Water Quench Media
- Suspended solids
Washers
- Concentration of cleaner
- Temperature of solution (required if temperature is
specified to be above ambient temperature).

Daily
Every six months
Every six months

Daily
Every six months
Every six months

-------------

Every six months

Every six months

-----

Daily
Each shift

Daily
Each shift

Daily
Each shift

PROCESS TABLE D - Induction Heat Treating


All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc.
When performing the job audit, the auditor shall verify heat treater is conforming to the customer's
requirements.
Cover Page
Index Page
----- indicate "not applicable".
Item #

Related HTSA
Question #

1.0
D1.1
D1.2

--2.16

D1.3

2.16

D1.4

3.2

2.0
D2.1

3.2

3.0

Category/Process Steps

Per Coil

PROCESS AND TEST EQUIPMENT


REQUIREMENTS
Per customer requirement
All hardness test equipment (for each scale
used) shall be calibrated semi-annually
minimum, and verified daily minimum per
the applicable ASTM standard.

-----

Files shall be verified daily (or prior to use)


with provers per SAE J864.
Refractometers (typically used to check
polymer quenchants and washer solutions)
shall be verified each shift (with distilled
water) and calibrated annually (per
manufacturer's requirements) at a
minimum.
PYROMETRY
Infrared pyrometers shall be calibrated to a
black body furnace annually.
PROCESS MONITORING FREQUENCIES

---------

-----

All process parameters shall be checked the beginning of every shift, tool change, or any equipment
repair. In absence of process parameter alarms, also check process parameters at end of shift or lot
(whichever is the greater frequency).
D3.1

1.4
2.12

Quench Media Process Parameters


- Temperature

- Quench Level
- Quench Pressure and Flow

Alarm system for high and low


temperature is required.
Daily
- Quench pressure and flow may
checked at manifold. Quench
flow shall be checked visually at
each coil.
- In the absence of an alarm
system, monitor every 2 hours or
after any change.

PROCESS TABLE D - Induction Heat Treating


All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc.
When performing the job audit, the auditor shall verify heat treater is conforming to the customer's
requirements.
Cover Page
Index Page
----- indicate "not applicable".
Item #
D3.2
D3.3

Related HTSA
Question #
1.4
2.14
1.4
2.14
3.16

4.0

Category/Process Steps
Monitor cycle time
Monitor:
1) Volts or Amps, and
2) Kilowatts
Use of an energy monitor or signature
monitor satisfies 1) and 2).
IN-PROCESS/FINAL TEST
FREQUENCIES

D4.4

1.4
2.15

Induction pattern length

D4.5

1.4
2.15

Total or Effective Case depth

D4.6

1.4
2.15

Surface hardness

D4.7

1.4
2.15

Core hardness (when specified)

Per Coil
Check cycle time at start up and
after any process change.
- This requirement applies to
each power supply (not per coil).
- In the absence of an alarm
system, monitor every 2 hours or
after any change.
Production Setup or Coil Change Per Coil
(1st Piece Inspection)
1 part at start-up, end of
production run, and every 4 hours
minimum, and 1 part pre and 1
part post tool change, equipment
repair, station alarm (shutdown,
malfunction, etc.)
1 part at start-up, end of
production run, and 1 part per 8
hours minimum, and 1 part pre
and 1 part post tool change,
equipment repair, station alarm
(shutdown, malfunction, etc.)
1 part at start-up, end of
production run, and every 4 hours
minimum, and 1 part pre and 1
part post tool change, equipment
repair, station alarm (shutdown,
malfunction, etc.)
1 part at start-up, end of
production run, and every 4 hours
minimum, and 1 part pre and 1
part post tool change, equipment
repair, station alarm (shutdown,
malfunction, etc.)

PROCESS TABLE D - Induction Heat Treating


All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc.
When performing the job audit, the auditor shall verify heat treater is conforming to the customer's
requirements.
Cover Page
Index Page
----- indicate "not applicable".
Item #
D4.8

Related HTSA
Category/Process Steps
Question #
1.4
Microstructure
2.15

5.0

D5.1

D5.2
D5.3

2.12
3.14

2.12
3.14
2.12
3.14

D5.4

2.13

D5.5

2.11

QUENCHANT AND SOLUTION TEST


FREQUENCIES
Quench Media Controls If Applicable
Polymer Quench Media
- Concentration
- Quenchability Check; e.g., cooling
curve, viscosity, or titration
Water Quench Media
- Suspended solids
Brine or Caustic Quench Media
- Concentration and/or Specific
Gravity
- Suspended solids
Rust Preventive - Soluble Oil
- Concentration
Washers
- Concentration of cleaner
- Temperature of solution (required if
temperature is specified to be above
ambient temperature).

Per Coil
1 part at start-up, and 1 part pre
and 1 part post tool change,
equipment repair, station alarm
(shutdown, malfunction, etc.)

Once per day


Monthly

Quarterly
Monthly
Quarterly
2x / week
Daily
Each shift

PROCESS TABLE E - Annealing / Normalizing / Stress-Relieving

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the
auditor shall verify heat treater is conforming to the customer's requirements.
* Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
** Does not apply to furnaces operating below 760C (1400F).
----- indicate "not applicable".
Item # Related HTSA
Category/Process Steps
Question #
1.0
PROCESS AND TEST EQUIPMENT REQUIREMENTS

Cover Page

Index Page

Batch
Furnace

Continuous
Furnace *

Generators

E1.1

3.1
3.7

All furnaces, generators and quench systems (where


applicable) shall have temperature indicating
instruments.

Yes

Yes

Yes

E1.2

3.1
3.7

Continuous strip charts and/or data loggers are required


for temperature and carbon monitoring unit, e.g., dew
point, oxygen probe, IR gas analyzer, etc.

Yes

Yes

Yes

E1.3

3.2

Furnace weigh scales shall be verified quarterly and


calibrated annually at a minimum.

Yes

Yes

-----

E1.4

3.2

Dew pointers, 3-gas analyzers, spectrometers, and


carbon IR combustion analyzers (shim stock analysis),
used to verify carbon potential in furnaces, shall be
calibrated annually at a minimum. This is applicable
when used in controlling carbon-bearing atmospheres.

-----

-----

-----

E1.5

3.2

Verification of calibration of spectrometers, and carbon


IR combustion analyzers, shall be checked daily or prior
to use. This is applicable when used in controlling
carbon-bearing atmospheres.

-----

-----

-----

E1.6

3.2

Verification of calibration of 3-gas analyzers with zero


gas and span gas shall be performed weekly at a
minimum. This is applicable when used in controlling
carbon-bearing atmospheres.

-----

-----

-----

E1.7

3.2

Oxygen probe controllers shall be calibrated quarterly at


a minimum. This is applicable when used in controlling
carbon-bearing atmospheres.

Yes

Yes

Yes

E1.8

2.16

All hardness test equipment (for each scale used) shall


be calibrated semi-annually minimum, and verified daily
minimum per the applicable ASTM standard.

-----

-----

-----

2.0

PYROMETRY

E2.1

3.2
3.3

Thermocouples and calibration of thermocouples shall


conform to AMS 2750D.

Yes

Yes

Yes

E2.2

3.2
3.3

Instrument Calibration per AMS 2750D shall be quarterly


at a minimum.

Yes

Yes

Yes

Frequency reductions per AMS 2750D are not allowed.

PROCESS TABLE E - Annealing / Normalizing / Stress-Relieving

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the
auditor shall verify heat treater is conforming to the customer's requirements.
* Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
** Does not apply to furnaces operating below 760C (1400F).
----- indicate "not applicable".
Item # Related HTSA
Category/Process Steps
Question #
3.2
CQI-9 requires a comparative check of the control
E2.3
3.3
temperature sensor (CTS) in the Qualified Work Zone to
a (1) calibrated test temperature sensor (CTTS) or, (2)
resident thermocouple (R-T/C).

Cover Page

Index Page

Batch
Furnace
Yes

Continuous
Furnace *
Yes

Generators

Yes

Yes - In Qualified Work


Zone

-----

Yes

Yes - In Qualified Work


Zone

-----

Yes

(1) The CTS shall be +/- 5C (or +/- 10F) of a CTTS at


the operating temperature range; this checked shall be
performed monthly.
(2) The relationship between the CTS and R-T/C at the
operating temperature range shall be within +/- 1C (or +/2F) of their relationship determined at the time of the
most recent temperature uniformity survey; this checked
shall be performed weekly.
Any actions to correct a failing reading or validate a test
result shall be documented.
Additionally, Type K and N thermocouples shall be
checked monthly for equipment operating at or above
760C (1400F) and changed annually at a minimum.
Type K and N thermocouples shall be checked quarterly
for equipment operating below 760C (1400F) and
changed every two years at a minimum.
Type R and S thermocouples shall be checked monthly
for equipment operating at or above 760C (1400F) and
changed bi-annually every two years at a minimum.
Protection Tubes shall be visually checked at
same frequency as thermocouples.
E2.4

3.4

Temperature Uniformity Survey (TUS): refer to AMS


2750D for procedures. TUS frequency shall be annual
and after major rebuild.
Temperature uniformity tolerance for hardening furnaces
shall be +/- 14 C (or +/- 25 F). Temperature uniformity
tolerance for tempering furnaces shall be +/- 11 C (or +/20 F).
Minimum and maximum temperature ranges shall be
tested per AMS 2750D. Exception: If the operating
range of the Qualified Work Zone is equal to or less
than 85 C (153 F) then only one temperature is required
to be tested. The temperature shall be within the
operating range of the Qualified Work Zone.
Frequency reductions per AMS 2750D are not allowed.

E2.5

3.0

3.5

Recorded temperature(s) shall be controlled within +/9C (or +/- 15F) of the set point as evidenced by
continuous recording pyrometers. Furnace temperature
shall be controlled with soak times starting at the lower
tolerance limit (as defined above).
PROCESS MONITOR FREQUENCIES

PROCESS TABLE E - Annealing / Normalizing / Stress-Relieving

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the
auditor shall verify heat treater is conforming to the customer's requirements.
* Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
** Does not apply to furnaces operating below 760C (1400F).
----- indicate "not applicable".
Item # Related HTSA
Category/Process Steps
Question #
1.4
Monitor primary temperature control instrument(s).
E3.1
2.14

Batch
Furnace
Each batch or
continuous recording
with sign-off every 2
hours. Alarm systems
satisfy the sign-off
requirement.

Cover Page

Index Page

Continuous
Generators
Furnace *
Each lot or continuous Each Shift
recording with sign-off
every 2 hours. Alarm
systems satisfy the signoff requirement.

E3.2

1.4
2.14
3.7

Monitor generator atmospheres

E3.3

1.4
2.14
3.7

Monitor primary furnace atmosphere control(s)**.

Continuous recording
with sign-off every 2
hours. Alarm systems
satisfy the sign-off
requirement.

Continuous recording
with sign-off every 2
hours. Alarm systems
satisfy the sign-off
requirement.

E3.4

1.4
2.14
3.7
1.4
2.14
3.13

Verify primary atmosphere control method by back-up


method**.

Daily

Daily

For salt baths: check salt chemistry (soluble oxides) in


salt baths or decarburization on the parts.

Daily

Daily

-----

E3.6

1.4
2.14

Monitor time in furnace, cycle time or belt speed.

Each batch

Twice/shift & after any


change in the belt
speed.

-----

E3.7

1.4
2.7

Monitor load size or fixturing or loading rate as


applicable.

Each batch

Twice/shift & after any


change in loading rate.

-----

E3.5

4.0

-----

-----

Continuous

-----

Daily

IN-PROCESS/FINAL TEST FREQUENCIES

E4.1

1.4
2.15

Microstructure (when specified)

Daily per furnace

Daily per furnace

-----

E4.2

1.4
2.15

Surface hardness (when specified)

Each batch

Every 2 hours minimum

-----

E4.3

1.4
2.15

Core hardness (when specified)

Each batch

Every 4 hours

-----

2x / week

2x / week

-----

- Concentration of cleaner

Daily

Daily

-----

- Temperature of solution (required if temperature is


specified to be above ambient temperature).

Each shift

Each shift

-----

5.0

SOLUTION TEST FREQUENCIES

E5.1

2.13

E5.2

2.11

Rust Preventive - Soluble Oil


- Concentration
Washers

Cover Page

CQI-11 PLATING SYSTEM ASSESSMENT


Instructions for completing the Cover Sheet
1

Facility Name: Name of the facility being assessed.


One form shall be used for each facility. The facility may have several buildings or physical
locations in the same general area. If there is a separate management team (Quality Manager and
Plating Specialist) or different management system, then these locations shall be considered as
separate facilities.

Address: The street address of the facility being assessed; P.O. Box numbers may be given as
additional information.

Phone Number: The phone number of the facility.


If there is no common phone number for the facility, the phone number of the Operations
Manager or Quality Manager shall be used.

Fax number: The fax number of the facility.

Number of Plating Employees at this Facility: The number of employees, salaried and hourly,
associated with the plating operation at this facility.

Captive Plater (Y/N): Enter "Y" if this facility Plates components for their own company. Enter
"N" if the company does not Plate any components for their own company.

Commercial Plater (Y/N): Enter "Y" if this facility Plates components for companies other than
their own company. Enter "N" if this facility does not Plate any components for other companies.

Date of Assessment: Enter the date(s) of the assessment. An alphanumeric format shall be used
to avoid confusion with different numeric formats.
Example: May 3 -- 4, 2006.

Date of Previous Assessment: List the date of the previous CQI-11 Special Process: Plating
System Assessment of this facility.

10

Type(s) of Plating at this Facility: Place a checkmark to designate the Plating process(es)
performed at this facility. This information determines the appropriate Process Table that shall be
used during the assessment. Processes not listed on the cover sheet are not part of the Plating
System Assessment.

11

Current Quality Certification(s): the plater shall list their current quality certifications, e.g.,
ISO/TS 16949, ISO 9001-2000. Certifications may be from 3rd party sources or customer
quality certifications. If customer quality certification is given, then the year of the last
assessment by the customer shall also be given.

12

Date of Re-assessment (if necessary): If "Not Satisfactory" findings were observed from the
original assessment, then the plater shall address each item and determine correct action,
including root cause analysis and implementation of the corresponding corrective action(s).
The date of the re-assignment shall be given here, and the appropriate Question(s) from Sections
1 - 5, in the original assessment, shall be modified to reflect that the evidence, relating to the
implementation of the corrective action(s), has been observed. Also, the "Number of Not
Satisfactory Findings" shall be modified as appropriate.

13

Personnel Contacted: List the name(s), title(s), phone number(s), and email address(es), if
available, of the principal participants from the plater's organization.

14

Auditors/Assessors: List the name(s), Company(ies), phone number(s) and email address(es), if
available, of the auditor/assessor(s).

15

Number of "Not Satisfactory" Findings: Enter the number of "Not Satisfactory" findings
observed during the assessment.

16

Number of "Needs Immediate Action" Findings: Enter the number of "Needs Immediate
Action" findings observed during the assessment.

17

Number of "Fail" Findings in the Job Audit(s): Enter the number of "Fail" findings observed
from the job audit.

Index Page

Special Process: Plating System Assessment

Cover Page

Facility Name:
Address:

Phone Number:
Fax Number:

Type(s) of Plating Processing at this Facility:


Process Table A
Zinc
Zinc Alloy Plating

Number of Plating Employees at this Facility:


Captive Plater (Y/N):
Commercial Plater (Y/N):

Process Table B
Surface Conditioning of
Metals for Decorative Plating

Date of Assessment:

Process Table C
Surface Conditioning of ABS
& PCABS Plastics for
Decorative Plating

Date of Previous Assessment:


Process Table D
Decorative Plating
Process Table E
Mechanical Plating
Process Table F
Equipment
Process Equipment
Current Quality Certification(s):
Date of Re-assessment (if necessary):
Personnel Contacted:
Name:

Title:
0
0
0
0

Auditors/Assessors:
Name:

Phone:

Email;

Phone:

Email:

0
0
0
0

Company:
0
0
0
0

Number of "Not Satisfactory" Findings:

Number of "Needs Immediate Action" Findings:

Number of "Fail" Findings in the Job Audit(s):

Index Page

Special Process: Plating Process Assessment (General Facility Overview)


Cover Page

Index Page

Assessment

Question
Number

Question

Requirements and Guidance

Objective Evidence

N/A

Section 1 - Management Responsibility and Quality Planning

Is there a dedicated and


qualified plating person onsite?

To ensure readily available expertise, there shall be


a dedicated and qualified plating person on the site.
This individual shall be a full-time employee and the
position shall be reflected in the organization chart. A
job description shall exist identifying the
qualifications for the postition including chemical and
plating knowledge. The qualifications shall include a
minimum of 5 years experience in plating and
surface finishing or a combination of formal
chemistry/chemical engineering education and
plating experience totaling a minimum of 5 years.

1.2

Does the plater perform


advanced quality planning?

The organization shall incorporate a documented


advance quality planning procedure. A feasibility
study shall be performed and internally approved for
each part. Similar parts can be grouped into part
families for this effort as defined by the organization.
After the part approval process is approved by the
customer, no process changes are allowed unless
approved by the customer. The plater shall contact
the customer when clarification of process changes
is required. This clarification of process changes
shall be documented.

1.3

The organization shall incorporate the use of a


documented Failure Mode and Effects Analysis
(FMEA) procedure and ensure the FMEAs are
updated to reflect current part quality status.
The FMEA shall be written for each part or part
family or they may be process-specific and written for
Are plater FMEA's up to date
each process. In any case, they shall address all
and reflecting current
process steps from part receipt to part shipment and
processing?
all key plating process parameters as defined by the
organization. A cross-functional team shall be used
in the development of the FMEA. All characteristics,
as defined by the organization and its customers,
shall be identified, defined, and addressed in the
FMEA.

1.4

The organization shall incorporate the use of a


documented Control Plan procedure and ensure the
Control Plans are updated to reflect current controls.
The Control Plans shall be written for each part or
part family or they may be process-specific and
written for each process. In any case, they shall
address all process steps from part receipt to part
shipment and identify all equipment used and all key
plating process parameters as defined by the
Are finish process control
organization. A cross-functional team, including a
plans up to date and
production operator, shall be used in the
reflecting current processing? development of Control Plans, which shall be
consistent with all associated documentation such as
work instructions, shop travelers, and FMEAs. All
special characteristics, as defined by the
organization and its customers, shall be identified,
defined, and addressed in the Control Plans. Sample
sizes and Frequencies for evaluation of process and
product characteristics shall also be addressed
consistent with the minimum requirements listed in
the Process Tables.

1.1

Satisfactory

Not
Needs Immediate
Satisfactory
Action

Special Process: Plating Process Assessment (General Facility Overview)


Cover Page

Index Page

Assessment

Question
Number

Question

Requirements and Guidance

Objective Evidence

N/A

Section 1 - Management Responsibility and Quality Planning

1.5

To ensure all customer requirements are both


understood and satisfied, the organization shall have
all related plating and customer referenced
standards and specifications available for use and a
method to ensure that they are current. Such
standards and specifications include, but are not
limited to, those relevant documents published by
SAE, AIAG, ASTM, General Motors, Ford, and
DaimlerChrysler. The organization shall have a
Are all plating related and
process to ensure the timely review, distribution, and
referenced specifications
implementation of all customer and industry
current and available? For
engineering standards and specifications and
example: SAE, AIAG, ASTM,
changes based on customer-required schedule.
General Motors, Ford, and
This process shall be executed as soon as possible
DaimlerChrysler.
and shall not exceed two weeks. The organization
shall document this process of review and
implementation, and it shall address how customer
and industry documents are obtained, how they are
maintained within the organization, how the current
status is established, and how the relevant
information is cascaded to the shop floor within the
two-week period. The organization shall identify who
is responsible for performing these tasks.

1.6

Is there a written process


specification for all active
processes?

The plater shall have written process specifications


for all active processes and identify all steps of the
process including relevant operating parameters.
Examples of operating parameters include process
temperatures, cycle times, load rates, rectifier
settings, etc. Such parameters shall not only be
defined, they shall have operating tolerances as
defined by the organization in order to maintain
process control. All active processes should have a
written process specification. These process
specifications may take the form of work instructions,
job card, computer-based recipes, or other similar
documents.

1.7

To demonstrate each process is capable of yielding


acceptable product the organization shall perform
product capability studies for the initial validation of
each process, after relocation of any process
equipment, and after a major rebuild of any
equipment. The organization shall define what
constitutes a major rebuild. Initial product capability
studies shall be conducted for all plating processes
per line as defined in scope of work and in
Has a valid product capability
accordance with customer requirements. Capability
study been performed initially
study techniques shall be appropriate for the plating
and after process change?
product characteristics, e.g. plate thickness,
corrosion resistance, etc.. Any specific customer
requirements shall be met. In the absence of
customer requirements, the organization shall
establish acceptable ranges for measures of
capability. An action plan shall exist to address the
steps to be followed in case capability indices fall
outside customer requirements or established
ranges.

Satisfactory

Not
Needs Immediate
Satisfactory
Action

Special Process: Plating Process Assessment (General Facility Overview)


Cover Page

Index Page

Assessment

Question
Number

Question

Requirements and Guidance

Objective Evidence

N/A

Section 1 - Management Responsibility and Quality Planning

1.8

Does the plater collect and


analyze data over time, and
react to this data?

The analysis of products and processes over time


can yield vital information for defect prevention
efforts. The organization shall have a system to
collect, analyze, and react to product or process data
over time. Methods of analysis shall include ongoing
trend or historical data analysis of special product or
process parameters. The organization shall
determine which parameters to include in such
analysis.

1.9

Does management review


and verify bake oven logs for
parts requiring hydrogen
embrittlement relief every 24
hours?

Management shall review the oven monitoring


systems/logs at intervals not to exceed 24 hours or
prior to parts being released for shipment. The
plater shall have reaction plans for nonconformances to process requirements. This is to
contain, at minimum, requirements for quarantining
material and notifying customer.

1.10

Are internal assessments


being completed on an
annual basis, at a minimum,
incorporating AIAG PSA?

The organization shall conduct internal assessments


on an annual basis, at a minimum, using the AIAG
PSA. Concerns shall be addressed in a timely
manner.

1.11

The quality management system shall include a


documented process for reprocessing that shall
include authorization from a designated individual.
The reprocessing procedure shall describe product
characteristics for which reprocessing is allowed as
Is there a system in place to well as those characteristics for which reprocessing
authorize reprocessing and is is not permissible. All reprocessing activity shall
it documented?
require a new processing control sheet issued by
qualified technical personnel denoting the necessary
plating modifications. Records shall clearly indicate
when and how any material has been reprocessed.
The Quality Manager or a designee shall authorize
the release of reprocessed product.

1.12

The quality management system shall include a


Does the Quality Department
process for documenting, reviewing, and addressing
review, address, and
customer concerns and any other concerns internal
document customer and
to the organization. A disciplined problem-solving
internal concerns?
approach shall be used.

1.13

Is there a continual
improvement plan applicable
to each process defined in
the scope of the assessment?

1.14

Does the Quality Manager or


The Quality Manager or designee is responsible for
designee authorize the
authorizing and documenting appropriate personnel
disposition of material from
to disposition quarantine material.
quarantine status?

1.15

There shall be procedures and work instructions


available to plating personnel covering the plating
process. These procedures or work instructions shall
Are there procedures or work
include methods of addressing potential
instructions available to
emergencies (such as power failure), equipment
plating presonnel that define
start-up, equipment shut-down, product segregation
the plating process?
(See 2.8), product inspection, and general operating
procedures. These procedures or work instructions
shall be accessible to shop floor personnel.

The plater shall define a process for continual


improvement for each plating process identified in
the scope of the PSA. The process shall be
designed to bring about continual improvement in
quality and productivity. Identified actions shall be
prioritized and shall include timing (estimated
completion dates). The organization shall show
evidence of program effectiveness.

Satisfactory

Not
Needs Immediate
Satisfactory
Action

Special Process: Plating Process Assessment (General Facility Overview)


Cover Page

Index Page

Assessment

Question
Number

Question

Requirements and Guidance

Objective Evidence

N/A

Section 1 - Management Responsibility and Quality Planning

1.16

The organization shall provide employee training for


all plating operations. All employees, including
backup and temporary employees, shall be trained.
Documented evidence shall be maintained showing
Is management providing
the employees trained and the evidence shall
employee training for plating?
include an assessment of the effectiveness of the
training. Management shall define the qualification
requirements for each function, and ongoing or
follow-up training shall also be addressed.

1.17

Is there a responsibility matrix


to ensure that all key
management and supervisory
functions are performed by
qualified personnel?

1.18

Is there a preventive
maintenance program? Is
maintenance data being
utilized to form a predictive
maintenance program?

The organization shall maintain a responsibility


matrix identifying all key management and
supervisory functions and the qualified personnel
who may perform such functions. It shall identify both
primary and secondary (backup) personnel for the
key functions (as defined by the organization). This
matrix shall be readily available to management at all
times.

The organization shall have a documented


preventive maintenance program for key process
equipment (as identified by the organization). The
program shall be a closed-loop process that tracks
maintenance efforts from request to completion to
assessment of effectiveness. Equipment operators
shall have the opportunity to report problems, and
problems shall also be handled in a closed-loop
manner. Company data, e.g., downtime, quality
rejects, first time-through capability, recurring
maintenance work orders, and operator-reported
problems, shall be used to improve the preventive
maintenance program. Maintenance data shall be
collected and analyzed as part of a predictive
maintenance program.

1.19

Has the plater developed a


critical spare part list and are
the parts available to
minimize production
disruptions?

2.1

Does the facility ensure that


the data entered in the
receiving system matches the
information on the customer's
shipping documents?

Documented processes and evidence of compliance


shall exist, e.g., shop travelers, work orders, etc. The
facility shall have a detailed process in place to
resolve receiving discrepancies.

2.2

Is product clearly identified


and staged throughout the
plating process?

Procedures for part and container identification help


to avoid incorrect processing or mixing of lots.
Appropriate location and staging within the facility
also help to ensure that orders are not shipped until
all required operations are performed. Customer
product shall be clearly identified and staged
throughout the plating process. Non-plated, inprocess, and finished product shall be properly
segregated and identified. All material shall be
staged in a dedicated and clearly defined area.

2.3

Out-going lot(s) shall be traceable to the incoming


Is lot traceability and integrity lot(s). The descipline of precisely identifying lots and
maintained throughout all
linking all pertinent information to them enhances the
processes?
ability to do root cause analysis and continual
improvement.

The plater shall develop and maintain a critical spare


parts list and shall ensure the availability of such
parts to minimize production disruptions.

Section 2 - Floor and Material Handling Responsibility

Satisfactory

Not
Needs Immediate
Satisfactory
Action

Special Process: Plating Process Assessment (General Facility Overview)


Cover Page

Index Page

Assessment

Question
Number

Question

Requirements and Guidance

Objective Evidence

N/A

Section 1 - Management Responsibility and Quality Planning

2.4

Are procedures adequate to


prevent movement of nonconforming product into the
production system?

The control of suspect or non-conforming product is


necessary to prevent inadvertent shipment or
contamination of other lots. Procedures shall be
adequate to prevent movement of non-conforming
product into the production system. Procedures
shall exist addressing proper disposition, product
identification and tracking of material flow in and out
of hold area. Non-conforming hold area shall be
clearly designated to maintain segregation of such
material.

2.5

Is there a system to identify


trap points in the entire
plating process to reduce risk
of mixed parts (inappropriate,
unfinished, or improperly
plated parts)?

The plater shall have documented procedures to


identify and monitor trap points for each
process/equipment. Monitoring of potential trap
points shall occur for every part changeover.

2.6

Are containers free of


innappropriate material?

Containers handling customer product shall be free


of inappropriate material. After emptying and before
re-using containers, containers shall be inspected to
ensure that all parts and inappropriate material have
been removed. The source of inappropriate material
shall be identified and addressed. This is to ensure
that no nonconforming plating parts or inappropriate
material contaminate the finished lot.

2.7

Is part loading specified,


documented and controlled?

Loading parameters shall be specified, documented


and controlled. Examples include parts per rack and
load size.

2.8

Are operators trained in


material handling,
containment action and
product segregation in the
event of an equipment
emergency including power
failure?

Unplanned or emergency downtime greatly raises


the risk of improper processing. Operators shall be
trained in material handling, containment action, and
product segregation in the event of an equipment
emergency including power failure. Training shall be
documented. Work instructions specifically
addressing potential types of equipment
emergencies and failures shall be accessible to and
understood by equipment operators. These
instructions shall address containment/reaction plans
related to all elements of the process. Evidence shall
exist showing disposition and traceability of affected
product.

2.9

Is the handling, storage and


packaging adequate to
preserve product quality?

The plater's loading/unloading systems, in process


handling and shipping process shall be assessed for
risk of part damage or other quailty concerns.

2.10

Are plant cleanliness,


housekeeping and
environmental and working
conditions conducive to
control and improved quality?

Plant cleanliness, housekeeping, environmental, and


working conditions shall be conducive to controlling
and improving quailty. The plater should evaluate
such conditions and their effect on quality. A
housekeeping policy shall be clearly defined and
executed. The facility shall be reviewed for the
following items: loose parts on floor; spillage around
tanks; overall plant lighting; fumes etc.

2.11

Are process control


parameters monitored per
frequencies specified in
Process Tables?

Process control parameters shall be monitored per


frequencies specified in Process Tables. Computer
monitoring equipment with alarms and alarm logs
satisfy the verification requirement. A designated
floor person shall verify the process parameters,
e.g., by initialing a strip chart or data log.

2.12

Are out of
control/specification
parameters reviewed and
reacted to?

Are there documented reaction plans to both out of


control and out of tolerance process parameters? Is
there documented evidence that reaction plans are
followed?

2.13

Are In-Process / Final Test


Frequencies performed as
specified in Process Tables?

In-Process / Final Test Frequencies shall be


performed as specified in Process Tables. Refer to
Process Tables.

Satisfactory

Not
Needs Immediate
Satisfactory
Action

Special Process: Plating Process Assessment (General Facility Overview)


Cover Page

Index Page

Assessment

Question
Number

Question

Requirements and Guidance

Objective Evidence

N/A

Section 1 - Management Responsibility and Quality Planning

2.14

Is product test equipment


verified?

Test equipment shall be verified/calibrated per


applicable customer specific standard or per an
applicable consensus standard, e.g., ASTM, SAE,
ISO, NIST, etc. Verification/calibration results shall
be internally reviewed, approved and documented.
Refer to Process Tables for frequency of checks.

Satisfactory

Not
Needs Immediate
Satisfactory
Action

Section 3 - Zinc/ Zinc Alloy Plating Equipment

Cover Page

Index Page

Assessment

Question
Number
3.1

Question
Does plating line have
proper process control
equipment?

Requirements and Guidance


Refer to Process Table F for equipment
requirements.

A system shall be used by the plating


facility to track calibration dates of
equipment. This system will typically be a
computerized tracking system or other
notification system. Test equipment
shall be verified/calibrated per applicable
customer specific standard or
consensus standard, e.g., ASTM, SAE,
ISO, NIST, etc. Verification/calibration
results shall be internally reviewed,
approved and documented.

3.2

Are process and testing


equipment calibrations
and/or verification certified,
posted, and current?

3.3

Are barrels, racks, and


baskets maintained?

Supplier shall have preventative


maintenance system that is documented
and implemented.

3.4

Are rectifiers maintained?

Supplier shall have preventative


maintenance system that is documented
and implemented.

3.5

3.6

Uniformity survey must show that ovens


were tested both empty and with a
For hydrogen embrittlement
dense load. Parts must come up to
relief ovens, are
temperature within one hour of entering
temperature uniformity
oven and meet temperature tolerance
surveys performed yearly?
specified by customer.
For hydrogen embrittlement Supplier shall have preventative
relief ovens, are
maintenance system that is documented
thermocouples checked
and implemented.
and/or replaced quarterly?

Objective Evidence

N/A

Satisfactory

Not Satisfactory

Needs Immediate
Action

Section 4 - Decorative (Cu, Ni, Cr) Plating Equipment

Cover Page

Index Page

Assessment

Question
Number

Question

Requirements and Guidance

Does plating line have


proper process control
equipment?

Refer to Process Table F for equipment


requirements.

4.2

Are process and testing


equipment calibrations
and/or verification certified,
posted, and current?

A system shall be used by the plating


facility to track calibration dates of
equipment. This system will typically be
a computerized tracking system or other
notification system. Test equipment shall
be verified/calibrated per applicable
customer specific standard or consensus
standard, e.g., ASTM, SAE, ISO, NIST,
etc. Verification/calibration results shall
be internally reviewed, approved and
documented. Refer to Process Table F,
for equipment certification time table

4.3

Are racks maintained?

4.4

Are rectifiers maintained?

4.5

Are filters maintained?

4.6

Is all other applicable


equipment maintained?

4.7

For all thermocouples/


thermometers are they
checked and/or replaced?

4.8

Are the process and


equipment alarm checks
being tested?

4.1

Supplier shall have preventative


maintenance system that is documented
and implemented.
Supplier shall have preventative
maintenance system that is documented
and implemented.
Supplier shall have preventative
maintenance system that is documented
and implemented.
Supplier shall have preventative
maintenance system that is documented
and implemented.
Supplier shall have preventative
maintenance system that is documented
and implemented.
Checks shall be documented. Each
alarm shall be reviewed independently
for functionality if applicable. Plater shall
have a list of alarms relevant to process.

Objective Evidence

N/A Satisfactory

Not
Satisfactory

Needs
Immediate
Action

Section 5 - Job Audit - Finished Product Review

Cover Page

Index Page

Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Material:
Plating Requirements:
Question
#
5.1

5.2

5.3
5.4

5.5

Job Audit Question

Related
PSA Question #

Are contract review, advance


quality planning, FMEA, control
plans, etc., performed by qualified
individuals?

1.2
1.3
1.4
1.17

N/A

Does the plater have the proper


customer specifications for the
part?
Is a shop traveler created to meet
customer requirements?
Is material identification (part
numbers, lot numbers, contract
numbers, etc.) maintained
throughout the plating process?
Is there documented evidence of
Receiving Inspection?

1.5

N/A

5.6
Are the Loading / Racking
requirements identified?
5.7

5.8

5.8.1

5.8.2

5.8.3

5.8.4

Is the proper procedure or


process specification used?
Refer to Process Tables for
specific parameters. List
parameters that were verified in
this audit in the spaces provided
below.

What are the product inspection


requirements?
Requirement: Plate Thickness
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Requirement: Corrosion
Resistance
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Requirement: Hydrogen
Embrittlement Relief (if
Applicable)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Requirement: Adhesion Test
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:

Customer or Internal
Requirement

Job (Shop) Order or Reference


Documentation Requirement

Actual Condition
Pass / Fail
(Objective Evidence)
/ N/A

1.6
2.1
2.2
2.3
2.4
2.1
1.6
2.7
2.9

1.5
1.6
2.1
2.11
2.13

2.13

Each part may have one or more requirements determined by the plating
specification. Parts must meet each requirement. List each requirement below and
validate.

Section 5 - Job Audit - Finished Product Review

Cover Page

Index Page

Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Material:
Plating Requirements:
Question
#
5.8.5

Job Audit Question

Related
PSA Question #

Requirement: Alloy (if Applicable)

Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Requirement: Torque Tension (if
5.8.6
Applicable)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Requirement: Appearance
5.8.7
(Decorative)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Requirement: S.T.E.P.
5.8.8
(Decorative)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Requirement: Pore Count/Size
5.8.9
(Decorative)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
5.8.10 Requirement: Ductility by foil
(Decorative)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
5.8.11 Requirement: Internal Stress
(Decorative)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
5.8.12 Requirement:Thermal Cycle
(Decorative Plastic)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Operator or Inspector Responsibilities
Were appropriate process steps
5.9
signed off?

5.10
Were all inspection steps, as
documented in the control plan
performed?
5.11
Were steps/operations performed
that were not documented in the
control plan?

1.4
2.2
2.3
2.11
1.2
1.4

1.2
1.4
1.6

Customer or Internal
Requirement

Job (Shop) Order or Reference


Documentation Requirement

Actual Condition
Pass / Fail
(Objective Evidence)
/ N/A

Section 5 - Job Audit - Finished Product Review

Cover Page

Index Page

Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Material:
Plating Requirements:
Question
#

Job Audit Question

5.12

If additional steps were


performed, were they authorized?

5.13

If the order was certified, did the


certification accurately reflect the
process performed?
Was the certification signed by an
authorized individual?
Are the parts and containers free
of foreign objects or
contamination?
Packaging Requirements
Are packaging requirements
identified?
Are parts packaged to minimize
mixed parts (parts packed over
height of container)?
Shipping Requirements
Were the parts properly
identified?
Were the containers properly
labeled?

5.14
5.15

5.16
5.17

5.18
5.19

Related
PSA Question #
1.2
1.4
1.6
1.11
1.17
2.11
2.13
1.17
2.6

2.9
2.9

2.3
2.3
2.9

Customer or Internal
Requirement

Job (Shop) Order or Reference


Documentation Requirement

Actual Condition
Pass / Fail
(Objective Evidence)
/ N/A

Cover Page
Assessor(s) shall have the following specific experience to conduct the PLATING SYSTEM ASSESSMENT:
1
2

Be an experienced quality management system (QMS) internal auditor (for example,


ISO/TS 16949-2002, ISO 9001:2000).
Assessor shall possess plating knowledge. Evidence shall include a minimum of 5 years
experience in plating and surface finishing or a combination of formal
chemsitry/chemical engineering education and plating experience totaling a minimum of 5 years.
Assessor shall possess knowledge of and be familiar with the application of automotive
quality core tools including statistical process control, measurement systems analysis,
part approval, failure mode and effects analysis, and advanced quality planning.

Note: If more than one assessor is required to meet the above qualifications, the lead assessor shall be the
person meeting the requirements in item # 1 above.

Index Page

PROCESS TABLE A - Zinc - Zinc Alloy Plating


Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When
performing the job audit, the auditor shall verify plater is conforming to customer requirements.

ITEM #

Related PSA
Question #

1.0

A1.1
A1.2
A1.3
A1.4
A1.5
A1.6
A1.7
2.0

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

A2.1
A2.2
A2.3

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

1.4; 2.11; 2.13

A2.4
A2.5
A2.6
3.0

A3.1
A3.2
A3.3
A3.4
A3.5
A3.6
A3.7
A3.8
A3.9
A3.10
A3.11
4.0

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

Category/Process Steps
Metal Cleaning
Type:
Size,volume:
Proprietary name:
Chemical supplier:
Temperature
Concentration
Time
Agitation
Current/Voltage (As applicable)
Solution Level
Rinse
Acid
Type:
Size,volume:
Proprietary name:
Chemical supplier:
Temperature - Optional
Concentration
Time (Less than 10 Minutes or Customer
Specific)
Inhibitor
Solution Level
Rinse
Acid Plating Bath
Type:
Size,volume:
Proprietary name:
Chemical supplier:
Temperature
Time
Current/Voltage
Chloride Concentration
pH
Plating Test Cell (Hull)
Metal Concentration(s)
Buffer (Ammonia / Boric Acid per TDS)
Filtration
Agitation (Rack only - others optional)
Rinse
Alkaline Plating Bath
Type:
Size,volume:
Proprietary name:
Chemical supplier:

Control

Monitoring

Automatic
Automatic or Manual
Per Tech Data Sheet
Per Tech Data Sheet
Automatic
Automatic or Manual
Process Sheet

1/Shift
1/Day
Per Process Sheet
Per Process Sheet
1/Shift
1/Shift
1/Shift

Automatic
Automatic or Manual
Automatic

1/Shift
1/Shift
Continuous

Per Tech Data Sheet


Automatic or Manual
Process Sheet

N/A
1/Shift
1/Shift

Automatic
Automatic
Automatic
Manual
Automatic or Manual
Manual
Automatic or Manual
Manual
Continuous
Continuous
Per Process Sheet

1/Shift
1/Shift
1/Shift
1/Day
1/Shift
1/Day
1/Day
1/Day
1/Shift
1/Shift
1/Shift

PROCESS TABLE A - Zinc - Zinc Alloy Plating


Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When
performing the job audit, the auditor shall verify plater is conforming to customer requirements.

ITEM #
A4.1
A4.2
A4.3
A4.4
A4.5
A4.6
A4.7
A4.8
5.0

6.0

A6.1
A6.1.1
A6.1.2
A6.2
A6.2.1
A6.2.2
A6.2.3
A6.2.4
A6.2.5
A6.2.6
A6.3
A6.4
7.0

Related PSA
Category/Process Steps
Question #
1.4; 2.11; 2.13 Temperature
1.4; 2.11; 2.13 Time
1.4; 2.11; 2.13 Current/Voltage
Caustic Concentration
Plating Test Cell (Hull)
Metal Concentration(s)
Filtration
Rinse
Hydrogen Embrittlement Relief
3.6
Oven Type:
3.6
Oven Temperature:
Passivates
Type:
Size,volume:
Proprietary name:
Chemical supplier:
Acid Activation
- Concentration
1.4; 2.11; 2.13 - Time
Passivate
- Concentration
1.4; 2.11; 2.13 - Temperature
1.4; 2.11; 2.13 - Time
- pH
- Agitation
- Contamination (e.g. Fe, Zn)
Rinse
Dry
Supplemental Treatments - Sealers and
Torque Tension Modifiers

A7.1

Control
Automatic
Automatic
Automatic
Manual
Manual
Automatic or Manual
Continuous
Per Process Sheet

1/Shift
1/Shift
1/Shift
1/Day
1/Day
1/Day
1/Shift
1/Shift

Per Control Plan


Automatic or Manual
Automatic or Manual
Per Control Plan
Automatic or Manual
Automatic or Manual
Automatic or Manual
Automatic or Manual
Automatic or Manual
Per Process Sheet
Per Process Sheet
Per Tech Data Sheet

N/A
1/Shift
1/Shift
N/A
1/Shift
1/Shift
1/Shift
1/Shift
1/Shift
1/week
1/Shift
Per Process Sheet

Concentration

Automatic or Manual

Solution Temperature

Automatic

Time

Automatic or Manual

A7.4

pH

Automatic or Manual

A7.5

Drying Temperature

Automatic

A7.6

Spin Speed

Automatic

A7.7

Agitation

Automatic or Manual

A7.2
A7.3

1.4; 2.11; 2.13


1.4; 2.11; 2.13

Monitoring

Per Control Plan and


TDS
Per Control Plan and
TDS
Per Control Plan and
TDS
Per Control Plan and
TDS
Per Control Plan and
TDS
Per Control Plan and
TDS
Per Control Plan and
TDS

PROCESS TABLE B - Surface Conditioning of Metals for Decorative


Plating
Index Page
Cover Page
All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When
performing the job audit, the auditor shall verify plater is conforming to customer requirements.

ITEM #

Related PSA
Question #

1.0
B1.1
B1.2
B1.3
B1.4
B1.5
B1.6
2.0

B2.1
B2.2
B2.3
B2.4
B2.5
B2.6
B2.7
3.0
B3.1
B3.1.1
B3.1.2
B3.1.3
B3.1.4
B3.1.5
B3.1.6
B3.1.7
B3.2
B3.2.1
B3.2.2
B3.2.3
B3.2.4
B3.2.5
B3.2.6
B3.2.7
4.0

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

B4.1
B4.2
B4.3
B4.4

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

4.4

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13
4.4

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

Category/Process Steps
Polishing and Buffing
Manual
Automatic
Steel
Stainless Steel
Aluminum
Zinc diecast
Metal Cleaning
Type:
Size,volume:
Proprietary name:
Chemical supplier:
Temperature
Concentration
Time
Agitation - Optional
Current/Voltage (As applicable)
Solution Level
Rinse
Pretreatment
Strike (As applicable)
- Temperature
- Concentration
- Time
- Agitation - Optional
- Current/Voltage (if applicable)
- Solution Level
- Rinse
Zincate (Aluminum Only)
- Temperature
- Concentration
- Time
- Agitation - Optional
- Solution Level
- Dump Schedule
Rinse
Acid
Type:
Size,volume:
Proprietary name:
Chemical supplier:
Temperature - Optional
Concentration
Time (Per Specification)
Solution Level

Control

Monitoring

Automatic
Automatic or Manual
Per TDS
Per TDS
Automatic
Automatic or Manual
Process Sheet

1/Shift
1/Shift
Per process sheet
Per process sheet
1/Shift
1/Shift
1/Shift

N/A
Automatic
Automatic or Manual
Automatic
Per TDS
Automatic
Automatic or Manual
Process Sheet
N/A
Automatic
Automatic or Manual
Automatic
Per TDS
Automatic or Manual
Per TDS
Process Sheet

N/A
1/Shift
1/Shift
Per process sheet
Per process sheet
1/Shift
1/Shift
1/Shift
N/A
1/Shift
1/Shift
Per process sheet
Per process sheet
1/Shift
Per process sheet
1/Shift

Automatic
Automatic or Manual
Automatic
Automatic or Manual

1/Shift
1/Shift
Continuous
1/Shift

PROCESS TABLE B - Surface Conditioning of Metals for Decorative


Plating
Index Page
Cover Page
All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When
performing the job audit, the auditor shall verify plater is conforming to customer requirements.

ITEM #
B4.5

Related PSA
Question #

Category/Process Steps
Rinse

(Proceed to Process Table D - Decorative Plating)

Control
Process Sheet

Monitoring
1/Shift

PROCESS TABLE C - Surface Conditioning of ABS & PCABS Plastic


for Decorative Plating
Cover Page
Index Page
All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When
performing the job audit, the auditor shall verify plater is conforming to customer requirements.

ITEM #

Related PSA
Question #

1.0

C1.1
C1.2
C1.3
C1.4
C1.5
C1.6
2.0

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

C2.1
C2.2
C2.3
C2.4
C2.5
C2.6
3.0

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

C3.1
C3.2
C3.3
C3.4
C3.5
C3.6
4.0

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

C4.1
C4.2
C4.3
C4.4

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

Category/Process Steps
Cleaning and Pre-Etch (If Applicable)
Type:
Size,volume:
Proprietary name:
Chemical supplier:
Temperature
Concentration
Time
Agitation
Solution Level
Rinse
Etch
Type:
Size,volume:
Proprietary name:
Chemical supplier:
Temperature
Concentration
Time
Agitation
Solution Level
Rinse
Neutralizer
Type:
Size,volume:
Proprietary name:
Chemical supplier:
Temperature
Concentration
Time
Agitation
Solution Level
Rinse
Activator
Type:
Size,volume:
Proprietary name:
Chemical supplier:
Temperature
Concentration
Time
Agitation

Control

Monitoring

Automatic
Automatic or Manual
Automatic
Per TDS
Automatic or Manual
Process Sheet

1/Shift
1/Shift
Per process sheet
Per process sheet
1/Shift
1/Shift

Automatic
Automatic or Manual
Automatic
Per TDS
Automatic or Manual
Process Sheet

1/Shift
1/Shift
Per process sheet
Per process sheet
1/Shift
1/Shift

Automatic
Automatic or Manual
Automatic
Per TDS
Automatic or Manual
Process Sheet

1/Shift
1/Shift
Per process sheet
Per process sheet
1/Shift
1/Shift

Automatic
Automatic or Manual
Automatic
Per TDS

1/Shift
1/Shift
Per process sheet
Per process sheet

PROCESS TABLE C - Surface Conditioning of ABS & PCABS Plastic


for Decorative Plating
Cover Page
Index Page
All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When
performing the job audit, the auditor shall verify plater is conforming to customer requirements.

ITEM #

Related PSA
Question #

C4.5
C4.6
5.0

C5.1
C5.2
C5.3
C5.4
C5.5
C5.6
6.0

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

C6.1
C6.2
C6.3
C6.4
C6.5
C6.6
7.0

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

C7.1
C7.2
C7.3
C7.4
C7.5
C7.6
C7.7

1.4; 2.11; 2.13


1.4; 2.11; 2.13
4.1, 4.4
1.4; 2.11; 2.13

Category/Process Steps
Solution Level
Rinse
Accelerator
Type:
Size,volume:
Proprietary name:
Chemical supplier:
Temperature
Concentration
Time
Agitation
Solution Level
Rinse
Electroless Plating
Type:
Size,volume:
Proprietary name:
Chemical supplier:
- Temperature
- Concentration
- Time
- Agitation
- Solution Level
- Rinse
Electrolytic Plating - Strike
Type:
Size,volume:
Proprietary name:
Chemical supplier:
- Temperature
- Concentration
- Current
- Time
- Agitation
- Solution Level
- Rinse

Control

Monitoring

Automatic or Manual
Process Sheet

1/Shift
1/Shift

Automatic
Automatic or Manual
Automatic
Per TDS
Automatic or Manual
Process Sheet

1/Shift
1/Shift
Per process sheet
Per process sheet
1/Shift
1/Shift

Automatic
Automatic or Manual
Automatic
Per TDS
Automatic or Manual
Process Sheet

1/Shift
1/Shift
Per process sheet
Per process sheet
1/Shift
1/Shift

Automatic
Automatic or Manual
Automatic
Automatic
Per TDS
Automatic or Manual
Process Sheet

1/Shift
1/Day
1/Shift
1/Shift
1/Shift
1/Shift
1/Shift

PROCESS TABLE D - Decorative Plating


Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When
performing the job audit, the auditor shall verify plater is conforming to customer requirements.
ITEM #

Related PSA
Question #

1.0

D1.1
D1.2
D1.3
D1.4
D1.5
D1.6
D1.7
D1.8
D1.9
2.0

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

D2.1
D2.2
D2.3
D2.4
D2.5
D2.6
D2.7
D2.8
D2.9
D2.10
D2.11
3.0

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

D3.1
D3.2
D3.3
D3.4
D3.5
D3.6
D3.7
D3.8
4.0

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

4.1, 4.4

4.1, 4.4
4.2
4.2
4.2
4.2

4.1, 4.4

Category/Process Steps
Acid Copper (as applicable)
Type:
Size,volume:
Proprietary name:
Chemical supplier:
Temperature
Concentration(s)
Time
Agitation
Current/Voltage
Solution Level
Rinse
Filtration
Post Clean
Semi-Bright Nickel
Type:
Size,volume:
Proprietary name:
Chemical supplier:
Temperature
Concentration(s)
Time
Agitation
Current/Voltage
Solution Level
pH
Internal stress test
Ductility test
Sulfur Concentration (as deposited)
Filtration
High Activity Nickel (as applicable)
Type:
Size,volume:
Proprietary name:
Chemical supplier:
Temperature
Concentration(s)
Time
Agitation
Current/Voltage
Solution Level
pH
Filtration
Bright Nickel
Type:
Size,volume:

Control

Monitoring

Automatic
Automatic or Manual
Automatic
Per TDS
Per Process Sheet
Automatic or Manual
Per Process Sheet
Continuous
Per Process Sheet

1/Shift
1/Shift
Per process sheet
Per process sheet
Per Job
1/Shift
1/Shift
1/Shift
1/Day

Automatic
Automatic or Manual
Automatic
Per TDS
Per Process Sheet
Automatic or Manual
Automatic
Manual
Manual
Manual
Continuous

1/Shift
1/Shift
Per process sheet
Per process sheet
Per Job
1/Shift
1/Shift
1/Month
1/Month
1/Month
1/Shift

Automatic
Automatic or Manual
Automatic
Per TDS
Per Process Sheet
Automatic or Manual
Automatic
Continuous

1/Shift
1/Shift
Per process sheet
Per process sheet
Per Job
1/Shift
1/Shift
Per process sheet

PROCESS TABLE D - Decorative Plating


Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When
performing the job audit, the auditor shall verify plater is conforming to customer requirements.
ITEM #

Related PSA
Question #

D4.1
D4.2
D4.3
D4.4
D4.5
D4.6
D4.7
D4.8
D4.9
D4.10
5.0

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

D5.1
D5.2
D5.3
D5.4
D5.5
D5.6
D5.7
D5.8
D5.9
6.0

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

D6.1
D6.2
D6.3
D6.4
D6.5
D6.6
D6.7
D6.8

1.4; 2.11; 2.13


1.4; 2.11; 2.13
1.4; 2.11; 2.13

4.1,4.4

4.1,4.4
4.2
4.2

4.1,4.4

4.2

Category/Process Steps
Proprietary name:
Chemical supplier:
Temperature
Concentration(s)
Time
Agitation
Current/Voltage
Solution Level
pH
Internal stress test
Ductility test
Filtration
Microporous Nickel
Type:
Size,volume:
Proprietary name:
Chemical supplier:
Temperature
Concentration(s)
Time
Agitation
Current/Voltage
Solution Level
pH
Rinse
STEP Test (of final product)
Chromium
Type:
Size,volume:
Proprietary name:
Chemical supplier:
Temperature
Concentration(s)
Time
Agitation (if applicable)
Current/Voltage
Solution Level
Rinse
Pore Count and Pore Size

Control

Automatic
Automatic or Manual
Automatic
Per TDS
Per Process Sheet
Automatic or Manual
Automatic
Manual
Manual
Continuous

Monitoring

1/Shift
1/Shift
Per process sheet
Per process sheet
Per Job
1/Shift
1/Shift
1/Month
1/Month
1/Shift

Automatic
Automatic or Manual
Automatic
Per TDS
Per Process Sheet
Automatic or Manual
Automatic
Per Process Sheet
Manual

1/Shift
1/Shift
Per Process Sheet
Per Process Sheet
Per Job
1/Shift
1/Shift
1/Shift
1/Day

Automatic
Automatic or Manual
Automatic
Per TDS
Per Process Sheet
Automatic or Manual
Per Process Sheet
Manual

1/Shift
2/Shift
Per Process Sheet
Per Process Sheet
Per Job
1/Shift
1/Shift
1/Day

PROCESS TABLE E - Mechanical Plating


Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc.
When performing the job audit, the auditor shall verify plater is conforming to customer requirements.

ITEM #

Related PSA
Question #

1.0

Category/Process Steps

Control

Monitoring

Automatic

1/Shift

Metal Cleaning (Off Line)

E1.1

1.4; 2.11; 2.13 Temperature

E1.2

1.4; 2.11; 2.13 Concentration

Automatic or Manual

E1.3

1.4; 2.11; 2.13 Time

Automatic or Manual Per Process Sheet

1/Shift

E1.4

Agitation

Per TDS

E1.5

Solution Level

Automatic or Manual

1/Shift

E1.6

Rinse

Per Process Sheet

1/Shift

2.0

Per Process Sheet

Mechanical Plating

E2.1

Load Size (e.g. weight, area, volume)

Per Process Sheet

per load

E2.2

Water Volume

Per Process Sheet

per load

Per Process Sheet

per load

E2.3

1.4; 2.11; 2.13 Temperature

E2.4.1

Media Mix (Ratio) - Sieve Testing

Per Process Sheet

1 x per week

E2.4.2

Media (Load Volume)

Per Process Sheet

per load

E2.4.3

Media (Cleanliness - To Avoid


Contamination)

Per Process Sheet

1 x per week

E2.5.1

Surface Conditioner (Volume or weight) Per Process Sheet

per load

E2.5.2

Surface Conditioner (Time)

Per Process Sheet

per load

E2.6.1

Surface preparation (Volume or weight) - Per Process Sheet


Cu Flash

per load

E2.6.2

Surface preparation (Time)

Per Process Sheet

per load

E2.7.1

Promoter(s) (Volume)

Per Process Sheet

per load

E2.7.2

Promoter (Time)

Per Process Sheet

per load

E2.8.1

Zinc Flash (Weight or volume)

Per Process Sheet

per load

E2.8.2

Zinc Flash (Time)

Per Process Sheet

per load

E2.9.1

Metal Addition (Weight or volume)

Per Process Sheet

per load

E2.9.2

Metal Addition (Number of Adds)

Per Process Sheet

per load

pH adjustments (Dependent on Adds)

Per Process Sheet

as needed

E2.11

Metal (Thickness)

Per Process Sheet

per load

E2.12

Water Polish (time)

Per Process Sheet

per load

E2.13

Part/Media Separation

Per Process Sheet

per load

E2.10

3.0

3.2

Passivates

PROCESS TABLE E - Mechanical Plating


Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc.
When performing the job audit, the auditor shall verify plater is conforming to customer requirements.

ITEM #
E3.1

Related PSA
Question #

Category/Process Steps

E3.1.1

Acid Activation per Control Plan


1.4; 2.11; 2.13 - Concentration

E3.1.2

1.4; 2.11; 2.13

E3.2

- Time

Control

Monitoring

Per Process Sheet

1/Shift

Per Process Sheet

1/Shift

Passivate

E3.2.1

1.4; 2.11; 2.13

- Concentration

Per Process Sheet

1/Shift

E3.2.2

1.4; 2.11; 2.13

- Temperature

Per Process Sheet

1/Shift

E3.2.3

1.4; 2.11; 2.13

- Time

Per Process Sheet

1/Shift

E3.2.4

3.2

- pH

Per Process Sheet

1/Shift

E3.2.5

- Agitation

Per Process Sheet

1/Shift

E3.2.6

- Contamination (e.g. Fe, Zn)

Per Process Sheet

1/week

E3.3

Rinse

Per Process Sheet

1/Shift

E3.4

Dry

Per Process Sheet

Per Process Sheet

4.0

Supplemental Treatments - Sealers


and Torque Tension Modifiers

E4.1.1

1.4; 2.11; 2.13

- Concentration

Automatic or Manual

Per Control Plan and


TDS

E4.1.2

1.4; 2.11; 2.13

- Solution Temperature

Automatic or Manual

E4.1.3

1.4; 2.11; 2.13

- Time

Automatic or Manual

Per Control Plan and


TDS
Per Control Plan and
TDS

E4.1.4

3.2

- pH

Automatic or Manual

Per Control Plan and


TDS

E4.1.5

- Drying Temperature

Automatic

Per Control Plan and


TDS

E4.1.6

- Spin Speed

Automatic

Per Control Plan and


TDS

- Agitation

Automatic or Manual

Per Control Plan and


TDS

E4.1.7

PROCESS TABLE F - EQUIPMENT


All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. The
auditor shall verify plater is conforming to customer requirements.
Cover Page
Index Page
LABORATORY EQUIPMENT
Decorative EQUIPMENT TYPE
Plating
pH Meter/Probe
X
Wet Analysis
X
Atomic Absorption (Optional)
X

F1
F1.2
F1.3

Related PSA
Zinc/Zinc
Question #
Alloy
2.14; 3.1; 4.1; 4.2
X
2.14; 3.1; 4.1; 4.2
X
2.14; 3.1; 4.1; 4.2
X

F1.4
F1.5
F1.6
F1.7
F1.8
F1.9
F1.10
F1.11

3
3.2 & 4.2
2.14; 3.1; 4.1; 4.2
2.14; 3.1; 4.1; 4.2
2.14; 3.1; 4.1; 4.2
2.14; 3.1; 4.1; 4.2
2.14; 3.1; 4.1; 4.2
2.14; 3.1; 4.1; 4.2

F1.12

2.14; 3.1; 4.1; 4.2

F2

2.14; 3.1; 4.1; 4.2

F2.1
F2.2
F2.3

2.14; 3.1; 4.1; 4.2


2.14; 3.1; 4.1; 4.2
3.2 & 4.2

X
X
X

ITEM

PSA Clause
Number

ITEM #

F3
3.3 & 4.3
3.3

F3.1

F3.2

3.4 & 4.4

X
X

MINIMUM REQUIRED TESTING CAPABILITY


Salt Spray Cabinet
Thickness Tester
X
STEP
X
CASS
X
Microscope
X
Freezer (POP only)
X
Lab Oven (POP only)
X
Stress (External Testing Acc.)
X
Sulfur by Foil (External
Testing Acc.)
Ductility (External Testing
Acc.)
Pore Count/Active Sites
Pull Tester
Lab Rectifier

PROCESS EQUIPMENT
Zinc &
Decorative EQUIPMENT TYPE
Zinc Alloy
Plating
Plating
Machine - Return type
X
X
automatic
Rack
X
X
Rack Size
Barrel
X
Horizontal
Oblique
Barrel Size
-volume
-dimensions
Hoist
X
X
Manual
Automatic
Rack Size
Barrel Size
Rectifier Type
X
X
Water cooled
Air cooled
Amperage controlled

Verification
Frequency
Daily
N/A

Calibration
Frequency
Yearly
N/A

N/A
Daily
N/A
N/A
N/A
N/A
N/A
N/A

Yearly
Yearly
Yearly
Yearly
Yearly
Yearly
Yearly
Yearly

Daily

Yearly

N/A

Yearly

N/A
N/A
N/A

N/A
Yearly
Yearly

Verification
Frequency

Calibration
Frequency

PROCESS TABLE F - EQUIPMENT


All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. The
auditor shall verify plater is conforming to customer requirements.
Cover Page
Index Page
ITEM

PSA Clause
Number

Zinc &
Decorative
Zinc Alloy
Plating
Plating

EQUIPMENT TYPE
Voltage controlled

F3.3

Filters
Pre-pack
Cartridge
Other

F3.4

3.5

3.5
3.6

X
X

3.3

F3.5

F3.6

F3.7

Oven type
Continious
Batch
Chart recorder
Themocouples
number
Basket type
Expanded metal
Perforated
Solid
Size
Controllers
Automatic feeders
Timers
Temperature
Volume
Agitation type
Air
Cathode rod
Water source
Tap
RO
Deionized

Verification
Frequency

Calibration
Frequency

Cover Page

Index Page

CQI-12 COATING SYSTEM ASSESSMENT


Instructions for completing the Cover Sheet
1

Facility Name: Name of the facility being assessed.


One form shall be used for each facility. The facility may have several buildings or physical locations
in the same general area. If there is a separate management team (Quality Manager and Coating
Specialist) or different management system, then these locations shall be considered as separate facilities.

Address: The street address of the facility being assessed; P.O. Box numbers may be given as
additional information.

Phone Number: The phone number of the facility.


If there is no common phone number for the facility, the phone number of the Operations
Manager or Quality Manager shall be used.

Fax number: The fax number of the facility.

Number of Coating Employees at this Facility: The number of employees, salaried and hourly,
associated with the coating operation at this facility.

Captive Coater (Y/N): Enter "Y" if this facility coats components for their own company. Enter
"N" if the company does not coat any components for their own company.

Commercial Coater (Y/N): Enter "Y" if this facility coats components for companies other than
their own company. Enter "N" if this facility does not coat any components for other companies.
Date of Assessment: Enter the date(s) of the assessment. An alphanumeric format shall be used
to avoid confusion with different numeric formats.

Date of Previous Assessment: List the date of the previous CQI-12 Special Process: Coating
System Assessment of this facility.

10

Type(s) of Coating at this Facility: Place a checkmark to designate the coating process(es)
performed at this facility. This information determines the appropriate Process Table that shall be
used during the assessment. Processes not listed on the cover sheet are not part of the Coating
System Assessment.

11

Current Quality Certification(s): the coater shall list their current quality certifications, e.g.,
ISO/TS 16949, ISO 9001-2000. Certifications may be from 3rd party sources or customer
quality certifications. If customer quality certification is given, then the year of the last
assessment by the customer shall also be given.

12

Date of Re-assessment (if necessary): If "Not Satisfactory" findings were observed from the
original assessment, then the coater shall address each item and determine correct action,
including root cause analysis and implementation of the corresponding corrective action(s).
The date of the re-assignment shall be given here, and the appropriate Question(s) from Sections
1 - 3, in the original assessment, shall be modified to reflect that the evidence, relating to the
implementation of the corrective action(s), has been observed. Also, the "Number of Not
Satisfactory Findings" shall be modified as appropriate.

13

Personnel Contacted: List the name(s), title(s), phone number(s), and email address(es), if
available, of the principal participants from the coater's organization.

14

Auditors/Assessors: List the name(s), Company(ies), phone number(s) and email address(es), if
available, of the auditor/assessor(s).

15

Number of "Not Satisfactory" Findings: Enter the number of "Not Satisfactory" findings
observed during the assessment.

16

Number of "Needs Immediate Action" Findings: Enter the number of "Needs Immediate
Action" findings observed during the assessment.

17

Number of "Fail" Findings in the Job Audit(s): Enter the number of "Fail" findings observed
from the job audit.

Special Process: Coating System Assessment


Cover Page
Facility Name:
Address:

Phone Number:
Fax Number:

Type(s) of Coating Processes at this Facility:


Process Table A
Aqueous Cleaning
Process Table B
Mechanical Cleaning
Process Table C
Phosphating
Process Table D
Powder Coating
Process Table E
Electrocoat
Process Table F
Spray
Process Table G
Dip/Spin
Process Table H
Autophoretic
Process Table I
Convective Cure
Process Table J
Equipment

Number of Coating Employees at this Facility:


Captive Coater (Y/N):
Commercial Coater (Y/N):
Date of Assessment:
Date of Previous Assessment:

Current Quality Certification(s):


Date of Re-assessment (if necessary):
Personnel Contacted:
Name:

Title:
0
0
0
0

Auditors/Assesors:
Name:

Phone:

Email:

Phone:

Email:

0
0
0
0

Company:
0
0
0
0

Number of "Not Satisfactory" Findings:

Number of "Needs Immediate Action" Findings:

Number of "Fail" Findings in the Job Audit(s):

Index Page

Special Process: Coating System Assessment (General Facility Overview)

Cover Page

Index Page

Assessment

Question
Number

Question

Requirements and Guidance

Objective Evidence

N/A

Section 1 - Management Responsibility and Quality Planning

Is there a dedicated and


qualified coating person onsite?

To ensure readily available expertise, there shall be a


dedicated and qualified coating person on the site.
This individual shall be a full-time employee and the
position shall be reflected in the organization chart. A
job description shall exist identifying the qualifications
for the position including chemical and coating
knowledge. The qualifications shall include a
minimum of 5 years experience in coating operation
or a combination of a minimum of 5 years of formal
chemical education and coating experience.

1.2

Does the coater perform


advanced quality planning?

The organization shall incorporate a documented


advanced quality planning procedure. A feasibility
study shall be performed and internally approved for
each new part or process. Similar parts can be
grouped into part families for this effort as defined by
the organization. After the part approval process is
approved by the customer, no process changes are
allowed unless approved by the customer. The coater
shall contact the customer when clarification of
process changes is required. This clarification of
process changes shall be documented.

1.3

The organization shall incorporate the use of a


documented Failure Mode and Effects Analysis
(FMEA) procedure and ensure the FMEAs are
updated to reflect current part quality status. The
FMEA shall be written for each part or part family or
they may be process-specific and written for each
Are the coater's FMEA's up to
process. In any case, they shall address all process
date and reflecting current
steps from part receipt to part shipment and all key
processing?
coating process parameters as defined by the
organization. A cross-functional team shall be used in
the development of the FMEA. All special
characteristics, as defined by the organization and its
customers, shall be identified, defined, and
addressed in the FMEA.

1.4

The organization shall incorporate the use of a


documented Control Plan procedure and ensure the
Control Plans are updated to reflect current controls.
The Control Plans shall be written for each part or
part family or they may be process-specific and
written for each process. In any case, they shall
address all process steps from part receipt to part
shipment and identify all equipment used and all key
coating process parameters as defined by the
Are finish process control
organization. A cross-functional team, including a
plans up to date and
production operator, shall be used in the
reflecting current processing? development of Control Plans, which shall be
consistent with all associated documentation such as
work instructions, shop travelers, and FMEAs. All
special characteristics, as defined by the organization
and its customers, shall be identified, defined, and
addressed in the Control Plans. Sample sizes and
frequencies for evaluation of process and product
characteristics shall also be addressed consistent
with the minimum requirements listed in the Process
Tables.

1.1

Satisfactory

Not
Satisfactory

Needs
Immediate
Action

Special Process: Coating System Assessment (General Facility Overview)

Cover Page

Index Page

Assessment

Question
Number

Question

Requirements and Guidance

Objective Evidence

N/A

Section 1 - Management Responsibility and Quality Planning

1.5

To ensure all customer requirements are both


understood and satisfied, the organization shall have
all related coating and customer referenced
standards and specifications available for use and a
method to ensure that they are current. Such
standards and specifications include, but are not
limited to, those relevant documents published by
SAE, AIAG, ASTM, General Motors, Ford, and
DaimlerChrysler. The organization shall have a
Are all coating related and
process to ensure the timely review, distribution, and
referenced specifications
implementation of all customer and industry
current and available? For
engineering standards and specifications and
example: SAE, AIAG, ASTM,
changes based on customer-required schedule. This
General Motors, Ford, and
process shall be executed as soon as possible and
DaimlerChrysler.
shall not exceed two weeks. The organization shall
document this process of review and implementation,
and it shall address how customer and industry
documents are obtained, how they are maintained
within the organization, how the current status is
established, and how the relevant information is
cascaded to the shop floor within the two-week
period. The organization shall identify who is
responsible for performing these tasks.

The coater shall have written process specifications


for all active processes and identify all steps of the
process including relevant operating parameters.
Examples of operating parameters include process
temperatures, cycle times, load rates, rectifier
settings, etc. Such parameters shall not only be
defined, they shall have operating tolerances as
defined by the organization in order to maintain
process control. All active processes should have a
written process specification. These process
specifications may take the form of work instructions,
job card, computer-based recipes, or other similar
documents.

1.6

Is there a written process


specification for all active
processes?

1.7

To demonstrate each process is capable of yielding


acceptable product, the organization shall perform
product capability studies for the initial validation of
each process, after relocation of any process
equipment, and after a major rebuild of any
equipment. The organization shall define what
constitutes a major rebuild. Initial product capability
studies shall be conducted for all coating processes
per line as defined in scope of work and in
Has a valid product capability
accordance with customer requirements. Capability
study been performed initially
study techniques shall be appropriate for the coating
and after process change?
product characteristics, e.g., coating thickness,
corrosion resistance, etc.. Any specific customer
requirements shall be met. In the absence of
customer requirements, the organization shall
establish acceptable ranges for measures of
capability. An action plan shall exist to address the
steps to be followed in case capability indices fall
outside customer requirements or established
ranges.

1.8

The analysis of products and processes over time


can yield vital information for defect prevention
efforts. The organization shall have a system to
collect, analyze, and react to product or process data
over time. Methods of analysis shall include ongoing
trend or historical data analysis of special product or
process parameters. The organization shall
determine which parameters to include in such
analysis.

1.9

Does the coater collect and


analyze data over time, and
react to this data?

Are internal assessments


being completed on an
annual basis, at a minimum,
incorporating AIAG CSA?

The organization shall conduct internal assessments


on an annual basis, at a minimum, using the AIAG
CSA. Concerns shall be addressed in a timely
manner.

Satisfactory

Not
Satisfactory

Needs
Immediate
Action

Special Process: Coating System Assessment (General Facility Overview)

Cover Page

Index Page

Assessment

Question
Number

Question

Requirements and Guidance

Objective Evidence

N/A

Section 1 - Management Responsibility and Quality Planning

1.10

The quality management system shall include a


documented process for reprocessing that shall
include authorization from a designated individual.
The reprocessing procedure shall describe product
characteristics for which reprocessing is allowed as
Is there a system in place to well as those characteristics for which reprocessing is
authorize reprocessing and is not permissible. All reprocessing activity shall require
it documented?
a new processing control sheet issued by qualified
technical personnel denoting the necessary coating
modifications. Records shall clearly indicate when
and how any material has been reprocessed. The
Quality Manager or a designee shall authorize the
release of reprocessed product.

1.11

The quality management system shall include a


Does the Quality Department
process for documenting, reviewing, and addressing
review, address, and
customer concerns and any other concerns internal
document customer and
to the organization. A disciplined problem-solving
internal concerns?
approach shall be used.

1.12

Is there a continual
improvement plan applicable
to each process defined in
the scope of the assessment?

1.13

Does the Quality Manager or


The Quality Manager or designee is responsible for
designee authorize the
authorizing and documenting appropriate personnel
disposition of material from
to disposition quarantine material.
quarantine status?

1.14

There shall be procedures or work instructions


available to coating personnel covering the coating
process. These procedures or work instructions shall
Are there procedures or work
include methods of addressing potential emergencies
instructions available to
(such as power failure), equipment start-up,
coating personnel that define
equipment shut-down, product segregation (See 2.8),
the coating process?
product inspection, and general operating
procedures. These procedures or work instructions
shall be accessible to shop floor personnel.

1.15

Is management providing
employee training for
coating?

The organization shall provide employee training for


all coating operations. All employees, including
backup and temporary employees, shall be trained.
Documented evidence shall be maintained showing
the employees trained and the evidence shall include
an assessment of the effectiveness of the training.
Management shall define the qualification
requirements for each function, and ongoing or followup training shall also be addressed.

1.16

Is there a responsibility matrix


to ensure that all key
management and supervisory
functions are performed by
qualified personnel?

The organization shall maintain a responsibility matrix


identifying all key management and supervisory
functions and the qualified personnel who may
perform such functions. It shall identify both primary
and secondary (backup) personnel for the key
functions (as defined by the organization). This
matrix shall be readily available to management at all
times.

The coater shall define a process for continual


improvement for each coating process identified in
the scope of the CSA. The process shall be designed
to bring about continual improvement in quality and
productivity. Identified actions shall be prioritized and
shall include timing (estimated completion dates). The
organization shall show evidence of program
effectiveness.

Satisfactory

Not
Satisfactory

Needs
Immediate
Action

Special Process: Coating System Assessment (General Facility Overview)

Cover Page

Index Page

Assessment

Question
Number

Question

Requirements and Guidance

Objective Evidence

N/A

Section 1 - Management Responsibility and Quality Planning

1.17

1.18

Is there a preventive
maintenance program? Is
maintenance data being
utilized to form a predictive
maintenance program?

The organization shall have a documented


preventive maintenance program for key process
equipment (as identified by the organization). The
program shall be a closed-loop process that tracks
maintenance efforts from request to completion to
assessment of effectiveness. Equipment operators
shall have the opportunity to report problems, and
problems shall also be handled in a closed-loop
manner. Company data, e.g., downtime, quality
rejects, first time-through capability, recurring
maintenance work orders, and operator-reported
problems, shall be used to improve the preventive
maintenance program. Maintenance data shall be
collected and analyzed as part of a predictive
maintenance program.

Has the coater developed a


critical spare part list, and are The coater shall develop and maintain a critical spare
the parts available to
parts list and shall ensure the availability of such
minimize production
parts to minimize production disruptions.
disruptions?

Section 2 - Floor and Material Handling Responsibility


Does the facility ensure that
the data entered in the
receiving system matches the
information on the customer's
shipping documents?

Documented processes and evidence of compliance


shall exist, e.g., shop travelers, work orders, etc. The
facility shall have a detailed process in place to
resolve receiving discrepancies.

2.2

Is product clearly identified


and staged throughout the
coating process?

Procedures for part and container identification help


to avoid incorrect processing or mixing of lots.
Appropriate location and staging within the facility
also help to ensure that orders are not shipped until
all required operations are performed. Customer
product shall be clearly identified and staged
throughout the coating process. Non-coated, inprocess, and finished product shall be properly
segregated and identified. All material shall be staged
in a dedicated and clearly defined area.

2.3

Out-going lot(s) shall be traceable to the incoming


Is lot traceability and integrity lot(s).
maintained throughout all
The descipline of precisely identifying lots and linking
processes?
all pertinent information to them enhances the ability
to do root cause analysis and continual improvement.

2.4

Are procedures adequate to


prevent movement of nonconforming product into the
production system?

The control of suspect or non-conforming product is


necessary to prevent inadvertent shipment or
contamination of other lots. Procedures shall be
adequate to prevent movement of non-conforming
product into the production system. Procedures shall
exist addressing proper disposition, product
identification and tracking of material flow in and out
of hold area. Non-conforming hold area shall be
clearly designated to maintain segregation of such
material.

2.5

Is there a system to identify


trap points in the entire
process to reduce risk of
mixed parts (inappropriate,
unfinished or improperly
coated parts)?

The coater shall have documented procedures to


identify and monitor trap points for each
process/equipment. Monitoring of potential trap
points shall occur for every part changeover.

2.6

Are containers free of


inappropriate material?

Containers handling customer product shall be free of


inappropriate material. After emptying and before reusing containers, containers shall be inspected to
ensure that all parts and inappropriate material have
been removed. The source of inappropriate material
shall be identified and addressed. This is to ensure
that no nonconforming coated parts or inappropriate
material contaminate the finished lot.

2.7

Is part loading specified,


documented and controlled?

2.1

Loading parameters shall be specified, documented


and controlled. Examples include parts per rack and
load size.
Refer to Process Tables for frequency of checks.

Satisfactory

Not
Satisfactory

Needs
Immediate
Action

Special Process: Coating System Assessment (General Facility Overview)

Cover Page

Index Page

Assessment

Question
Number

Question

Requirements and Guidance

Objective Evidence

N/A

Section 1 - Management Responsibility and Quality Planning

2.8

Are operators trained in


material handling,
containment action and
product segregation in the
event of an equipment
emergency including power
failure?

Unplanned or emergency downtime greatly raises the


risk of improper processing. Operators shall be
trained in material handling, containment action, and
product segregation in the event of an equipment
emergency including power failure. Training shall be
documented. Work instructions specifically
addressing potential types of equipment emergencies
and failures shall be accessible to and understood by
equipment operators. These instructions shall
address containment/reaction plans related to all
elements of the process. Evidence shall exist
showing disposition and traceability of affected
product.

2.9

Is the handling, storage and


packaging adequate to
preserve product quality?

The coater's loading/unloading systems, in-process


handling and shipping process shall be assessed for
risk of part damage or other quailty concerns.

2.10

Are plant cleanliness,


housekeeping, environmental
and working conditions
conducive to control and
improved quality?

Plant cleanliness, housekeeping, environmental, and


working conditions shall be conducive to controlling
and improving quality. The coater should evaluate
such conditions and their effect on quality. A
housekeeping policy shall be clearly defined and
executed. The facility shall be reviewed for the
following items: loose parts on floor; spillage around
tanks; overall plant lighting; fumes etc.

2.11

Are process control


parameters monitored per
frequencies specified in
Process Tables?

Process control parameters shall be monitored per


frequencies specified in Process Tables. Computer
monitoring equipment with alarms and alarm logs
satisfy the verification requirement. A designated
floor person shall verify the process parameters, e.g.,
by initialing a strip chart or data log.

2.12

Are out of
control/specification
parameters reviewed and
reacted to?

There are documented reaction plans to both out of


control and out of tolerance process parameters.
There is documented evidence that reaction plans
are followed.

2.13

Are In-Process / Final Test


Frequencies performed as
specified in Process Tables?

In-Process / Final Test Frequencies shall be


performed as specified in Process Tables. Refer to
Process Tables

2.14

Is product test equipment


verified?

Test equipment shall be verified/calibrated per


applicable customer specific standard or per an
applicable consensus standard, e.g., ASTM, SAE,
ISO, NIST, etc. Verification/calibration results shall
be internally reviewed, approved and documented.
Refer to Process Tables for frequency of checks.

Satisfactory

Not
Satisfactory

Needs
Immediate
Action

Cover Page

Section 3 - Job Audit - Finished Product Review

Index Page

Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Coating Requirements:

Question #

Job Audit Question

Related
CSA Question #

3.1

Is contract review and advanced


quality planning, FMEA, control
plans, etc., performed by qualified
individuals?

1.1
1.2
1.3
1.4
1.6

3.2

Does the Coater have the proper


customer specifications for the
part?

1.5

3.3

Is a shop traveler created to meet


customer requirements?

1.6
2.1

3.4

Is material identification (part


numbers, lot numbers, contract
numbers, etc.) maintained
throughout the coating process?

2.2
2.3
2.4

3.5

Is there documented evidence of


Receiving Inspection?

2.1

3.6

Are the Loading / Racking


requirements identified?

1.6
2.7
2.9

3.7

Is the proper procedure or process


specification used? Refer to
Process Tables for specific
parameters. List parameters that
were verified in this audit in the
spaces provided below.

1.5
1.6
2.1
2.11
2.13

3.8

What are the product inspection


requirements?

1.5
2.13
2.14

3.8.1

3.8.2

3.8.3

3.8.4

3.8.5

Requirement: Coating Thickness


Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Requirement: Corrosion
Resistance (if applicable).
Test Method(s):
Test frequency or quantity:
Selection of samples:
Specification:
Requirement: Hydrogen
Embrittlement Relief (if applicable)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Requirement: Adhesion
Test Method(s):
Test frequency or quantity:
Selection of samples:
Specification:
Requirement: Cure
Test Method:
Test frequency or quantity:
Selection of samples:

Customer or Internal
Requirement

Job (Shop) Order or


Reference Documentation
Requirement

Actual Condition
(Objective Evidence)

Pass /
Fail / N/A

N/A

N/A

Each part may have one or more requirements determined by the coating specification.
Parts must meet each requirement. List each requirement below and validate.
(Listed below are some examples)

Cover Page

Section 3 - Job Audit - Finished Product Review

Index Page

Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Coating Requirements:

Question #

Job Audit Question

Related
CSA Question #

Specification
Requirement: Torque Tension (if
3.8.6
applicable)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Requirement: Appearance
3.8.7
(Decorative)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification
Requirement: Dimensional (if
3.8.8
applicable)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Requirement: Color and Gloss
3.8.9
(Decorative)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
3.8.10
Requirement: Customer Specific
Test Method(s):
Test frequency or quantity:
Selection of samples:
Specification:
Operator or Inspector Responsibilities

3.9

Were appropriate process steps


signed off?

1.4
1.6
2.2
2.3
2.11

3.10

Were all inspection steps, as


documented in the control plan
performed?

1.2
1.4

3.11

Were steps/operations performed


that were not documented in the
control plan?

1.2
1.4
1.6

3.12

If additional steps were performed,


were they authorized?

1.2
1.4
1.6
1.10
1.16

3.13

Does the governing specification


allow reprocessing or rework?

1.5
1.10

3.14

If the order was certified, did the


certification accurately reflect the
process performed?

2.11
2.13

3.15
3.16

Was the certification signed by an


authorized individual?
Are the parts and containers free of
inappropriate objects or
contamination?
Packaging Requirements

3.17

Are packaging requirements


identified?

3.18

Are parts packaged to minimize


mixed parts (for example, parts
packed over height of container)?

1.16
2.6

2.6
2.7
2.9
2.6
2.7
2.9

Customer or Internal
Requirement

Job (Shop) Order or


Reference Documentation
Requirement

Actual Condition
(Objective Evidence)

Pass /
Fail / N/A

Cover Page

Section 3 - Job Audit - Finished Product Review

Index Page

Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Coating Requirements:

Question #

3.19
3.20

Job Audit Question


Shipping Requirements
Were the parts properly identified?
Were the containers properly
labeled?

Related
CSA Question #
2.3
2.9
2.3
2.9

Customer or Internal
Requirement

Job (Shop) Order or


Reference Documentation
Requirement

Actual Condition
(Objective Evidence)

Pass /
Fail / N/A

Cover Page
Assessor(s) shall have the following specific experience to conduct the COATING SYSTEM ASSESSMENT:
1
2

Be an experienced quality management system (QMS) internal auditor (for example,


ISO/TS 16949-2002, ISO 9001:2000).
Assessor shall possess coating knowledge. Evidence shall include a minimum of 5
years experience in coating or a combination of formal chemical education and
coating experience totaling a minimum of 5 years.
Assessor shall possess knowledge of and be familiar with the application of automotive
quality core tools including statistical process control, measurement systems analysis,
part approval, failure mode and effects analysis, and advanced quality planning.

Note: If more than one assessor is required to meet the above qualifications, the lead assessor shall be the
person meeting the requirements in item # 1 above.

Index Page

PROCESS TABLE A - Pretreatment (Aqueous)


Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing
the job audit, the auditor shall verify coater is conforming to customer requirements.

Item #

Related
CSA Question #

Control

Monitoring

Per Control Plan

Per lot

AQUEOUS CLEANING PROCESS (Alkaline


or Acid)

1.0

A1.1

Category/Process Steps

1.4

There shall be an incoming part assessment


procedure with criteria.

2.0

Cleaning Bath(s)

A2.1

2.11

The following checks shall be performed


during production:

A2.2

1.4
2.11
2.12

Pressure/Agitation

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

Temperature

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

Time

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

Chemical Concentration

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

Impurity Content (e.g. acid split)

Manual

Per Control Plan/Log Sheet


(1/shift minimum)

There is a dump schedule for cleaning baths.

Manual

Per Control Plan/Log Sheet

A2.3

A2.4

A2.5

A2.6

A2.7

1.4
2.11
2.12
1.4
1.6
2.11
2.12
1.4
1.6
2.11
2.12
1.4
2.11
2.12
2.11

3.0

Rinse Bath(s)

A3.1

2.11

The following checks shall be performed


during production:

A3.2

1.4
2.11
2.12

Pressure/Agitation

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

A3.3

1.4
2.11
2.12

Temperature

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

PROCESS TABLE A - Pretreatment (Aqueous)


Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing
the job audit, the auditor shall verify coater is conforming to customer requirements.

Item #

A3.4

A3.5

Related
CSA Question #
1.4
1.6
2.11
2.12
1.4
2.11
2.12

Category/Process Steps

Time

Impurity Concentration

Control

Monitoring

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

Manual

Per Control Plan/Log Sheet


(1/shift minimum)

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

A3.6

1.4
2.11
2.12

Overflow Rate

A3.7

2.11

There is a dump schedule for rinses.

Manual

Per Control Plan/Log Sheet

A3.8

1.4
2.11

There is a visual inspection (e.g. water break)


after each post cleaning rinse bath where
possible. (not applicable for bulk)

Manual

Per Control Plan/Log Sheet


(1/shift minimum)

A3.9

1.4
2.11

There is a final rinse. It shall be monitored for


presence of bacteria. (for plastic substrate)

Manual

Per Control Plan/Log Sheet


(1/shift minimum)

A3.10

1.4
2.11

For Metals -- Corrosion inhibitor concentration


is checked. (If applicable)

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

PROCESS TABLE B - Pretreatment (Mechanical)


Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When
performing the job audit, the auditor shall verify coater is conforming to customer requirements.

Item #

Related
CSA
Question #

1.0

Category/Process Steps

Control

Monitoring

Per Control Plan

Per lot

ABRASIVE BLAST PROCESS

B1.1

1.4

There shall be an incoming part assessment


procedure with criteria.

B1.2

2.11

The following checks shall be performed during


production:

B1.3

1.4
1.6
2.11
2.12

Abrasive media flow

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

B1.4

1.4
1.6
2.11
2.12

Nozzle air pressure

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

B1.5

1.4
1.6
2.11
2.12

Dwell time

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

B1.6

1.4
2.11
2.12

Dust collector efficiency/air flow

Automatic

Per Control Plan/Log


Sheet (2/shift minimum)

B1.7

1.4
2.11
2.12

Working mix

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

PROCESS TABLE B - Pretreatment (Mechanical)


Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When
performing the job audit, the auditor shall verify coater is conforming to customer requirements.

Item #

Related
CSA
Question #

B1.8

1.4
2.11

B1.9

1.4
2.11
2.13

Category/Process Steps

Control

Monitoring

Surface cleanliness is checked after process.

Manual

Per Control Plan/Log


Sheet (1/shift minimum)

Surface profile is checked after process (if


applicable).

Manual

Per lot

PROCESS TABLE C - Pretreatment (Phosphating)


Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When
performing the job audit, the auditor shall verify coater is conforming to customer requirements.

Item #

Related
CSA Question #

Category/Process Steps

1.0

C1.1

Control

Monitoring

Per Control Plan

Per lot

Conversion Coating

1.4

2.0

There shall be an incoming part


assessment procedure with criteria.

Rinse Conditioner (If Applicable)

C2.1

2.11

The following checks shall be performed


during production:

C2.2

1.4
2.11
2.12

Pressure/Agitation

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

C2.3

1.4
1.6
2.11
2.12

Time

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

C2.4

1.4
2.11
2.12

Chemical Concentration

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

C2.5

2.11

There is a dump schedule for rinse


conditioner.

Manual

Per Chemical
Manufacturer's Guideline

3.0

Conversion Coating Bath

PROCESS TABLE C - Pretreatment (Phosphating)


Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When
performing the job audit, the auditor shall verify coater is conforming to customer requirements.

Item #

Related
CSA Question #

C3.1

2.11

The following checks shall be performed


during production:

C3.2

1.4
2.11
2.12

C3.3

Control

Monitoring

Pressure/Agitation

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

1.4
2.11
2.12

Temperature

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

C3.4

1.4
1.6
2.11
2.12

Time

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

C3.5

1.4
2.11
2.12

Chemical Concentration (Free Acid, Total


Acid, Iron Content, pH, Accelerator Amount Automatic/Manual
as Applicable)

Per Control Plan/Log


Sheet (2/shift minimum)

C3.6

1.4
2.11
2.12

Fluoride Ion Concentration (if aluminum is


being coated)

Automatic/Manual

Per Control Plan/Log


Sheet (2/shift minimum)

C3.7

1.4
1.6
2.11
2.12

Coating Weight

Manual

Per Control Plan/Log


Sheet (1/shift minimum)

C3.8

1.4
2.11
2.12

Crystal Size (If applicable)

Manual

Per customer requirement

4.0

Category/Process Steps

Rinse After Phosphate

PROCESS TABLE C - Pretreatment (Phosphating)


Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When
performing the job audit, the auditor shall verify coater is conforming to customer requirements.

Item #

Related
CSA Question #

C4.1

2.11

The following checks shall be performed


during production:

C4.2

1.4
2.11
2.12

Impurity Concentration (e.g. Titration,


Conductivity)

C4.3

1.4
2.11
2.12

Category/Process Steps

Control

Monitoring

Manual

Per Control Plan/Log


Sheet (1/shift minimum)

Pressure/Agitation

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

C4.4

1.4
1.6
2.11
2.12

Time

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

C4.5

2.11

There is a dump schedule for rinses

Manual

Per Chemical
Manufacturer's Guideline

5.0

Seal Rinse

C5.1

2.11

The following checks shall be performed


during production:

C5.2

1.4
2.11
2.12

Pressure/Agitation

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

C5.3

1.4
1.6
2.11
2.12

Time

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

PROCESS TABLE C - Pretreatment (Phosphating)


Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When
performing the job audit, the auditor shall verify coater is conforming to customer requirements.

Item #

Related
CSA Question #

C5.4

1.4
2.11
2.12

C5.5

C5.6

Control

Monitoring

Chemical Concentration

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

1.4
2.11
2.12

Temperature (If applicable)

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

2.11

There is a dump schedule for seal rinse.

Manual

Per Chemical
Manufacturer's Guideline

Automatic

Per Control Plan/Log


Sheet (1/shift minimum)

Visual

Each Lot

6.0

Category/Process Steps

Dry-Off (If Applicable)

C6.1

1.4
2.11
2.12

Air temperature is monitored and


controlled.

C6.2

1.4
2.11

There is a procedure to ensure dryness of


parts prior to susequent coating.

Cover Page

PROCESS TABLE D - Powder

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the
auditor shall verify coater is conforming to customer requirements.

Item #

Related
CSA Question #

1.0
D1.1

D2.2

D2.3

D2.4

D2.5

D2.6

D2.7

D2.8

D2.9

D2.10

D2.11

D2.12

Control

Monitoring

1.4
2.11

Powder Paint Application


Parts are checked exiting dry-off oven for cleanliness and trapped
water, prior to entering powder booth.
Powder Booth and Equipment

Manual

Per Control Plan/Log


Sheet (1 per hour)

1.4
2.11
2.12

The temperature of parts entering the coating booth is monitored.

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

Automatic

Per Control Plan/Log


Sheet (1/shift minimum)

The ground is checked using a 500 volt megohm meter (less than
1megohm resistance).

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

The air dryer and filter are on main compressed air line.

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

The booth temperature and humidity are checked.

Manual

Per Control Plan/Log


Sheet (1/shift minimum)

The air balance in the powder booth is checked.

Manual

Per Control Plan/Log


Sheet (1/day minimum)

The rotary seive is clean and operational.

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

The powder flow on seive is monitored.

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

The vent assist air pressure is checked.

Manual

Per Control Plan/Log


Sheet (1/shift minimum)

The vent on feed hopper is checked.

Manual

Per Control Plan/Log


Sheet (1/shift minimum)

The reclaim seive is operating properly.

Manual

Per Control Plan/Log


Sheet (1/shift minimum)

All guns are operational and in good repair.

Manual

Per Control Plan/Log


Sheet (1/shift minimum)

2.0
D2.1

Category/Process Steps

1.4
1.6
1.17
2.11
2.12
1.4
2.11
2.12
1.4
1.17
2.11
2.12
1.4
1.17
2.11
2.12
1.4
2.11
2.12
1.4
1.17
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12
1.4
1.17
2.11
2.12
1.4
1.17
2.11
2.12

The conveyor is operating at the proper line speed (no abrupt


movement or contact between parts).

D2.13

1.4
1.17
2.11
2.12

The venturis in the feed pumps and the pick up tubes in the hopper
are checked.

Manual

Per PM schedule

D2.14

1.4
2.11
2.12

The feed hoses are checked to ensure that they have no excessive
bends and kinks.

Manual

Per Control Plan/Log


Sheet (1/day minimum)

D2.15

1.4
2.11
2.12

The virgin/reclaim ratio is checked. (feed pressure)

Manual

Per Control Plan/Log


Sheet (1/shift minimum)

Cover Page

PROCESS TABLE D - Powder

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the
auditor shall verify coater is conforming to customer requirements.

Item #

D2.16

D2.17

D2.18
3.0

Related
CSA Question #
1.4
1.17
2.11
2.12
1.4
1.11
2.12
2.13
1.4
2.11
2.12

Category/Process Steps

Control

Monitoring

The static pressure gauges on primary and final filters are


checked.

Manual

Per Control Plan/Log


Sheet (1/shift minimum)

Appearance of parts exiting booth is checked.

Manual

Per Control Plan/Log


Sheet (1 per hour)

The powder supply and atomizing air pressure are checked.

Manual

Per Control Plan/Log


Sheet (1/shift minimum)

Cure (See Convective Cure Process Table I)

Cover Page

PROCESS TABLE E - Electrocoat

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit,
the auditor shall verify coater is conforming to customer requirements.

Item #

Related
CSA Question #

1.0
E1.1

1.4
2.11

2.0

Category/Process Steps
Pre-Electrocoat Paint Application Part Appearance
Incoming parts are inspected for cleanliness and/or uniform
phosphate coating (when phosphate is used).

Control

Monitoring

Manual

Per Control Plan/Log


Sheet (1 per hour)

Electrocoat Laboratory

E2.1

2.14

Laboratory equipment is calibrated and in good working order.

N/A

E2.2

2.14

Laboratory standards and reagents are properly stored, labeled,


and not expired.

N/A

E2.3

2.14

3.0
E3.1

E3.2

E3.3

E3.4

E3.5

E3.6

E3.7

E3.8

E3.9

E3.10

E3.11

E3.12

1.4
2.11
2.12
1.4
1.6
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12
1.4
1.17
2.11
2.12
1.4
1.17
2.11
2.12
1.4
1.17
2.11
2.12

4.0
E4.1

Laboratory records, internal and external, are filed and


accessible for review.
Electrocoat Tank

N/A

Per Control Plan/Log


Sheet (1/shift minimum)

Bath parameters (pH, conductivity, solid content, temperature,


voltage) are checked and adjusted.

Automatic/Manual

Per Control Plan/Log


Sheet

Line speed setup is checked.

Automatic/Manual

Per Control Plan/Log


Sheet

Manual

Once/week minimum

There is circulation and it is monitored. (flow meter, pressure


gage)

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

Bag filter pressures are monitored. Bags changed when psi


differential. >5-10 PSI.

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

Flow direction is checked (for monorail system).

Manual

Per Control Plan/Log


Sheet (1/shift minimum)

Flow over the weir is checked.

Manual

Per Control Plan (1/shift


minimum)

Bath is checked for microbial contamination.

Manual

Per Control Plan/Log


Sheet (1/ per week
minimum)

Line speed is verified.

Incoming DI / RO water is checked for cleanliness. (conductivity) Automatic/Manual

Paint racks are being maintained.

Per Control Plan/Log


Sheet (1/shift minimum)

Automatic/Manual

As needed

There is a paint rack maintenance schedule.

Manual

Required

There is a tank clean up schedule.

Manual

Required (1/year
minimum)

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

Anolyte System
1.4
2.11
2.12

The anolyte solution is being controlled within the required


conductivity limits.

Cover Page

PROCESS TABLE E - Electrocoat

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit,
the auditor shall verify coater is conforming to customer requirements.

Item #
E4.2

E4.3

E4.4

E4.5

E4.6

E4.7

Related
CSA Question #
1.4
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12

5.0
E5.1

E5.2

Category/Process Steps

Per Control Plan/Log


Sheet 1 / week

The pH of the anolyte solution has been checked.

Automatic/Manual

Per Control Plan/Log


Sheet (1 per shift)

Manual

Per Control Plan/Log


Sheet (1 per six months)

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

Manual

Per Control Plan/Log


Sheet

Automatic/Manual

Per Control Plan/Log


Sheet

The proper voltage is being used for the load size.

Manual

per Equip. Mfg.

The ramp up time to full voltage has been verified.

Automatic/Manual

Per Control Plan/Log


Sheet (1 per shift)

Automatic/Manual

Per Control Plan / material


supplier

Immersion rinse tanks are operating at the proper levels and


tanks are being agitated correctly.

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

There is sufficient permeate supplied to the rinse.

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

The pH and conductivity of the rinse have been recorded.

Manual

Per Control Plan/Log


Sheet (1/shift minimum)

There is microbial testing of rinses.

Manual

Per Control Plan / material


supplier

Automatic/Manual

Per Control Plan/Log


Sheet (1/shift minimum)

Manual

Per Control Plan / material


supplier

Anodes have been inspected.

The anolyte solution is being circulated to each cell.

Dump and clean schedule for anolyte being maintained.

Amperage draw has been checked on each anode.


Rectifier

1.4
1.6
2.11
2.12
1.4
2.11
2.12
2.10

There is a safety beacon to alert personnel when system is


energized.

E5.4

1.4
1.17
2.11
2.12

The ripple of the rectifier has been checked by an approved


electrician.

6.0

E6.2

E6.3

E6.4

E6.5

E6.6
7.0

Monitoring

The conductivity reading on the anolyte tank has been confirmed


Automatic/Manual
in the laboratory.

E5.3

E6.1

Control

Rinse System
1.4
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12
1.4
1.17
2.11
2.12

The ultrafilters are operating at proper pressures and bag filters


are being used. What size bags?

Rinses have been cleaned per maintenance schedule.


Cure (See Convective Cure Process Table I)

Cover Page

PROCESS TABLE F - Spray

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit,
the auditor shall verify coater is conforming to customer requirements.

Item #

Related
CSA Question #

1.0

Category/Process Steps

Control

Monitoring

Manual

Per Control Plan/Log Sheet


(1 per hour)

Part Appearance

F1.1

1.4
2.11

Incoming parts are inspected for cleanliness, trapped water or


water spots as well as uniform phosphate coating (when
phosphate is used).

F1.2

1.14

Inspection criteria are posted.

F1.3

2.10

Adequate lighting is in place.

F1.4

1.4
2.9

Mutilation prevention items (i.e. gloves, belt buckle covers, watch


covers, etc.) are in place.

F1.5

1.4
1.17
2.11
2.12

Paint racks are maintained.

1.4
2.11
2.12

Paint mixing rooms are controlled (mixing tank grounding, closed


container, properly enclosed space, temperature, clean
Automatic/Manual
environment).

Per Paint Manufacturer


Recommendation

FIFO system is being utilized.

Manual

Per Paint Manufacturer


Recommendation

Paint agitation/time and reduction (solvent package) are proper


and documented.

Manual

Per Paint Manufacturer


Recommendation

Viscosity and temperature are in operational limits and


documented.

Manual

Per Control Plan/Log


Sheet/Paint Manufacturer
Recommendation

The proper filter size and type are in place.

Manual

Per Control Plan/Log


Sheet/Paint Manufacturer
Recommendation

Pump pressures are set within operational limits.

Manual

Per Control Plan/Log


Sheet/Paint Manufacturer
Recommendation

Circulation (flow meter, pressure gage) is monitored.

Automatic/Manual

Per Control Plan/Log Sheet

Bag filter pressures are monitored (bags are changed when psi
differential >5-10 PSI).

Automatic/Manual

Per Control Plan/Log Sheet

2.0

Paint Mixing

F2.1

1.4
2.11
2.12
1.4
1.6
1.17
2.11
2.12
1.4
1.6
1.17
2.11
2.12
1.4
1.6
1.17
2.11
2.12
1.4
1.6
1.17
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12

F2.2

F2.3

F2.4

F2.5

F2.6

F2.7

F2.8

Substrate Conditioning (Flame, Plasma, etc)


applicable)

3.0
1.4
2.11

F3.1

1.17

2.11
2.12

F3.3

1.4
2.11
2.13

(If

Incoming parts are inspected to ensure that they are free of dirt
and contamination.

1.4
F3.2

Manual

Flame/Plasma is set at operational limits per equipment and


material supplier recommendations.

Final surface tension is within specifications.

Manual

Automatic

Per control plan and


equipment and substrate
suppliers recommendations

Manual

Per Control Plan

Cover Page

PROCESS TABLE F - Spray

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit,
the auditor shall verify coater is conforming to customer requirements.

Item #

Related
CSA Question #

4.0
F4.1

F4.2

F4.3

F4.4

F4.5

F4.6

1.4
2.11
1.4
1.17
2.11
2.12
1.4
2.11
2.12
1.4
1.6
1.17
2.11
2.12
1.4
2.11
2.12
1.4
1.6
1.17
2.11
2.12

5.0
F5.1

F5.2

F5.3

F5.4

F5.5

F6.2

F6.3

Control

Monitoring

Manual

Per Control Plan/Log Sheet


(1/shift minimum)

Automatic

Per Control Plan/Log Sheet


1 / week

Manual

Per Control Plan/Log Sheet


1 / week

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

Manual

Per control plan and


customer requirements

Automatic/Manual

Per Control Plan/Log Sheet


(1 per month minimum)

Manual

Per Control Plan / material


supplier (once per shift
minimum)

Flashtimes between coats are set at suppliers recommended


times.

Automatic/Manual

Per Control Plan/material


supplier

Booth temperature and humidity are monitored or set within


operational limits if controlled. (Required for waterborne
coatings)

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

Atomizer parameters (fluid flow, air pressures (atomizing fan,


shaping), electrostatics and mixing) are set within operational
limits.

Automatic/Manual

Per Control Plan/Log Sheet


(1 per month minimum)

Manual

Per Control Plan and


suppliers recommendations

Set point is at suppliers recommended time, temperature and


energy type (convection/IR/UV/etc.).

Manual

Per Control Plan / material


supplier

Percent solids after pre-dry is at the suppliers recommended


percentage.

Manual

Per Control Plan/Log Sheet


(1/shift minimum)

The pre-dry oven is maintained.

Manual

Per Control Plan / material


supplier

Primer/Promoter
Incoming parts are inspected to ensure that they are free of dirt
and contamination.
Destaticizing air is operational. (Plastic parts only)

Booth balance is monitored.

Booth temperature and humidity are monitored (or set within


operational limits if controlled).

Film thickness is per customer requirements.

Atomizer parameters (fluid flow, air pressures (atomizing fan,


shaping), electrostatics and mixing) are set within operational
limits.
Basecoat (If applicable)

1.4
2.11
1.4
1.6
2.11
2.13
1.4
1.6
1.17
2.11
2.12
1.4
1.6
1.17
2.11
2.12
1.4
2.11
2.13

6.0

F6.1

Category/Process Steps

Incoming parts are inspected to ensure that they are free of dirt
and contamination.

Film builds are per supplier recommendations.


Basecoat Heated Flash (Waterborne Materials Only)

1.4
1.6
2.11
2.13
1.4
1.6
2.11
2.13
1.4
1.17
2.11
2.12

Cover Page

PROCESS TABLE F - Spray

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit,
the auditor shall verify coater is conforming to customer requirements.

Item #

Related
CSA Question #

Category/Process Steps

Control

Monitoring

Manual

Per Control Plan / material


supplier (once per shift
minimum)

Flashtimes between coats are set at suppliers recommended


times.

Automatic/Manual

Per Control Plan/material


supplier

Booth temperature and humidity are monitored or set within


operational limits if controlled. (Required for waterborne
coatings)

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

Atomizer parameters (fluid flow, air pressures (atomizing fan,


shaping), electrostatics and mixing) are set within operational
limits.

Automatic/Manual

Per Control Plan/Log Sheet


(1 per month minimum)

Defects are being tracked.

Manual

Per Control Plan

FTT is being monitored.

Manual

Per Control Plan

Scrap and repaints are being tracked.

Manual

Per Control Plan

7.0
F7.1

F7.2

F7.3

F7.4

Clearcoat
1.4
2.11
1.4
1.6
2.11
2.13
1.4
1.6
1.17
2.11
2.12
1.4
1.6
1.17
2.11
2.12

8.0

Incoming parts are inspected to ensure that they are free of dirt
and contamination.

Cure (See Convective Cure Process Table I)

9.0
F9.1

1.14

Final Part Inspection


Inspection criteria are posted.

F9.2

2.10

There is adequate lighting in inspection area.

F9.3

F9.4

F9.5
F9.6

1.4
2.9
1.4
1.8
1.12
2.13
1.4
2.13
1.10
1.11
1.12

Mutilation prevention items are in place.

Cover Page

PROCESS TABLE G - Dip/Spin

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job
audit, the auditor shall verify coater is conforming to customer requirements.

Item #

Related
CSA Question #

Category/Process Steps

1.0

Control

Monitoring

Manual

Per Control Plan/Log Sheet


(each lot)

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

Manual

Per Control Plan/Log Sheet


(each lot)

Coating Material Application

G1.1

1.4
2.11

After pretreatment, parts are inspected for flash rust,


wetness, oil or other defects.

G1.2

1.4
2.11

If phosphated, parts are checked for uniformity of


phosphate coating.

G1.3

2.6
1.17

2.0

Skids/bins used to hold parts between coating


operations are free of oil, grease or other
contaminants.
Coating Bath

G2.1

1.4
2.11
2.12

Incoming paint viscosity is checked.

Manual

Each New Lot of Paint

G2.2

1.4
2.11
2.12

Incoming solids checks are performed.

Manual

Each New Lot of Paint

G2.3

1.4
1.17
2.11
2.12

Appropriate mixing equipment is used, capable of


dispersing settled solids.

Manual

Ongoing

G2.4

2.9
2.10

Paint is stored properly, away from high humidity and


temperature extremes.

Manual

Ongoing

G2.5

2.9
2.10

Paint is kept covered and/or sealed when not in use.

Manual

Ongoing

G2.6

2.9
2.10

Paint storage room is organized so each paint is easily


found to prevent contamination.

Manual

Ongoing

G2.7

2.9
2.10

Paint storage room is kept clean.

Manual

Ongoing

The following checks shall be performed during


production:

G2.8

G2.9

1.4
2.11
2.12

Paint Temperature.

Manual

Per Control Plan/Log Sheet


(3/shift minimum)

G2.10

1.4
2.11
2.12

Viscosity.

Manual

Per Control Plan/Log Sheet


(3/shift minimum)

G2.11

1.4
2.11
2.12

% Solids (by weight).

Manual

Per Control Plan/Log Sheet


(1/Day minimum)

G2.12

1.4
2.11
2.12

Volume (paint depth in coating vat).

Automatic/Manual

Per Control Plan/Log Sheet


(3/shift minimum)

G2.13

1.4
2.11
2.12

Vibratory feed tables are cleaned (if used).

Manual

Per Control Plan/Log Sheet


(as needed)

Cover Page

PROCESS TABLE G - Dip/Spin

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job
audit, the auditor shall verify coater is conforming to customer requirements.

Item #

Related
CSA Question #

G2.14

1.17

1.4
2.11
2.12

Category/Process Steps

Control

Monitoring

Basket condition (basket mesh clean and


undamaged).

Manual

Per Control Plan/Log Sheet


(as needed)

G2.15

1.4
2.11
2.12

Paint and/or solvent additions are documented.

Manual

Per Control Plan/Log Sheet


(each addition)

G2.16

2.10

Viscosity cups are cleaned after each use.

Manual

Per Control Plan/Log Sheet


(each check)

Viscosity cups are verified.

Manual

2/Month minimum

Thermometers are calibrated/verified.

Manual

Once/Month minimum

Automatic/Manual

Per Control Plan/Log Sheet


(each lot)

G2.17
G2.18

2.14
1.17
2.14
1.17

3.0

Application Parameters

G3.1

1.4
1.6

A system is in place to ensure proper basket weights


for specific parts, such as processing manual,
traveller, or process recipe.

G3.2

1.4
1.6

Baskets are kept less than 2/3 full.

Automatic/Manual

Per Control Plan/Log Sheet


(each lot)

G3.3

1.4
1.6

Dip time is controlled.

Automatic/Manual

Per Control Plan/Log Sheet


(each lot)

G3.4

1.4
1.6

Spin speed (RPM) is controlled.

Automatic/Manual

Per Control Plan/Log Sheet


(each lot)

G3.5

1.4
1.6
1.17

The coating unit has an attached RPM indicator.

G3.6

1.4
1.6
1.17

RPM's can be adjusted easily.

G3.7

1.4
1.6

Spin time is controlled.

Automatic/Manual

Per Control Plan/Log Sheet


(each lot)

G3.8

1.4
1.6

The number of spins is adjustable (single, double,


triple).

Automatic/Manual

G3.9

1.4
1.6

Tumble time is in/out of coating controlled (if


applicable).

Automatic/Manual

Per Control Plan/Log Sheet


(each lot)

G3.10

1.4
1.6
1.17

There is an adequate system to keep parts level going


into the oven (raking, vibe table, etc.).

Automatic/Manual

Per Control Plan/Log Sheet


(each lot)

G3.11

2.10

Vibratory feed tables are cleaned (if used).

Manual

Per Control Plan/Log Sheet


(as needed)

Cover Page

PROCESS TABLE G - Dip/Spin

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job
audit, the auditor shall verify coater is conforming to customer requirements.

Item #

Related
CSA Question #

G3.12

2.9

There is evidence of steps taken to assist in soft


handling of parts (shallow drops, lined chutes and
hoppers, bumper boards, etc.).

G3.13

1.4
2.9
2.11

Parts are cool to to touch before each coating step.

4.0

Category/Process Steps

Cure (See Convective Cure Process Table I)

Control

Monitoring

Automatic/Manual

Per Control Plan/Log Sheet


(each lot)

Manual

Per Control Plan (each lot)

PROCESS TABLE H - Autophoretic

Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job
audit, the auditor shall verify coater is conforming to customer requirements.

Item #
1.0
H1.1

H1.2

H1.3

H1.4

H1.5

H1.6

H1.7

H1.8
2.0
H2.1

H2.2
3.0

Related
CSA Question #
3.1
1.4
2.11
2.12
1.4
1.6
2.11
2.12
1.4
1.17
2.11
2.12
1.4
1.6
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12
1.4
2.11
2.12
1.4
1.17
2.11
2.12
1.18
1.4
2.11
2.12
1.4
2.11
2.12
3.2

Category/Process Steps

Control

Monitoring

Mixer speed and direction are monitored and


adjusted.

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

Time (hoist program) is verified.

Automatic/Manual

Per Control Plan/Log Sheet


(1/day minimum)

Conveyor speed is verified (if applicable).

Manual

Annually or after repair

Temperature is monitored and controlled.

Automatic

Per Control Plan/Log Sheet


(1/shift minimum)

Humidity level is monitored.

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

101 (fluoride) and ORP levels are checked.

Automatic/Manual

Per Control Plan/Log Sheet


(every 2 hours minimum)

Chemical concentration (% solids, starter/iron


Automatic/Manual
titration, conductivity) is checked and maintained.

Per Control Plan/Log Sheet


(1/shift minimum)

Coating Bath

Manual

Per PM schedule
(1/year minimum)

Pump pressure or agitator speed is monitored.

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

Impurity concentration (conductivity) is checked.

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

Bath transfer is maintained.


Tap Rinse After Coating

Reaction Rinse

H3.1

1.4
2.11
2.12

Chemical concentration (titration, conductivity,


pH, Hach Meter Test) is checked and
maintained.

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

H3.2

1.4
2.11
2.12

Pump pressure or agitator speed is monitored.

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

Temperature is monitored and controlled (if


applicable).

Automatic/Manual

Per Control Plan/Log Sheet


(1/shift minimum)

Manual

Per Chemical Manufacturer's


Guideline (minimum 3 times per
year)

H3.3

H3.4

4.0

1.4
2.11
2.12
1.4
1.17
2.11
2.12

There is a dump schedule.

Cure (See Convective Cure Process Table I)

PROCESS TABLE I - Convective Cure

Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the auditor shall
verify coater is conforming to customer requirements.

Item #

Related
CSA Question #

Category/Process Steps

Control

Monitoring

Automatic

1/shift minimum or at every material


change. Per coating supplier
recommendation

Manual

1/month minimum

Proper cure time is maintained (if applicable).

Automatic/Manual

Per coating supplier recommendation

Conveyor speed is maintained (if applicable).

Automatic

1/month minimum (after PM)

Automatic/Manual

Per coating supplier recommendation

Manual

Per oven manufacturer, filter supplier


recommendation

1.0
I1.1

1.4
1.6
2.11
2.12

Oven temperature set point and limits are checked and


documented.

I1.2

1.17

Part temperature profile is monitored.

I1.3

I1.4

I1.5

1.4
1.6
2.11
2.12
1.4
1.6
1.17
2.11
2.12
1.4
2.11
2.12

Airflow is measured (if required by coating supplier).

I1.6

1.17

Air filter change is scheduled.

I1.7

1.17

Thermocouple for oven control is calibrated.

I1.8

2.13

Cure testing is conducted by laboratory.

Manual

Per coating supplier recommendation

I1.9

2.13

Final color is monitored.

Manual

Per Control Plan/Log Sheet


(1/shift or color change minimum)

I1.10

2.13

Film thickness/coating weight is monitored.

Manual

Per Control Plan/Log Sheet


(1/shift or color change minimum)

I1.11

2.13

Gaugeability is checked (if applicable).

Manual

Per customer requirements

I1.12

2.13

Paint adhesion is monitored.

Manual

Per Control Plan/Log Sheet


(1/shift or color change minimum)

PROCESS TABLE J - EQUIPMENT

Cover Page

Index Page

All requirements given below are subordinate to customer specific requirements.


The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the auditor shall verify coater is conforming to customer requirements.

PROCESS EQUIPMENT
Related
Item #
Pretreatment
CSA Question #
1.1
1.2
1.3

2.14
2.14
2.14

X
X

1.4

2.14

1.5
1.6
1.7
1.8
1.9
1.10

2.14
2.14
2.14
2.14
2.14
2.14

X
X
X
X

2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8
2.9

2.14
2.14
2.14
2.14
2.14
2.14
2.14
2.14
2.14

Powder
Coat
X
X

E-Coat

Spray

Dip/Spin A-Coat

X
X
X

X
X

X
X

X
X

X
X
X

X
X

X
X

X
X

X
X

X
X
X

X
X
X

X
X
X

X
X
X

Cure

Verification Frequency
pH Meter/Probe
Temperature Controller
Rectifier
Wet Analysis

Atomic Absorption (Optional)


Filters
Balance
Coductivity Meter
Viscosity Measurement
X
Thermocouple
MINIMUM REQUIRED TESTING CAPABILITY
X
X
Salt Spray Cabinet
X
X
Water Immersion Tank
X
Environmental Chamber
X
Cure Testing (chemical rubbing)
X
X
Adhesion Testing
X
X
Thickness Testing
X
Microscope (when applicable)
X
Freezer (plastic substrate)
X
Lab Oven
X

Calibration
Frequency

Daily
At Start-up
At Start-up
Phosphate - 3hr min.
Paint Lines - Before Run
E-Coat - 1x/Shift min.

Yearly
2x/Year
N/A

*
1x/Week
Before Use
Hourly
N/A

N/A
Yearly
Yearly
Monthly
2x/Year

Comment

N/A

* As needed based on pressure.

Cover Page

CQI-15 WELDING SYSTEM ASSESSMENT


Instructions for completing the Cover Sheet
1

Facility Name: Name of the facility being assessed.


One form shall be used for each facility. The facility may have several buildings or physical locations
in the same general area. If there is a separate management team (Quality Manager and Welding
Specialist) or different management system, then these locations shall be considered as separate facilities.

Address: The street address of the facility being assessed; P.O. Box numbers may be given as
additional information.

Phone Number: The phone number of the facility.


If there is no common phone number for the facility, the phone number of the Operations
Manager or Quality Manager shall be used.

Fax number: The fax number of the facility.

Number of Welding Employees at this Facility: The number of employees, salaried and hourly,
associated with the welding operation at this facility.

Captive Welder (Y/N): Enter "Y" if this facility welds components for their own company. Enter
"N" if the company does not weld any components for their own company.

Commercial Welder (Y/N): Enter "Y" if this facility welds components for companies other than
their own company. Enter "N" if this facility does not weld any components for other companies.
Date of Assessment: Enter the date(s) of the assessment. An alphanumeric format shall be used
to avoid confusion with different numeric formats.

Date of Previous Assessment: List the date of the previous CQI-15 Special Process: Welding
System Assessment of this facility.

10

Type(s) of Welding at this Facility: Place a checkmark to designate the welding process(es)
performed at this facility. This information determines the appropriate Process Table that shall be
used during the assessment. Processes not listed on the cover sheet are not part of the Welding
System Assessment.

11

Current Quality Certification(s): the welder shall list their current quality certifications, e.g.,
ISO/TS 16949, ISO 9001-2000. Certifications may be from 3rd party sources or customer
quality certifications. If customer quality certification is given, then the year of the last
assessment by the customer shall also be given.

12

Date of Re-assessment (if necessary): If "Not Satisfactory" findings were observed from the
original assessment, then the wleder shall address each item and determine correct action,
including root cause analysis and implementation of the corresponding corrective action(s).
The date of the re-assignment shall be given here, and the appropriate Question(s) from Sections
1 - 3, in the original assessment, shall be modified to reflect that the evidence, relating to the
implementation of the corrective action(s), has been observed. Also, the "Number of Not
Satisfactory Findings" shall be modified as appropriate.

13

Personnel Contacted: List the name(s), title(s), phone number(s), and email address(es), if
available, of the principal participants from the welder's organization.

14

Auditors/Assessors: List the name(s), Company(ies), phone number(s) and email address(es), if
available, of the auditor/assessor(s).

15

Number of "Not Satisfactory" Findings: Enter the number of "Not Satisfactory" findings
observed during the assessment.

16

Number of "Needs Immediate Action" Findings: Enter the number of "Needs Immediate
Action" findings observed during the assessment.

17

Number of "Fail" Findings in the Job Audit(s): Enter the number of "Fail" findings observed
from the job audit.

Cover Page

Index Page

SESSMENT

gs or physical locations
Manager and Welding
sidered as separate facilities.

rs may be given as

Operations

laried and hourly,


company. Enter

panies other than


r other companies.
format shall be used

ocess: Welding

ng process(es)
s Table that shall be
part of the Welding

cations, e.g.,
or customer
the last

served from the


correct action,
tive action(s).
ion(s) from Sections
, relating to the
mber of Not

address(es), if

mail address(es), if

" findings

mmediate

gs observed

Special Process: Welding System Assessment


Facility Name:
Address:

Phone Number:
Fax Number:
Number of Welding Employees at this Facility:
Captive Weld Organization (Y/N)
Commercial Weld Organization
(Y/N)
Date of Assessment:

Date of Previous Assessment:

Current Quality Certification(s)


Date of Re-assessment (if necessary):
Personnel Contacted:
Name
Title
0

0
0
0

Auditors/Assessors
Name

0
0
0

Company
0
0
0
0

Number of "Not Satisfactory" Findings

Number of "Needs Immediate Action" Findings

Number of "Fail" Findings in the Job Audit(s)


2010 Automotive Industry Action Group (AIAG)

Cover Page

ssment

Type(s) of Weld Processing at this Facility:


Process Table A - Arc Welding
Arc Stud/Fastener Welding
Flux Cored Arc Welding
Gas Metal Arc Welding
Submerged Arc Welding
Shielded Metal Arc Welding
Plasma Arc Welding
Gas Tungsten Arc Welding
Gas Metal Arc Braze Welding
Process Table B - Resistance Welding
Resistance Spot Welding
Projection Welding
Resistance Seam Welding
High-frequency Seam Welding
Induction Seam Welding
Mash Seam Welding
Flash Welding
Process Table C - Laser Welding
Nd YAG Welding
CO2 Welding
Diode Welding
Wire Fed
Process Table D - Solid State Welding
Inertia Friction Welding
Direct Drive Friction Welding
Friction Stir Welding
Flash Butt Welding
Resistance Butt Welding
Ultrasonic Welding

Phone

Email

Index Page

Phone

Email

Special Process: Welding System Asses

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicate
disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone w
violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are r
Question
Number

Question

Requirements and Guidance

Section 1 - Management Responsibility & Qua

1.1

1.2

1.3

Is there a dedicated and


qualified technical welding
person on-site?

To ensure readily available expertise, there shall be a


dedicated and qualified welding person on site. This
individual shall be one of the following: Degreed Welding
Engineer, or equivalent science degree, Certified Welding
Inspector from approved internationally recognized body,
or person agreed upon between customer and supplier.
This person shall be a full-time employee and the position
shall be reflected in the organization chart. A job
description shall exist identifying the qualifications for the
position including metallurgical and welding knowledge.
The qualifications shall include a minimum of 5 years
experience in welding operations or a combination of a
minimum of 5 years of formal metallurgical education and
welding experience.

The organization shall maintain a responsibility matrix


Is there a responsibility matrix identifying all key management and supervisory functions
and the qualified personnel who may perform such
to ensure that all key
management and supervisory functions. It shall identify both primary and secondary
functions are performed by (backup) personnel for the key functions (as defined by
the organization). This matrix shall be readily available to
qualified personnel?
management and customer at all times.

Do you use only qualified


welders (personnel)?

The organization shall provide employee training for all


welding operations specific to their job function. All
welding employees, including backup and temporary
employees, shall be trained. Documented evidence shall
be maintained showing the employees were trained; the
evidence shall include an assessment of the effectiveness
of the training, must prove knowledge of the customer's
specific requirements and internal standards, and where
appropriate, employee certification, such as for a manual
welder. Management and customer shall define the
qualification requirements for each function and ongoing
or follow-up training shall also be addressed.

1.4

1.5

1.6

1.7

Required qualification maintenance. If the welder has not


welded in the specific operation in a 6 month time frame,
How do you maintain welder the welder must be requalified to that operation. Based
on the welder's quality performance, it must be
certification?
established when retraining and requalification of the
individual must be performed.
Set-up verification to the procedures (as example:
Is set-up practice in
equipment settings, clamping sequence, weld sequence,
compliance with documented direction of travel and other process controls) in
work instructions?
compliance to documented work instructions.
The organization shall incorporate a documented advance
quality planning procedure. A feasibility study shall be
performed and internally approved for each part. Similar
parts can be grouped into part families for this effort as
Does the welding organization defined by the organization. After the part approval
process is approved by the customer, no process
perform advanced quality
changes are allowed unless approved by the customer.
planning?
The welding organization shall contact the customer when
clarification of process changes is required. This
clarification of process changes shall be documented.

Are welding FMEA's up to


date and reflecting current
processing?

The organization shall incorporate the use of a


documented Failure Mode and Effects Analysis (FMEA)
procedure and ensure the FMEA's are updated to reflect
current part quality status.
The FMEA shall be written for each part or part family or
they may be process-specific and written for each
process. In any case, they shall address all process steps
from part receipt to part shipment and all key welding
process parameters as defined by the organization. A
cross-functional team shall be used in the development of
the FMEA. All special characteristics, as defined by the
organization and its customers, shall be identified,
defined, and addressed in the FMEA.

1.8

1.9

The organization shall incorporate the use of a


documented Control Plan procedure and ensure the
Control Plans are updated to reflect current controls. The
Control Plans shall be written for each part or part family
or they may be process-specific and written for each
process. They shall address all process steps from part
receipt to part shipment and identify all equipment used
and all essential welding process parameters as defined
by the relevant individual process tables or non-essential
Are welding process control as agreed upon between supplier and customer. A crossplans up to date and reflecting functional team, including a production operator, shall be
used in the development of Control Plans, which shall be
current processing?
consistent with all associated documentation such as work
instructions, shop travelers, and FMEA's. All special
characteristics, as defined by the organization and its
customers, shall be identified, defined, and addressed in
the Control Plans. Sample sizes and frequencies for
evaluation of process and product characteristics shall
also be addressed consistent with the minimum
requirements listed in the Process Tables.
To ensure all customer requirements are both understood
and satisfied, the organization shall have all specifically
related welding and customer referenced standards and
specifications available for use and a method to ensure
that they are current. Such standards and specifications
may include, but are not limited to, those relevant
documents published by SAE, AIAG, ASTM, ASME, AWS,
ISO, General Motors, Honda, Ford, Toyota, and Chrysler.
Are all welding related and The organization shall have a process to ensure the timely
referenced specifications
review, distribution, and implementation of all customer
current and available? For and industry engineering standards/specifications and
example: SAE, AIAG, ASTM, changes based on customer-required schedule. Timely
ASME, AWS, ISO, General review should be as soon as possible and shall not
Motors, Honda, Ford, Toyota exceed two working weeks. The organization shall
and Chrysler.
document this process of review and implementation, and
it shall address how customer and industry documents are
obtained, how they are maintained within the organization,
how the current status is established, and how the
relevant information is cascaded to the shop floor within
the two-week period. The organization shall identify who
is responsible for performing these tasks.

1.10

Is there a written process


specification for all active
processes?

The welding organization shall have written process


specifications for all active processes and repair
processes which identify all steps of the process including
relevant operating parameters. Examples of operating
parameters as defined by the relevant process tables.
Such parameters shall not only be defined, they shall have
operating tolerances as defined by the organization in
order to maintain process control.
These process specifications may take the form of work
instructions, job card, set-up sheets, or other similar
documents.

1.11

The organization shall perform product capability studies


for the initial validation of each process, after relocation of
any process equipment, and after a major process change
of any equipment or parameter. The organization and
customer shall define what constitutes a major process
change. Initial product capability studies shall be
conducted for all welding processes per each process
path defined in scope of work and in accordance with
customer requirements. In the absence of customer
requirements, the organization shall establish acceptable
Has a valid product capability ranges for measures of capability. An action plan shall
study been performed initially exist to address the steps to be followed in case capability
and after process changes? indices fall outside customer requirements or established
ranges.
Each process path includes all combinations of equipment
that are integrated in the performance of a welding
process, e.g., weld cell with A and B side fixture feeding
another weld cell with A and B side fixture or multiple
machines. Capability study techniques shall include
boundary sample conditions as defined by the control plan
that are robust and meet all customer requirements.
Example, any combination of tolerances as defined by
Process Tables.

1.12

1.13

The analysis of products or processes over time can yield


vital information for defect prevention efforts. The
Does the welding organization organization shall have a system to collect, analyze, and
monitor and analyze data over react to product or essential process data over time.
time, and react to this data? Methods of analysis shall include ongoing trend or
historical data analysis of product or process parameters.
The organization shall determine which parameters to
include in such analysis.
Is management reviewing the
weld control system at a
frequency determined by the
control plan?

Management shall review the weld process control


systems. The management review shall include efforts to
detect out-of-control conditions or alarm conditions. The
process of reviewing the control system shall be
documented and recorded in the control plan.

1.14

The organization shall conduct internal assessments on


Are internal assessments
being completed on an annual an annual basis, at a minimum, using the AIAG WSA.
basis, at a minimum, using Concerns shall be addressed in a timely manner.
AIAG WSA?

1.15

Does the Quality Department


review, address, and
document customer and
internal concerns?

1.16

The welding organization shall define a process for


continual improvement for their welding processes
identified in the scope of the WSA. The continual
Is there a continual
improvement plan applicable improvement process shall be designed to bring about
to each process defined in the improvements in quality and productivity. Identified actions
scope of the assessment? shall be prioritized and shall include timing (estimated
completion dates). The organization shall show evidence
of program effectiveness.

1.17

1.18

1.19

1.20

The quality management system shall include a process


for documenting, reviewing, and addressing customer
concerns and any other concerns internal to the
organization. A disciplined problem-solving approach shall
be used.

Does the Quality Manager or The Quality Manager or designee is responsible for
authorizing and documenting the disposition of
designee authorize the
disposition of material from quarantined material.
quarantine status?
There shall be procedures or work instructions available to
welding personnel covering the welding process. These
procedures or work instructions shall include methods of
Are there procedures or work addressing potential emergencies (such as power failure),
instructions available to the equipment start-up, equipment shut-down, product
welding personnel that define segregation (See 2.8), product inspection, safety, housethe welding process?
keeping, and general operating procedures. These
procedures or work instructions shall be accessible to
shop floor personnel.

Is there a preventive
maintenance program? Is
maintenance data being
utilized to form a predictive
maintenance program?

The organization shall have a documented preventive


maintenance program for process equipment (as
identified by the Process Tables). The program shall be a
closed-loop process that tracks maintenance efforts from
request to completion to assessment of effectiveness.
Equipment operators shall have the opportunity to report
problems, and problems shall also be handled in a closedloop manner.
Company data, e.g., downtime, quality rejects, first-timethrough capability, recurring maintenance work orders,
and operator-reported problems, shall be used to improve
the preventive maintenance program.
Maintenance data shall be collected and analyzed as part
of a predictive maintenance program.

Has the welding organization The welding organization shall develop and maintain a
developed a critical spare part critical spare parts list and shall ensure the availability of
list and are the parts available such parts to minimize production disruptions.
to minimize production
disruptions?

1.21

1.22

1.23

How does the organization


document and respond to
quality spills,
nonconformance, customer
concerns?

Reaction plans are to be followed per the control plan and


PFMEA or, in the case of newly indentified issues PFMEA
and control plan must be updated to reflect the new failure
mode and reaction steps taken.

If there are to be changes in process outside of the


current control plan and last agreed upon process and
What is the process deviation parts sign off, do you know what your customer
requirements of your
requirements are, have you notified your customer, and
customer?
do you have customer approval prior to making the
change?
The quality management system shall include a
documented process for reprocessing and repair that shall
include authorization from a customer designated
individual. The process shall describe product
characteristics for which reprocessing is allowed as well
Is there a system in place to as those characteristics for which reprocessing is not
authorize reprocessing and permissible. Any reprocessing activity shall require a new
processing control sheet issued by qualified technical
repair? Is it documented?
personnel denoting the necessary welding modifications.
Records shall clearly indicate when and how any material
has been reprocessed. The Quality Manager or a
designee shall authorize the release of reprocessed
product.

Section 2 - Floor and Material Handling Res

2.1

2.2

It is critical that all customer requirements and lot


identification be adequately transferred to internal welding
documents. The facility shall ensure that the data entered
in the receiving system match the information on the
customer's shipping documents. Documented processes
Does the facility ensure that and evidence of compliance shall exist, e.g., shop
travelers, work orders, etc. Sometimes the material
the data entered in the
receiving system matches the received does not precisely correspond to customer
information on the customer's shipping documents. The facility shall have a detailed
process in place to resolve receiving discrepancies.
shipping documents?
The requirements stated above also apply to captive
welding departments. This process refers to receiving
and shipping the parts in and out of the welding
department.

Is product clearly identified


and staged throughout the
welding process?

Procedures for part and container identification help to


avoid incorrect processing or mixing of lots. Appropriate
location and staging within the facility also help to ensure
that orders are not shipped until all required operations
are performed. Customer product shall be clearly
identified and staged throughout the welding process.
Non-welded, in-process, and finished product shall be
properly segregated and identified. All material shall be
staged in a dedicated and clearly defined area.

2.3

2.4

2.5

2.6

2.7

2.8

Out-going lot(s) shall be traceable to the incoming lot(s).


Is lot traceability and integrity The discipline of precisely identifying lots and linking all
maintained throughout all
pertinent information to them enhances the ability to do
processes?
root cause analysis and continual improvement.
The control of suspect or non-conforming product is
required to prevent inadvertent shipment or contamination
of other lots. Procedures shall be adequate to prevent
Are procedures adequate to movement of non-conforming product into the production
prevent movement of non- system. Procedures shall exist addressing proper
conforming product into the disposition, product identification, and tracking of material
flow in and out of the hold area. A non-conforming hold
production system?
area shall be clearly designated to maintain segregation of
such material.

Are containers free of


inappropriate material and
contaminants?

Containers handling customer product shall be free of


inappropriate material and contaminants. After emptying
and before re-using containers, containers shall be
inspected to ensure that all parts and inappropriate
material have been removed. The source of inappropriate
material shall be identified and addressed. This is to
ensure that no nonconforming welded parts or
inappropriate material contaminate the finished lot.

Loading parameters shall be specified, documented, and


Is part loading specified,
controlled. Examples include part load sequence and
documented and controlled? clamp sequence.

Is there a containment
reaction plan and are
operators trained in the
process?

Is the handling, storage and


packaging adequate to
preserve product quality?

Operators shall be trained in material handling,


containment action, and product segregation in the event
of an equipment emergency including power failure.
Training shall be documented. Work instructions
specifically addressing potential types of equipment
emergencies and failures shall be accessible to and
understood by equipment operators. These instructions
shall address containment/reaction plans related to all
elements of the welding process. Evidence shall exist
showing disposition and traceability of affected product.
Unplanned or emergency downtime greatly raises the risk
of improper processing.
The welders loading system, in-process handling, and
shipping process shall be assessed for risk of part
damage or other quality concerns.
Other practices such as stacking of overloaded containers
can also increase the risk of part damage.

2.9

Plant cleanliness, housekeeping, environmental, and


working conditions shall be conducive to controlling and
improving quality. The welding organization shall evaluate
Are plant cleanliness,
housekeeping, environmental such conditions and their effect on quality. A
housekeeping policy shall be clearly defined and
and working conditions
executed. The facility shall be reviewed for conditions that
conducive to control and
are detrimental to quality processing such as loose parts
improved quality?
on floor, contaminants, oil, inadequate plant lighting,
fumes, etc.

2.10

Are parts free from


contaminants that would be
detrimental to the quality of
the welding processes,
subsequent processes, or the
product?

Parts shall be free from contaminants that are detrimental


to the quality of the welding processes, subsequent
processes, or the product. If applicable, pre-wash and
post-wash parameters shall be monitored and
documented.

Section 3 - Equipment / Facilities/Con

3.1

3.2

3.3

3.4

3.5

This could include but is not limited to, facilities


capabilities such as safely, environmental
regulations/practice, sufficient incoming power (balance
Are the facilities sufficient for and loading), air (sizing, filtering and cleanliness), water,
the welding operation?
power supply grounding per OEM and regulatory
specifications, gas mixing system (equipment and sizing),
ventilation, and adequate lighting.
The power supply should be adequate for the
manufacturing process with consideration not limited to
output energy, duty cycle, cooling, flow rates and
grounding.
The calibration and certification of the process equipment
Are process equipment
shall be checked at regular specified intervals. Refer to
calibrations and/or verification the applicable Process Tables.
certified, documented,
available, and current?
Are the power supplies
sufficiently sized?

Supplier shall have a preventative maintenance program


Has a preventative
that is documented and implemented. Refer to Section
maintenance program been
1.19 and the applicable Process Tables.
established and documented?

Have the necessary


replacement parts and
process consumables been
identified and made readily
available?

The replacement parts and process consumables shall be


identified, maintained in the appropriate volumes and
proper storage. Consumables must be on the customer's
approved source list (if applicable). Refer to the applicable
Process Tables, Section 2.0 and Section 1.19. This shall
be captured in tools such as the set up procedure,
PFMEA and Control Plans. It should be included in the
layered process audit or other similar type quality review
process.

3.6

Are the process, equipment,


and safety alarm checks being
tested at the required
frequency or after any repair
or rebuild?

The welding operation shall have a list of welding


process, equipment, and safety alarms. These alarms
shall be individually tested at the required frequency as
listed in the control plan, and after any repair, process
change or rebuild. These checks shall be documented.

Section 4 - TOOLING/FIXTURING
4.1

4.2

4.3

Supplier shall have documentation of the fixture design,


that are stored properly and accessible. Proper
Is there a record of the design
identification and revision level on the fixture or related to
and set-up of the fixture?
the fixture. Documented fixture set-up (i.e., clamps, pins,
locating devices)
A method to detect proper fixture and part position is
Is the positioning of each part required for each part, such as the use of proximity
being controlled?
switches, optical sensors, mechanical probes, part
presence or poke yokes., etc.
Supplier shall have a preventative maintenance program
Has fixturing/tooling
that is documented and implemented. Refer to Section
preventative maintenance 1.18 and the applicable Process Tables. Examples:
program been established? cleaning, degreasing, and fixturing integrity.

4.4

Are the fixture components


robust?

4.5

Are the tooling components


designed for the welding
process?

Gas, air, sensors, control cables, etc. are adequately


protected for the process environment.
Fixturing/tooling was developed considering movement,
reach, accessibility, tool center point, maintenance, and
ergonomics (manual, automatic, and robotics)

Section 5 - PROCESS CONTROLS AND CON


5.1

Does welding operation


include the following?

Identify the process control equipment necessary to


monitor, control and provide feedback on all essential
process variables as listed below and in the applicable
Process Tables.

5.1.1

Logic has been established to effectively identify and


address process or equipment faults.

5.1.2

With over rides or resets, logs must be maintained.

5.1.3

Weld faults audible, visible and line shut down.

5.1.4

At weld cycle interrupt, part must not be removed or


passed until dispositioned by appropriate personnel.

5.1.5

Calibration of meters and system controls.

5.1.6

Inter-locking of previous operations have occurred and


quality of parts has been verified before the next operation
begins.

5.1.7

Secure backups of all programs and procedures


(electronic preferred).

5.1.8

High/Low limit alarms established by actual data.

5.1.9

Process variables have been defined and developed by


data and shown to be statistically capable.

5.1.10

Acceptable traceability (sequence/date coding)


All tooling and process changes are documented.

5.1.11
5.1.12

Documented welding procedures for each weld location


and each process variable.

5.1.13

Change over procedure (filler material, fixtures)

5.1.14

Must have documented start-up and shut-down


procedure.
Process control parameters shall be monitored per
frequencies established in the control plan. An appropriate
person shall verify the process control parameters.
Management review is required per Question 1.13.

5.2

Are process control


parameters monitored at
established frequencies?

5.3

How does the organization


review and react to out of
control/specification
parameters?

Are there documented reaction plans with appropriate


levels of containment for both out of control and out of
tolerance process parameters? Is there documented
evidence that reaction plans are followed?

5.4

How does the organization


handle changes to process
control parameters after initial
customer approval?

There shall be a hierarchy established for making and


approving process changes. Each process should be
acted on according to the level of change. Review
process changes with your customer.

5.5

Are In-Process and Final


Tests performed at
established frequencies?

5.6
5.6.1

In-Process and Final Tests shall be performed per


frequencies in the control plan as agreed upon between
the supplier and the customer.

Are weld quality requirements Weld quality requirements per internal and customer
clearly defined per customer specifications, such as but not limited to the following
testing methodology:
specifications?
Cut and etch

5.6.3

Part location, warping, gap, and dimensional


requirements
Correct number of welds

5.6.4

Weld length/size

5.6.5

Weld location

5.6.6

Non Destructive Testing (NDT)

5.6.7

Spatter, undercut, porosity, discontinuities,

5.6.8

Weld direction confirmation

5.6.9

Destructive testing

5.6.10

Additional testing

5.6.2

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Welding System Assessment

Index Page

on Group unless otherwise indicated. All rights are preserved by AIAG, and content may not be altered or
e sold in part or whole to anyone within your organization or to another company. Copyright infringement is a
motive Industry Action Group are registered service marks of the Automotive Industry Action Group
Assessment

Objective Evidence

N/A

Satisfactory

nt Responsibility & Quality Planning

Not Satisfactory

Needs Immediate
Action

d Material Handling Responsibility

uipment / Facilities/Controls

- TOOLING/FIXTURING

CONTROLS AND CONFIRMATION

Section 6 - Job Audit

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. A
or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyon
Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Base Metal Specifications:
Filler Metal Specification (if required):
Welding Process(es):
Question #

Job Audit Question

6.1

Has the welding operation identified the


process control equipment necessary to
monitor, control and provide feedback on all
essential process variables as listed in the
applicable Process Tables?

6.2
6.3

Has the logic been established to effectively


identify and address process or equipment
faults?
Are over rides or resets logs maintained?

Related
WSA Question #
1.8
5.1
5.2

5.1

5.1.2
5.1.3

6.4

Are weld faults audible, visible and does the


line shut down?

6.5

If the weld cycle is interrupted, is the part


controlled or contained until dispositioned by
appropriate personnel?

6.6

Are the meters and feed back controls


calibrated per established frequencies?

5.1.5
3.3
5.1.6

6.7

If applicable, is there an inter-locking of the


previous operation and has the quality of
parts been verified?

6.8

Are there secure backups of all programs


and procedures (electronic preferred)?

6.9

Are high/low limit alarms established by


actual data.

5.1.8
5.1.1

Have process variables been defined and


developed by data and shown to be
statistically capable?

5.1.9

6.10

2.7
5.1.4

5.1.7

5.1.10
5.1.11
2.3
2.7
4.1
5.1.11
5.4

6.11

Is there acceptable traceability


(sequence/date coding)?

6.12

Is there traceability of all process and tooling


changes?

6.13

Are there documented welding procedures


for each weld location and each process
variable?

6.14

Is there a documented change over


procedure (filler material, fixtures)?

1.5
5.1.13
3.6

6.15

Is there a documented start-up and shutdown procedure?

1.5
1.10
5.1.14

6.16

Are process control parameters monitored


at established frequencies?

6.17

Are there documented reaction plans with


appropriate levels of containment to both out
of control and out of tolerance process
parameters and provide documented
evidence that reaction plans are followed?

6.18

How does the organization handle changes


to process control parameters after initial
customer approval and how do you notify
your customer?

6.19

Are In-Process and Final Tests performed at


established frequencies?

6.20

Are weld quality requirements clearly


defined per customer specifications?

6.20.1

Test Type:
Test Method:
Test Frequency and Quantity:
Specification:

6.20.2

Test Type:
Test Method:
Test Frequency and Quantity:
Specification:

6.20.3

Test Type:

5.1.12
1.5
1.10

5.2

5.3
1.21
5.6
1.8
2.7
1.6
5.4
1.22
1.16
1.8
5.5
1.9
5.6

Test Method:
Test Frequency and Quantity:
Specification:
6.20.4

Test Type:
Test Method:
Test Frequency and Quantity:
Specification:

2010 Automotive Industry Action Group (AIAG)

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ustry Action Group unless otherwise indicated. All rights are preserved by AIAG, and content may not be altered
rmation is not to be sold in part or whole to anyone within your organization or to another company. Copyright

Customer or Internal
Requirement

Job (Shop) Order or


Reference Documentation
Requirement

Actual Condition
(Objective Evidence)

Pass / Fail
/ N/A

Each part may have one or more requirements determined by the welding specification.
Parts must meet each requirement. List requirements below and validate.

PROCESS TABLE A- Arc Welding Pro

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIAG
information is not to be sold in part or whole to anyone within your organization or to another company. Copyright infringement is a violation of federal law
service marks of the Automotive Industry Action Grou

All control of variables given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When p
to the customer's requirements.
Dashes below indicate "not applicable".
X indicates an essential variable which shall be documented and controlled.
indicates that procedure should be reviewed and documented when necessary.

Item #

Related WSA
Question #

1.0

1.7, 1.8

Category/Process Steps

Arc Stud/
Fastener
Welding
(SW)

Arc welding specific essential variables which shall be


addressed in the FMEA, control plan and welding
procedures

A1.1
A1.2
A1.3
A1.4
A1.5

Arc voltage
Amperage
Current type (AC/DCEN/DCEP)
Wire feed speed
Pulse setting variables specific to the OEM of the welding
equipment must be documented and controlled.

A1.6
A1.7
A1.8
A1.9
A1.10
A1.11
A1.12
A1.13
A1.14
A1.15

Stud gun/torch position work angle, travel angle


Contact tip-to-work distance
Electrode-to-work distance

Lift height of stud


Fastener coating (determines current type)
Plunge control mode force or position
Flux classification and depth
Flux removal and reclaimation plan
Gas flow pre-flow, post-flow, rate and type(s)
Electrode and/or filler metal type, diameter, and
classicifacation

x
x
x

A1.16
A1.17

Travel speed
Gas nozzle size and type

x
x

x2
x

x2

A1.18
A1.19
A1.20
A1.21
A1.22
A1.23
A1.24 What are your
A1.25 procedures for:
A1.26
A1.27
A1.28
A1.29
A1.30
A1.31
A1.32
A1.33
A1.34
A1.35
A1.36
A1.37
A1.38
A1.39

Arc starting parameters


Arc end parameters
Wire burnback settings
Plunge depth
Arc time
Fastener geometry per material type
Nozzle cleaning and cleaners, replacement
Tip changes
Wire liners/conduits cleaning and replacing
Drive roll changes
Wire guide tube change
Antispatter Application (spray/dip and equipment)
Electrode and stud collet change
O rings in gas system maintenance
Gas delivery and mixing system
Flux delivery systems maintenance
Flux removal (screens size and magnetic separators)
Electrode sharpening
Slag removal
Wire dereelers maintenance
Wire brake adjustment

x
x
x

x2

Integrity of ground system


x1: Processes can be used both with and without filler metal.
x2: These welding processes are designated for either gas shielded, self shielded or gasless.
x3: Arc Spot welding applicactions only.
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A- Arc Welding Processes

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ement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered
Automotive Industry Action Group

nts.

quencies, etc. When performing the job audit, the auditor shall verify welding is conforming

FluxCored Arc
Welding
(FCAW)

Gas
Gas Metal
Shielded
Submerged
Plasma Arc Tungsten
Arc
Metal Arc
Arc Welding
Welding
Arc
Welding
Welding
(SAW)
(PAW)
Welding
(GMAW)
(SMAW)
(GTAW)

x
x
x
x

x
x
x
x

x
x

x
x
x

x
x
x
x

x
x

Gas Metal
Arc Braze
Welding

x
x
x
1
x

x
x
x
1
x

x
x
x
x

x
x

x
x

x
x
x

x1

x1

x
x

x
x

x
x
x

x
x

x
x
x2

x
x

x
x
x

x
x

d or gasless.

x
x
x

x
x
x

x3

x3

x
x
x

x
x

x
x

x3

x3

x
x
x

PROCESS TABLE B- Resistance Welding Pro

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AI
such content. The information is not to be sold in part or whole to anyone within your organization or to another company. Copyright infringement is a violati
Action Group are registered service marks of the Automotive Industry Actio

All control of variables given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When p
conforming to the customer's requirements.
Dashes below indicate "not applicable".
X indicates an essential variable which shall be documented and controlled.
indicates that procedure should be reviewed and documented when necessary.

Item #

Related WSA
Question #

2.0

1.7, 1.8

B2.1
B2.2
B2.3
B2.4
B2.5
B2.6
B2.7
B2.8
B2.9
B2.10
B2.11
B2.12
B2.13
B2.14
B2.15
B2.16
B2.17
B2.18
B2.19

Category/Process Steps

Resistance welding specific essential variables which


shall be addressed in the FMEA, control plan and
welding procedures
Weld force
Clamp force
Forge force
Forge delay
Amperage
Voltage
Power
Frequency
Pulsation
Squeeze time/cycles
Weld time/cycles
Hold time/cycles
Quench time/cycles
Temper time
Cool time/cycles
Upslope time/cycles
Stepper programs
Tip/electrode/wheel dressing
Weld travel speed

B2.20
B2.21
B2.22
B2.23
B2.24 What are your
B2.25 procedures for:
B2.26
B2.27
B2.28

Adequate electrode follow up in weld force / distance


System cooling-transformers, electrodes, etc.
Tip/electrode/wheel/coil change frequency
Tip/electrode/wheel/coil alignment
Electrode selection/type (material type etc.)
Electrode geometry
Induction coil geometry
Secondary loop electrical conductors (cables, leaf shunts,
etc.) and mechanical joints maintenance
Projection weld geometry and size

*Flash Welding is a Solid State process, however, the process controls most resemble a resista
Refer to Table D for other requirements on Flash Welding
2010 Automotive Industry Action Group (AIAG)

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otherwise indicated. All rights are preserved by AIAG, and content may not be altered or disseminated, published, or transferred in part of
other company. Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry
ed service marks of the Automotive Industry Action Group

requirements.

, greater frequencies, etc. When performing the job audit, the auditor shall verify welding is

led.
ecessary.
HighResistance
Resistance
Projection
Frequency
Spot
Seam
Welding
Seam
Welding
Welding
(PW)
Welding
(RSW)
(RSEW)
(RSEW-HF)

X
X

X
X

X
X
X
X

X
X
X

X
X
X
X

X
X
X

Mash
Induction
Seam
Seam
Welding
Welding
(RSEW(RSEW-I)
MS)

Flash
Welding*
(FW)

X
X

X
X
X
X
X
X
X

X
X

X
X

X
X

X
X
X
X
X

X
X

X
X

X
X

X
X
X
X

X
X
X
X

X
X
X

rocess controls most resemble a resistance weld process.

X
X
X

X
X
X

X
X
X

X
X
X
X

PROCESS TABLE C- Laser Welding Processes

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIAG
or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organization or t
infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered service marks
Group.

All control of variables given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When p
audit, the auditor shall verify welding is conforming to the customer's requirements.
Dashes below indicate "not applicable".
X indicates an essential variable which shall be documented and controlled.
indicates that procedure should be reviewed and documented when necessary.

Item #

Related WSA
Question #

3.0

1.7, 1.8

Category/Process Steps

Nd YAG
(LBW)

Welding specific essential variables which shall be


addressed in the FMEA, control plan and welding
procedures
Equipment

C3.1
C3.2
C3.3
C3.4
C3.5
C3.6
C3.7
C3.8
C3.9
C3.10
C3.11
C3.12
C3.13
C3.14
C3.15
C3.16
C3.17

Beam quality
Optic cleanliness
Cross jet or laser knife
Beam configuration (split, single)
Focal length
Beam spot size

Gas tube angle/arrangement


Optics purge gas (flow and quality)

Mirror cleanliness
Mirror degradation
Beam sharing
Split beam

Tip changes
O rings in gas system
Gas nozzle
Torch angles
Chillers (internal - external)

X
X
X
X
X

X
X
X

C3.18
C3.19
C3.20
C3.21
C3.22
C3.23
C3.24
C3.25
C3.26
C3.27
C3.28
C3.29
C3.30
C3.31
C3.32
C3.33
C3.34
C3.35
C3.36
C3.37
C3.38
C3.39
C3.40
C3.41
C3.42
C3.43
C3.44
C3.45
C3.46
C3.47
C3.48
C3.49
C3.50
C3.51
C3.52
C3.53

- Flow rate
- Water quality
- Type of coolant
- Additive concentration
- Temperature control (rate of change and range)
Wire feed system
- Wire feed speed
- Wire liners/conduits cleaning and replacing
- Drive roll changes
- Wire guide tube
- Wire derealers
- Wire brake adjustment
- Wire cleaners/wipers
- Contact tip to work distance
- Wire position to laser focal point
Beam Delivery
Direct
Fiber
- Fiber diameter
- Fiber lengths
- Bend radius
- Condition of fiber
- Fiber ends (condition of fiber ends)
- Fiber end cooling
Mirror
- Power loss though the delivery system
- Alignment
- Cleanliness
- Coatings of mirror
- Mirror type
- Optic and mirror cooling
Process Variables
Shielding gas type - flow rate
Weld travel speed control (rate of change, and velocity
control)
Power Output Control
Power ramping/program (start, weld, end)
Power at the work piece
Offset of beam to joint

X
X
X
X
X

X
X
X
X
X
X
X

X
X
X
X
X
X

C3.54

Continuous wave
Pulsation
Angle of Incidence
Focus point
Direction of welding (trailing or lead)
Beam quality burn-in
Power output control calibration
Plasma suppression
- Monitoring Back scatter for control process
Fixtures/Part

C3.55
C3.56
C3.57
C3.58
C3.59
C3.60
C3.61
C3.62
C3.63
C3.64
C3.65
C3.66
C3.67
C3.68

What are your


procedures for
controlling:

- Stability and/or vibration isolation


- Articulation system (smoothness of motion and accuracy)
Part fit up
Seam tracking
Edge condition
Coatings
2010 Automotive Industry Action Group (AIAG)

X
X
X
X
X
X
X

X
X

es

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yone within your organization or to another company. Copyright
oup are registered service marks of the Automotive Industry Action

nts.

quencies, etc. When performing the job


.

CO2
(LBW)

DIODE
(LBW)

With Wire
Feed
System

X
X

X
X
X
X
X

X
X
X
X
X
X
X
X
X
X
X

X
X

X
X

PROCESS TABLE D - Solid State Welding Processes

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by
transferred in part of such content. The information is not to be sold in part or whole to anyone within your organization or to another company. Copyrig
penalties. AIAG and the Automotive Industry Action Group are registered service marks of the Automotive

All control of variables given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When p
shall verify welding is conforming to the customer's requirements.
Dashes below indicate "not applicable".
X indicates an essential variable which shall be documented and controlled.
indicates that procedure should be reviewed and documented when necessary.

Item #

Related WSA
Question #

4.0

1.7, 1.8

D4.1
D4.2
D4.3
D4.4
D4.5
D4.6
D4.7
D4.8
D4.9
D4.10
D4.11
D4.12
D4.13
D4.14

D4.15
D4.16

Category/Process Steps

Inertia
Friction
Welding
(FRW-I)

Welding specific essential variables which shall be


addressed in the FMEA, control plan and welding
procedures
Tolerances on axial alignment
Faying surface area
Faying surface cleanliness
Initial spindal speed
Welding spindal speed
Spindal torque - to not damage equipment
Flywheels; total moment of inertia
Spindle clamp pressure
Fixture clamp pressure
Part stickout
Preheat (First friction phase) if needed
-Projection on faying surface
-Preheat force
-Preheat time or RPM
Preheat burnoff length-amount of dimension loss during
preheat
Weld Heat (Second friction phase)
-Friction weld force
-Friction speed at which forging begins
Forging Stage

X
X
X
X
X
X
X
X
X
X1
X1
X1

X
X

D4.17
D4.18
D4.19
D4.20
D4.21
D4.22
D4.23
D4.24
D4.25
D4.26
D4.27
D4.28
D4.29
D4.30
D4.31
D4.32
D4.33

-Forging speed
-Forge force
-Forge time
-Forge length if limited upset is used
-Forge delay
-Upset distance
-Upset removal / management
-Upset hold time
-Upset rate
-Friction upset distance and time
Brake setting or stopping time dimensions and tolerences
Brake force
Brake delay prior to upset
Final position
Postweld heat treatment if needed based on materials joined
Protective atmosphere if necessary for the base material
Total burnoff-amount of dimension loss during total process
FSW

D4.34
D4.35
D4.36

Primary control (position or force)


Tool to weld joint alignment during length of travel
Tool

D4.45

-Pin to shoulder ratio


-Pin length
-Included angle for pin
-Included angle for shoulder
-Thread on pin surface
-Pin material
Plunge Practice
-Speed of plunge
-Spindal speed during plunge
-Preheat dwell time after plunge
-Plunge force

D4.46

Weld
-Weld force

D4.37
D4.38
D4.39
D4.40
D4.41
D4.42
D4.43
D4.44

D4.47
D4.48
D4.49

-Travel speed
-Tool tilt angle
-Weld spindal speed
Weld termination

X
X

X
X
X

D4.50
D4.51
D4.52
D4.53
D4.54
D4.55
D4.56
D4.57
D4.58
D4.59
D4.60
D4.61
D4.62
D4.63
D4.64
D4.65
D4.66
D4.67
D4.68
D4.69
D4.70
D4.71
D4.72
D4.73
D4.74
D4.75
D4.76
D4.77
D4.78
D4.79
D4.80
D4.81
D4.82

-Exit motion of tool such as tilt angle rotation


-Spindal speed at tool extraction
-Dwell at end of travel
FBW RBW
Electrode design-eliminate die burns
Electrode/Die cleanliness
Electrode/Die clamping pressure
Part cleanliness and scale removal
Part alignment
Joint geometry preporation
Initial martial stickout or extension beyond electrodes
Preheat
-Preheat force
-Tap selection
-Percent heat
-Off time during initial die opening
Initial Flashing
-Initial die opening
-Initial flashing rate
-Type of platten movement (linear or parabolic)
-Voltage
-Initial flashing distance or time
-Percent heat
-Tap selection
Flashing
-Flashing rate
-Type of platten movement (linear or parabolic)
-Voltage
-Flashing distance or time
-Percent heat
-Tap selection
Weld Stage 1
-Percent heat
-Tap selection voltage
-Force
-Pulsation (on, off and number of pulses)
-Off time before stage change
Weld Stage 2 (can be multiple stages with different parameters)
-Percent heat

D4.83
D4.84
D4.85
D4.86
D4.87
D4.88
D4.89
D4.90
D4.91
D4.92
D4.93
D4.94
D4.95
D4.96
D4.97
D4.98

-Tap selection voltage


-Force
-Pulsation (on, off and number of pulses)
Forge/Upset
-Forge rate
-Forge force
-Forge distance / total upset
-Upset time
-Upset current
-Flashing voltage cut off
-Flashing removal / management
Post weld heat treatment if needed
-Heat treatment clamping distance
-Quench time
-Tap selection
-Precent heat
-Temper time
Final die opening

Ultrasonic Metal weld


D4.99
D4.100
D4.101
D4.102
D4.103
D4.104
D4.105
D4.106
D4.107
D4.108
D4.109
D4.110
D4.111
D4.112
D4.113
D4.114

Tap selection / design of ribbon structure


Frequency of power supply for application (40/30/20kHz)
Fixture & part design with max dimension deviation and material specs
Upset and Monitoring (windowing)
Welding-Energy
Welding-Time
Welding-Amplitude
Welding-Force
Welding-Current
Welding pre Height and travel (compaction)
Energy with height compensation
Weld Head Cooling
Environmental conditions control (i.e., temperature, humidity, dust, etc.)
TAP/Die cleanliness
TAP/Die clamping pressure
Part cleanliness and scale removal
Part alignment
1
x : If required to achieve heat balance. Example thin part to thick part or various hardnesses.
2010 Automotive Industry Action Group (AIAG)

lding Processes

Cover Page

Index Page

ted. All rights are preserved by AIAG, and content may not be altered or disseminated, published, or
or to another company. Copyright infringement is a violation of federal law subject to criminal and civil
service marks of the Automotive Industry Action Group.

ts.

quencies, etc. When performing the job audit, the auditor

Direct Drive Friction


Friction
Stir
Welding
Welding
(FRW-DD)
(FSW)

Flash Butt
Welding
(FW)

Resistance
Butt
Welding
(UW)

X
X

X
X1
X1
X1
X1

X
X

Ultrasonic
Welding

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

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

X
X
X
X

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

X
X
X
X

X
X

X
X
X
X
X
X
X

Cover Page

CQI-17 SOLDERING SYSTEM ASSESSMENT


Instructions for completing the Cover Sheet
1

Facility Name: Name of the facility being assessed.


One form shall be used for each facility. The facility may have several buildings or physical locations
in the same general area. If there is a separate management team (Quality Manager and Soldering
Specialist) or different management system, then these locations shall be considered as separate facilities.

Address: The street address of the facility being assessed; P.O. Box numbers may be given as
additional information.

Phone Number: The phone number of the facility.


If there is no common phone number for the facility, the phone number of the Operations
Manager or Quality Manager shall be used.

Fax number: The fax number of the facility.

Number of Soldering Employees at this Facility: The number of employees, salaried and hourly,
associated with the soldering operation at this facility.

Captive Solder (Y/N): Enter "Y" if this facility solders components for their own company. Enter
"N" if the company does not solder any components for their own company.

Commercial Solder (Y/N): Enter "Y" if this facility solders components for companies other than
their own company. Enter "N" if this facility does not solder any components for other companies.
Date of Assessment: Enter the date(s) of the assessment. An alphanumeric format shall be used
to avoid confusion with different numeric formats.

Date of Previous Assessment: List the date of the previous CQI-17 Special Process: Soldering
System Assessment of this facility.

10

Type(s) of Soldering at this Facility: Place a checkmark to designate the soldering process(es)
performed at this facility. This information determines the appropriate Process Table that shall be
used during the assessment. Processes not listed on the cover sheet are not part of the Soldering
System Assessment.

11

Current Quality Certification(s): the solderer shall list their current quality certifications, e.g.,
ISO/TS 16949, ISO 9001-2000. Certifications may be from 3rd party sources or customer
quality certifications. If customer quality certification is given, then the year of the last
assessment by the customer shall also be given.

12

Date of Re-assessment (if necessary): If "Not Satisfactory" findings were observed from the
original assessment, then the solderer shall address each item and determine correct action,
including root cause analysis and implementation of the corresponding corrective action(s).
The date of the re-assignment shall be given here, and the appropriate Question(s) from Sections
1 - 3, in the original assessment, shall be modified to reflect that the evidence, relating to the
implementation of the corrective action(s), has been observed. Also, the "Number of Not
Satisfactory Findings" shall be modified as appropriate.

13

Personnel Contacted: List the name(s), title(s), phone number(s), and email address(es), if
available, of the principal participants from the solderer's organization.

14

Auditors/Assessors: List the name(s), Company(ies), phone number(s) and email address(es), if
available, of the auditor/assessor(s).

15

Number of "Not Satisfactory" Findings: Enter the number of "Not Satisfactory" findings
observed during the assessment.

16

Number of "Needs Immediate Action" Findings: Enter the number of "Needs Immediate
Action" findings observed during the assessment.

17

Number of "Fail" Findings in the Job Audit(s): Enter the number of "Fail" findings observed
from the job audit.

Cover Page

Index Page

SESSMENT

gs or physical locations
Manager and Soldering
sidered as separate facilities.

rs may be given as

Operations

alaried and hourly,

n company. Enter

mpanies other than


or other companies.
format shall be used

ocess: Soldering

ering process(es)
s Table that shall be
part of the Soldering

fications, e.g.,
or customer
the last

served from the


e correct action,
tive action(s).
ion(s) from Sections
, relating to the
mber of Not

address(es), if

mail address(es), if

" findings

mmediate

gs observed

Special Process: Soldering System Assessment


Facility Name:
Address

Phone Number
Fax Number

Type(s) of Soldering at this Facility:


Process Table A -

Number of Soldering Employees at this Facility:

Process Table B -

Captive Soldering Organization (Y/N)

Process Table C -

Commercial Soldering Organization (Y/N)

Process Table D -

Date of Assessment:

Process Table E -

Date of Previous Assessment:

Process Table F Process Table G Process Table H Process Table I Process Table J -

Current Quality Certification(s)


Date of Re-assessment (if necessary):
Personnel Contacted:
Name

Title
0
0
0
0

Auditors/Assessors
Name

Company
0
0
0
0

Number of "Not Satisfactory" Findings

Phone
0
0
0
0

Phone

Number of "Needs Immediate Action" Findings

Number of "Fail" Findings in the Job Audit(s)


2010 Automortive Industry Action Group (AIAG)

Cover Page

g at this Facility:
Process Table K Process Table L Process Table M Process Table N Process Table O Process Table P Process Table Q Process Table R Process Table S -

Email

Email

Index Page

Special Process: Soldering Process Assessment (Gene

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
content. The information is not to be sold in part or whole to anyone within your organization or to another company. Copyright infringement is a violation o
Group are registered service marks of the Automotive Industry Action

Question
Number

Question

Requirements and Guidance

Section 1 - Management Responsibility and Qu

1.1

1.2

To ensure readily available expertise, there shall be a


dedicated and qualified soldering expert on site. This
individual shall be a full-time employee and the
position shall be reflected in the organization chart. A
Is there a dedicated and
job description shall exist identifying the qualifications
qualified soldering expert on- for the position including metallurgical and soldering
site?
knowledge. The qualifications shall include a
minimum of 5 years experience in soldering
operations or a combination of a minimum of 5 years
of formal metallurgical education and soldering
experience.

Does the soldering


organization perform
advanced quality planning?

The organization shall incorporate a documented


advance quality planning procedure. A feasibility
study shall be performed and internally approved for
each part. Similar parts can be grouped into part
families for this effort as defined by the organization.
After the part approval process is approved by the
customer, no process changes are allowed unless
approved by the customer. The soldering
organization shall contact the customer when
clarification of process changes is required. This
clarification of process changes shall be
documented.

1.3

1.4

Are soldering FMEA's up to


date and reflecting current
processing?

The organization shall incorporate the use of a


documented Failure Mode and Effects Analysis
(FMEA) procedure and ensure the FMEA's are
updated to reflect current part quality status.
The FMEA shall be written for each part or part family
or they may be process-specific and written for each
process. In any case, they shall address all process
steps from part receipt to part shipment and all key
soldering process parameters as defined by the
organization. A cross-functional team shall be used in
the development of the FMEA. All special
characteristics, as defined by the organization and its
customers, shall be identified, defined, and
addressed in the FMEA.

The organization shall incorporate the use of a


documented Control Plan procedure and ensure the
Control Plans are updated to reflect current controls.
The Control Plans shall be written for each part or
part family or they may be process-specific and
written for each process. In any case, they shall
address all process steps from part receipt to part
shipment and identify all equipment used and all key
solder process parameters as defined by the
Are soldering process control organization.
plans up to date and reflecting A cross-functional team, including a production
current processing?
operator, shall be used in the development of Control
Plans, which shall be consistent with all associated
documentation such as work instructions, shop
travelers, and FMEA's. All special characteristics, as
defined by the organization and its customers, shall
be identified, defined, and addressed in the Control
Plans. Sample sizes and frequencies for evaluation of
process and product characteristics shall also be
addressed consistent with the minimum requirements
listed in the Process Tables.

Are all soldering related and


referenced specifications
current and available? For
example: IPC, SAE, AIAG,
ASTM, General Motors,
Honda, Ford, and Chrysler.

1.5

1.6

Is there a written process


specification for all active
processes?

To ensure all customer requirements are both


understood and satisfied, the organization shall have
all related solder and customer referenced standards
and specifications available for use and a method to
ensure that they are current. Such standards and
specifications include, but are not limited to, those
relevant documents published by IPC, SAE, AIAG,
ASTM, General Motors, Honda, Ford, and Chrysler.
The organization shall have a process to ensure the
timely review, distribution, and implementation of all
customer and industry engineering standards /
specifications and changes based on customerrequired schedule. Timely review should be as soon
as possible and shall not exceed two working weeks.
The organization shall document this process of
review and implementation, and it shall address how
customer and industry documents are obtained, how
they are maintained within the organization, how the
current status is established, and how the relevant
information is cascaded to the shop floor within the
two-week period. The organization shall identify who
is responsible for performing these tasks.

The solder organization shall have written process


specifications for all active processes and identify all
steps of the process including relevant operating
parameters. Examples of operating parameters
include process temperatures, cycle times,
atmosphere or gas flow settings, belt speeds, etc.
Such parameters shall not only be defined, they shall
have operating tolerances as defined by the
organization in order to maintain process control.
These process specifications may take the form of
work instructions, job card, computer-based recipes,
or other similar documents.

To demonstrate each process is capable of yielding


acceptable product the organization shall perform
process capability studies for the initial validation of
each process, after relocation of any process
equipment, & after a major rebuild of any equipment.
The organization shall define what constitutes a major
rebuild. Initial process capability studies shall be
conducted for all solder processes per manufacturing
line defined in scope of work & in accordance with
customer requirements. A manufacturing line may
include a combination of equipment that is integrated
in the performance of a solder process, e.g., printing,
placement, and reflow. Capability study techniques
shall be appropriate for the solder product
characteristics, e.g., paste height and thermal
profiling. Any specific customer requirements shall
be met, in the absence of customer requirements, the
organization shall establish acceptable ranges for
measures of capability. An action plan shall exist to
address the steps to followed in case capability
indices fall outside customer requirements or
established ranges.

1.7

Has a valid process capability


study been performed initially
and after process equipment
has been relocated, or had a
major rebuild?

1.8

The analysis of products and processes over time


can yield vital information for defect prevention
efforts. The organization shall have a system to
Does the solder organization
collect, analyze, and react to product or process data
collect and analyze data over
over time.
time, and react to this data?
Methods of analysis shall include ongoing trend or
historical data analysis of product or process
parameters. The organization shall determine which
parameters to include in such analysis.

1.9

Management shall review the soldering process data


at intervals not to exceed 24 hours. The soldering
process data includes but is not limited to thermal
Is management reviewing the profiles, SPC, set up sheets and maintenance logs,
soldering process data every through-put, etc.
24 hours?
The management review shall include efforts to
detect out-of-control conditions or alarm conditions.
The process of reviewing the soldering process data
shall be documented and this requirement also
applies to computerized data.

1.10

Are internal assessments


The organization shall conduct internal assessments
being completed on an annual
on an annual basis, at a minimum, using the AIAG
basis, at a minimum, using
SSA.
AIAG SSA?

1.11

The quality management system shall include a


documented process for rework and repair that shall
include authorization from a designated individual, a
recognized team of experts, or customer requirement.
The rework and repair procedures shall describe
product characteristics for which rework and repair is
allowed as well as those characteristics for which
Is there a system in place to
rework is not permissible.
authorize rework or repair and
Any rework or repair activity shall require a
is it documented?
processing control sheet issued by qualified technical
personnel denoting the necessary solder rework or
repair. Records shall clearly indicate when and how
any material has been reworked or repair. Repaired
parts shall meet inspection standards, and must be
verified by a secondary process such as in-circuit
test.

1.12

The quality management system shall include a


Does the Quality Department
process for documenting, reviewing, and addressing
review, address, and
customer concerns and any other concerns internal to
document customer and
the organization. A disciplined problem-solving
internal concerns?
approach shall be used.

1.13

The solder organization shall define a process for


continual improvement for each solder process
Is there a continual
identified in the scope of the SSA. The process shall
improvement plan applicable be designed to bring about continual improvement in
to each process defined in the quality and productivity. Identified actions shall be
scope of the assessment? prioritized and shall include timing (estimated
completion dates). The organization shall show
evidence of program effectiveness.

1.14

Does the Quality Manager or


designee authorize the
disposition of material from
quarantine status?

The Quality Manager is responsible for authorizing


and documenting appropriate personnel to disposition
quarantine material, such as components that are out
of tolerance.

1.15

There shall be procedures or work instructions


available to soldering personnel covering the
soldering process. These procedures or work
Are there procedures or work instructions shall include methods of addressing
instructions available to the potential emergencies (such as power failure),
solder personnel that define equipment start-up, equipment shut-down, product
the soldering process?
segregation (See 2.8), product inspection, and
general operating procedures. These procedures or
work instructions shall be accessible to shop floor
personnel.

1.16

1.17

1.18

1.19

Is management providing
employee training for
soldering?

The organization shall provide employee training for


all soldering operations. All employees associated
with the soldering process, including backup and
temporary employees, shall be trained. Documented
evidence shall be maintained showing the employees
trained and the evidence shall include an assessment
of the effectiveness of the training. Management
shall define the qualification requirements for each
function, and ongoing or follow-up training shall also
be addressed.

The organization shall maintain a responsibility matrix


Is there a responsibility matrix identifying all key management and supervisory
to ensure that all key
functions and the qualified personnel who may
management and supervisory perform such functions. It shall identify both primary
functions are performed by and secondary (backup) personnel for the key
qualified personnel?
functions (as defined by the organization). This matrix
shall be readily available to management at all times.

Is there a preventive
maintenance program? Is
maintenance data being
utilized to form a predictive
maintenance program?

The organization shall have a documented preventive


maintenance program for key process equipment (as
identified by the organization). The program shall be a
closed-loop process that tracks maintenance efforts
from request to completion to assessment of
effectiveness. Equipment operators shall have the
opportunity to report problems, and problems shall
also be handled in a closed-loop manner.
Company data, e.g., downtime, quality rejects, firsttime-through capability, recurring maintenance work
orders, and operator-reported problems, shall be
used to improve the preventive maintenance
program. Furnaces and generators shall be
scheduled for burn-out at frequencies determined by
the organization. Maintenance data shall be collected
and analyzed as part of a predictive maintenance
program.

Has the soldering organization


developed a critical spare part
list and are the parts available
to minimize production
disruptions?

The soldering organization shall develop and maintain


a critical spare parts list and shall ensure the
availability of such parts to minimize production
disruptions.

Section 2 - Floor and Material Handling Res

2.1

2.2

2.3

2.4

2.6

Does the facility ensure that


the data entered in the
receiving system matches the
information on the customer's
shipping documents?

Documented processes and evidence of compliance


shall exist, e.g., shop travelers, work orders, etc. The
facility shall have a detailed process in place to
resolve receiving discrepancies.

Is product clearly identified


and staged throughout the
manufacturing soldering
process?

Procedures for part and container identification help


to avoid incorrect processing or mixing of lots.
Appropriate location and staging within the facility
also help to ensure that orders are not shipped until
all required operations are performed. Customer
product shall be clearly identified and staged
throughout the soldering process. Unsoldered
product, in-process, and finished product shall be
properly segregated and identified. All material shall
be staged in a dedicated and clearly defined area.

Is lot traceability and integrity


maintained throughout all
processes?

Out-going lot(s) shall be traceable to the incoming


lot(s). The discipline of precisely identifying lots and
linking all pertinent information to them enhances the
ability to do root cause analysis and continual
improvement.
Traceability should include bulk packed components
used for manual insertion processes.

Are procedures adequate to


prevent movement of nonconforming product/material
into the production system?

The control of suspect or non-conforming


product/material is necessary to prevent inadvertent
shipment or contamination of other lots. Procedures
shall be adequate to prevent movement of nonconforming product into the production system.
Procedures shall exist addressing proper disposition,
product identification and tracking of material flow in
and out of hold area. Non-conforming hold area shall
be clearly designated to maintain segregation of such
material. The soldering organization shall have
documented procedures to identify and segregate
improperly soldered parts for each
process/equipment resulting from equipment
failures/e-stop/loss of power.

Are containers free of


inappropriate material?

Containers handling customer product shall be free of


inappropriate material. After emptying and before reusing containers, containers shall be inspected to
ensure that all parts and inappropriate material have
been removed. The source of inappropriate material
shall be identified and addressed. This is to ensure
that no nonconforming soldered parts or inappropriate
material contaminate the finished lot.

Is part loading specified,


documented and controlled?

Loading parameters shall be specified, documented


and controlled. Examples include parts per rack and
load size.

Are operators trained in


material handling,
containment action and
product segregation in the
event of an equipment
emergency including power
failure?

Unplanned or emergency downtime greatly raises the


risk of improper processing. Operators shall be
trained in material handling, containment action, and
product segregation in the event of an equipment
emergency including power failure. Training shall be
documented. Work instructions specifically
addressing potential types of equipment emergencies
and failures shall be accessible to and understood by
equipment operators. These instructions shall
address containment/reaction plans related to all
elements of the process. Evidence shall exist
showing disposition and traceability of affected
product.

2.9

Is the handling, storage and


packaging adequate to
preserve product quality?

The soldering organization loading/unloading


systems, in process handling and shipping process
shall be assessed for risk of part damage or other
quality concerns for proper ESD prevention and
detection (example proper operator ESD protection,
work station and storage grounding). Also all material
storage must meet supplier recommendation
(example humidity, temperature and expiration date).

2.10

Plant cleanliness, housekeeping, environmental, and


working conditions shall be conducive to controlling
Are plant cleanliness,
and improving quality. The soldering organization
housekeeping, environmental shall evaluate such conditions and their effect on
and safe working conditions
quality. A housekeeping policy shall be clearly defined
conducive to control and
and executed. The facility shall be reviewed for the
improved quality?
following items: loose parts on floor; spillage around
tanks; overall plant lighting; fumes, temperature and
humidity controlled per customer expectation.

2.11

Are process control


parameters monitored per
frequencies specified in
Process Tables?

2.12

Are there documented reaction plans to both out of


Are out of control/specification
control and out of tolerance process parameters? Is
parameters reviewed and
there documented evidence that reaction plans are
reacted to?
followed?

2.7

2.8

Process control parameters shall be monitored per


frequencies specified in Process Tables. Computer
monitoring equipment with alarms and alarm logs
satisfy the verification requirement. A designated
floor person shall verify the process parameters, e.g.,
by initialing a strip chart or data log.

2.13

2.14

Are In-Process / Final Test


Frequencies performed as
specified in Process Tables?

Is product test equipment


verified?

In-Process / Final Test Frequencies shall be


performed as specified for critical/function
characteristics identified in Process Tables. Refer to
Process Tables.
Test equipment shall be verified/calibrated per
applicable customer specific standard or per an
applicable consensus standard, e.g., ASTM, SAE,
ISO, NIST, etc. Verification/calibration results shall
be internally reviewed, approved and documented.
Refer to Process Tables for frequency of checks.

2010 Automortive Industry Action Group (AIAG)

rocess Assessment (General Facility Overview)

Cover Page

Index Page

erwise indicated. All rights are preserved by AIAG, and content may not be altered or disseminated, published, or transferred in part of such
company. Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action
service marks of the Automotive Industry Action Group.

Assessment

Objective Evidence

N/A

ent Responsibility and Quality Planning

Satisfactory

Not
Satisfactory

Needs Immediate
Action

and Material Handling Responsibility

Special Process: Soldering Process Assessment (Equ

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by A
transferred in part of such content. The information is not to be sold in part or whole to anyone within your organization or to another company. Copyright
penalties. AIAG and the Automotive Industry Action Group are registered service marks of the Automotive In

Question
Number

Question

Requirements and Guidance

Section 3 - Equipment
3.1

Does each stage of the


soldering operation have
proper process controls?

Refer to Process Tables for


requirements.
A system shall be used by the soldering
facility to track calibration dates of
equipment. This system will typically be
a computerized tracking system or other
notification system. Test equipment
shall be verified/calibrated per applicable
customer specific standard or
consensus standard, e.g., ASTM, SAE,
ISO, NIST, etc. Verification/calibration
results shall be internally reviewed,
approved and documented.

3.2

Are process and testing


equipment calibrations
and/or verification certified,
posted, and current?

3.3

Are PCB magazines, screen


Supplier shall have preventative
printer stencils, solder
maintenance system that is documented
pallets, and other tooling
and implemented.
maintained?

3.4

Supplier shall have adequate


Are thermal profile
temperature controls ensuring that PCB
requirements of soldering
assemblies are only exposed to
operations being monitored? temperatures within the thermal
requirements of components.

3.5

For re-flow ovens and


Supplier shall have preventative
preheating zones for wave
maintenance system that is documented
soldering, are temperature
and implemented.
monitoring devices checked
and/or replaced regularly?

3.6

Do you have a process to


monitor your regulatory
requirements and safety of
your employees?

Supplier shall have implemented and


documented evidence of regulatory
requirements and safety.

3.7

Is manual soldering and/or


re-work equipment
calibrated?

Supplier shall have set-up parameters


and calibration routines documented
and established.

3.8

Is there post soldering


inspection station?

Supplier shall have inspection method to


evaluate solder quality and feedback to
previous process.

3.9

Are ESD or EOS equipment All equipment shall be properly


standards established?
grounded.
2010 Automortive Industry Action

Soldering Process Assessment (Equipment)

Cover Page

Index Page

ction Group unless otherwise indicated. All rights are preserved by AIAG, and content may not be altered or disseminated, published, or
to anyone within your organization or to another company. Copyright infringement is a violation of federal law subject to criminal and civil
ndustry Action Group are registered service marks of the Automotive Industry Action Group.

Assessment

Objective Evidence

Section 3 - Equipment

N/A

Satisfactory

Not Satisfactory

Needs Immediate
Action

Section 4 - Job Audit

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIAG
of such content. The information is not to be sold in part or whole to anyone within your organization or to another company. Copyright infringement is
Automotive Industry Action Group are registered service marks of the Automotive Industr

This section includes final product and final product assembly and packaging
Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Material:
Soldering Requirements:
Question
#

Job Audit Question

Related
SSA Question #

4.1

Are contract review, advance


quality planning, FMEA, control
plans, etc., performed by qualified
individuals?

1.2
1.3
1.4
1.17

4.2

Does the solder organization have


the proper customer
specifications for the part?

1.5

4.3

Does the soldering organization


have a confirmation method to
ensure correct parts and
components are installed per
customer requirements?

1.6
2.1

4.4

Is material identification (part


numbers, lot numbers, contract
numbers, etc.) and process
sequencing (repair, rework, etc.)
traceable to the part throughout
the soldering process?
Is there documented evidence of
a material certification with final
inspection?

2.2
2.3
2.4

Are final packaging requirements


indentified per customer
specifications?
Is the proper procedure or
process specification used for the
soldering process? Refer to
Process Tables for specific
parameters. List parameters that
were verified in this audit in the
spaces provided below.

1.6
2.7
2.9
1.5
1.6
2.1
2.11
2.13

4.5

4.6

4.7

Customer or Internal
Requirement

4.8

What are the product inspection


requirements?

2.13

Functional?
Dimensional?
Acceptability?
4.8.1

Requirement: Functional Test


Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
4.8.2
Requirement: Dimensional
Requirements
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
4.8.3
Requirement: Environmental Test
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
4.8.4
Requirement: Illumination Test
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
4.8.5
Requirement: In-Circuit Test
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
4.8.6
Requirement: Conformal Coating
Conformation
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Note: Section 4.8.7 - 4.8.12 Reserved for Auditor Observations

Each part may have one or more requirements determined by


List each requirement below and validate.

4.8.7

Requirement:
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
4.8.8
Requirement:
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
4.8.9
Requirement:
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
4.8.10 Requirement:
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
4.8.11 Requirement:
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
4.8.12 Requirement:
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Operator or Inspector Responsibilities
4.9

Were appropriate process steps


signed off?

1.4
2.2
2.3
2.11

4.10

Are ESD preventive methods


applied (i.e., operator apparel)
and functionally verified?

2.9

4.11

Were all inspection steps, as


documented in the control plan
performed?

1.2
1.4

4.12

Were steps/operations performed


that were not documented in the
control plan?

1.2
1.4
1.6

4.13

If additional steps were


performed, were they authorized?

1.2
1.4
1.6
1.11
1.17

4.14

If the order was certified, did the


certification accurately reflect the
process performed?

2.11
2.13

4.15

Was the certification signed by an


authorized individual?

1.17

4.16

Are the parts and containers free


of foreign objects or
contamination?
Packaging Requirements

2.6

4.17

Are packaging requirements


identified?
Are parts packaged to minimize
mixed parts (parts packed over
height of container)?
Shipping Requirements

2.9

4.18

4.19
4.20

Were the parts properly


identified?
Were the containers properly
labeled?

2.9

2.3
2.3
2.9

2010 Automortive Industry Action Group (AIAG)

Cover Page

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be altered or disseminated, published, or transferred in part
n or to another company. Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the
registered service marks of the Automotive Industry Action Group.

Job (Shop) Order or Reference


Documentation Requirement

N/A

N/A

Actual Condition (Objective Evidence)

Pass / Fail
/ N/A

one or more requirements determined by the soldering specification. Parts must meet each requirement.
t below and validate.

PROCESS TABLE A - Solder Paste Printing

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AI
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizat
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered ser
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

ITEM #

1.0
1.1

Related
SSA
Question
1.4
2.11
2.12
1.6

1.2

Category/Process Steps

Control

Printed Wiring Board Cleaning (Dry Wipe)


Lint Free Cloth

Per Spec

Replacement Frequency

Per Control Plan

1.3

1.6

Proper Cleaning Area

Per Product Spec

1.4

1.16

Proper Operator Handling

Operator Training

2.0

Material Handling

2.1.1

Paste:
Size,Volume,Container:
Paste Supplier:
Correct Material

Bar Code or Manual

2.1.2

Expiration Date/Lot Control

Bar Code or Manual

2.1.3

Properly Mixed

Manual

2.1.4

Stabilize to Operation Temperature

Bar Code or Manual

Open Container Disposition

Bar Code / Check list


Manual remix /
discard

2.1

2.1.5
2.1.6

2.2-2.9

Excess solder paste run-out management

2.2.1

Printed Wiring Board (PWB)


Board Supplier:
Correct Material

Bar Code or Manual

2.2.2

Expiration Date/Lot Control

Bar Code or Manual

2.2.3

Environmental Control (exposure)

Bar Code or Manual

2.2.4

Contamination Control

Work Instruction

Orientation
Solder Paste Equipment
Type:
Equipment Supplier:
Preventive Maintenance (PM) Cleaning

Automatic or Manual

2.2

2.2.5
3.0
3.0.1

1.4
2.11
2.12
1.18

PM schedule

3.0.2

Stencil separation speed

3.1

3.1.1
3.1.2

3.1.3

1.18
3.3

3.1.4

3.3

3.1.5

Stencil Control
Supplier:
Manufacturing Method:
Thickness:
Correct Stencil
In process Bottom Side Cleaning
Type of Cleaning Method:
Chemical(s) Used:
Frequency:
Preventive Maintenance Cleaning
Type:
Chemical(s) Used:
Frequency:
Confirmation method:
Life Cycle Date
Stencil Alignment Accuracy to Machine

3.2

Automatic

Bar Code or Manual


Automatic or Manual

Automatic or Manual

Bar Code or Manual


Automatic or Manual

PWB Registration to Stencil

3.2.1

Proper Alignment

Automatic

3.2.2

PWB Securing
Squeegee
Type:
Shape:
Hardness:
Material:
Squeegee Material Compatibility with Solder Past

Automatic

3.3.2

Correct Squeegee

Manual

3.3.3

In process (underside wipe) cleaning

Manual or Automatic

3.3.4

Pressure of Squeegee

Manual or Automatic

3.3.5

Angle of Squeegee

Manual or Automatic

3.3.6

Squeegee Speed

Manual or Automatic

3.3.7

Squeegee Stroke

Manual or Automatic

Preventive Maintenance Cleaning/Replace

PM schedule

3.3

3.3.1

3.3.8

1.6

1.18

3.4

Design Spec

Pro Flow Cartridge

3.4.1

Solder Flow Pressure

Automatic

3.4.2

Correct Cartridge (Pb or Pb Free)

Bar Code or Manual

3.4.3

Angle of Cartridge

Manual or Automatic

3.4.4

Cartridge Speed

Manual or Automatic

3.4.5

Cartridge Stroke

Manual or Automatic

Preventive Maintenance Cleaning

PM schedule

3.4.6
4.0
4.1

1.18
1.4
2.11
2.12

Post Print Inspection


Method

Manual or Automatic

4.2

Frequency

Manual

4.3

Reaction of Defects

Per Process Controls

4.4

1.6

Proper solder paste height

Per Product Spec

4.5

1.6

Proper solder pad coverage

Per Product Spec

5.0

1.4
2.11
2.12

5.1

2.8

Power failure reaction plan

Control plan

5.2

2.8

Emergency-stop reaction plan

Control plan

5.3

2.8

Part jam reaction plan

Control plan

5.4

2.8

Drop part reaction plan

Control plan

5.5

2.8

In-Process Delay Reaction Plan

5.6

1.11

Repair/rework procedures

Control plan
Based on IPC-7711,
7721

Abnormal Condition Reaction

2010 Automortive Industry Action Group (AIAG)

Cover Page

Printing

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


ts.

Monitoring

Continuous
Quality Audit
Quality Audit
Operator Certification

Continuous
Continuous
Continuous
Continuous
Continuous
Per Control Plan

Lot (first and last piece)


Lot (first and last piece)
Lot
Every Piece
Every Piece

PM Completion Report

Auditor Notes

Continuous

Every Change Over


Per Control Plan

Per Control Plan

Continuous
Start up or Change Over
Continuous
Continuous

Design Review
1/shift or Change Over
Per Control Plan
1/shift or Change Over
1/shift or Change Over
1/shift or Change Over
1/shift or Change Over
PM Completion Report
1/shift or Change Over
1/shift or Change Over
1/shift or Change Over
1/shift or Change Over
1/shift or Change Over
PM Completion Report

Per Control Plan

Per Control Plan


Per Control Plan
Per Control Plan
Per Control Plan

Continuous
Continuous
Continuous
Continuous
Continuous
Continuous

PROCESS TABLE B - Inspection

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizati
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered serv
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

ITEM #

1.0
1.1
1.1.1

Related
SSA
Category/Process Steps
Question
1.4
2.11
Post Print Inspection
2.12
Manual
1.15, 1.16 Proper Operator training

Control

Operator Certification

1.1.2

Boundary Sample Available

Good and Bad

1.1.3

Proper Magnification for pitch size

Per IPC A 610

1.1.4

Proper illumination at inspection station

Per IES

Frequency of sampling

Per Customer
Requirement

1.1.5

2.11
2.13

1.2

Automatic

1.2.1

1.7

CPK

Per Customer
Requirement

1.2.2

1.7

Boundary Sample Available

Good and Bad sample


run at change-over
and beginning of shift

1.2.3
1.2.4
2.0

Calibration or verification method set


1.14
2.4
1.4
2.11
2.12

2.1

Non-conforming material disposition

Per control plan


Per Customer
Requirement

Post Component Placement


Automatic Vision System:

2.1.1

Calibration Standard Available

Per manufacture
recommendation

2.1.2

Part Present

Yes/No

2.1.3

1.6

Orientation

Per Specification

2.1.4

1.6

Polarity

Per Specification

2.1.5

1.6

Skew Angle

Per Specification

2.1.6

1.6

Off-centered

Per Specification

2.1.7

1.6

2.2
2.2.1

Raised

Per Specification

Manual Inspection:
1.15, 1.16 Proper Operator training

Operator Certification

2.2.2

Boundary Sample (e.g., orientation, polarity, skew


angle, off-centered, raised, and part present)

Good and Bad

2.2.3

Proper Magnification for pitch size

Per IPC A 610

2.2.4

Proper illumination at inspection station

Per IES (Illumination


Engineering Standard)

2.2.5

Frequency of sampling

Per control plan

Proper ESD protection (work surface and operator)

Per ANSI S20.20

Non-conforming material disposition

Per control plan

2.2.6
2.3

3.0

3.9
1.14
2.4
1.4
2.11
2.12
3.8

3.1

Post Reflow Inspection


Automatic Optical Inspection (AOI)

3.1.1

1.6

Solder volumes

Per Specification

3.1.2

1.6

Solder ball

Per Specification

3.1.3

1.6

Solder bridge

Per Specification

3.1.4

1.6

Solder skip

Per Specification

3.1.5

1.6

Part present

Per Specification

3.1.6

1.6

Component accuracy to solder pads

Per Specification

3.1.7

1.6

Tombstoning

Per Specification

3.1.8

1.6

Billboarding

Per Specification

3.1.9

1.6

Lifted part

Per Specification

3.1.10

1.6

Good/Bad Samples Used

Per Specification

3.2

X-ray (Recommended for BGA/Flip chip)

3.2.1

1.6

Solder volumes

Per Specification

3.2.2

1.6

Solder ball

Per Specification

3.2.3

1.6

Solder bridge

Per Specification

3.2.4

1.6

Solder skip

Per Specification

3.2.5

1.6

Part present

Per Specification

3.2.6

1.6

Component accuracy to solder pads

Per Specification

3.2.7

1.6

Tombstoning

Per Specification

3.2.8

1.6

Billboarding

Per Specification

3.2.9

1.6

Lifted part

Per Specification

3.2.10

1.6

Void detection

Per Specification

3.2.11

1.6

Good/Bad Samples Used

Per Specification

3.3

Manual Inspection

3.3.1

1.6

Solder volumes

Per Specification

3.3.2

1.6

Solder ball

Per Specification

3.3.3

1.6

Solder bridge

Per Specification

3.3.4

1.6

Solder skip

Per Specification

3.3.5

1.6

Part present

Per Specification

3.3.6

1.6

Component accuracy to solder pads

Per Specification

3.3.7

1.6

Tombstoning

Per Specification

3.3.8

1.6

Billboarding

Per Specification

3.3.9

1.6

Lifted part

Per Specification

3.3.10

1.6

Void detection

Per Specification

3.3.11

1.15, 1.16 Proper Operator training

Operator Certification

3.3.12

Boundary Sample (e.g., orientation, polarity, skew


angle, off-centered, raised, and part present)

Good and Bad

3.3.13

Proper Magnification for pitch size

Per IPC A 610

3.3.14

Proper illumination at inspection station

Per IES (Illumination


Engineering Standard)

Frequency of sampling

Per control plan

3.3.15

2.11
2.13

3.3.16

3.9

Proper ESD protection (work surface and operator)

Per ANSI S20.20

3.3.17

1.6

Blow hole detection

Per Specification

3.3.18

1.6
1.14
2.4
1.4
2.11
2.12
3.8

Confirmation of jig removal

Per Specification

Non-conforming material disposition

Per control plan

3.4

4.0
4.1

Post Wave/Selective Solder Inspection


Automatic Optical Inspection (AOI)

4.1.1

1.6

Solder volumes

Per Specification

4.1.2

1.6

Solder ball

Per Specification

4.1.3

1.6

Solder bridge

Per Specification

4.1.4

1.6

Solder skip

Per Specification

4.1.5

1.6

Part present

Per Specification

4.1.6

1.6

Component accuracy to solder pads

Per Specification

4.1.7

1.6

Tombstoning

Per Specification

4.1.8

1.6

Billboarding

Per Specification

4.1.9

1.6

SMT Glue on pad

Per Specification

4.1.10

1.6

Lifted part

Per Specification

4.1.11

1.6

Excess Flux/flux residue

Per Specification

4.1.12

1.6

Proper polarity

Per Specification

4.1.13

1.6

Icicling

Per Specification

4.1.14

1.6

Good/Bad Samples Used

Per Specification

4.2

X-ray

4.2.1

1.6

Solder volumes

Per Specification

4.2.2

1.6

Solder ball

Per Specification

4.2.3

1.6

Solder bridge

Per Specification

4.2.4

1.6

Solder skip

Per Specification

4.2.5

1.6

Part present

Per Specification

4.2.6

1.6

Component accuracy to solder pads

Per Specification

4.2.7

1.6

Tombstoning

Per Specification

4.2.8

1.6

Billboarding

Per Specification

4.2.9

1.6

Lifted part

Per Specification

4.2.10

1.6

Void detection

Per Specification

4.2.11

1.6

Icicling

Per Specification

4.2.12

1.6

Good/Bad Samples Used

Per Specification

4.3

Manual Inspection

4.3.1

1.6

Solder volumes

Per Specification

4.3.2

1.6

Solder ball

Per Specification

4.3.3

1.6

Solder bridge

Per Specification

4.3.4

1.6

Solder skip

Per Specification

4.3.5

1.6

Part present

Per Specification

4.3.6

1.6

Component accuracy to solder pads

Per Specification

4.3.7

1.6

Tombstoning

Per Specification

4.3.8

1.6

Billboarding

Per Specification

4.3.9

1.6

Lifted part

Per Specification

4.3.10

1.6

Void detection

Per Specification

4.3.11

1.16

Proper Operator training

Operator Certification

4.3.12

Boundary Sample (e.g., orientation, polarity, skew


angle, off-centered, raised, and part present) as
needed.

Good and Bad

4.3.13

Proper Magnification for pitch size

Per IPC A 610 or


organizations internal
requirements

Proper illumination at inspection station

Per IES (Illumination


Engineering Standard)
or organizations
internal requirements

Frequency of sampling

Per control plan

4.3.14

4.3.15

2.13

4.3.16

3.9

4.3.17

Proper ESD protection (work surface and operator)

Per ANSI S20.20

Blow hole detection

4.3.18

1.6

Icicling

Per Specification

4.3.19

1.6

Excess Flux/flux residue

Per Specification

4.3.20

1.6

SMT Glue on pad

Per Specification

4.3.21

1.6

Confirmation of jig removal

Per Specification

4.3.22

1.6

No foreign material

Per Specification

4.3.23

1.6

Trace delamination

Per Specification

4.3.24

1.6
1.14
2.4

Solder mask degradation

Per Specification

Non-conforming material deposition

Per control plan

4.4

2010 Automortive Industry Action Group (AIAG)

Cover Page

on

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
d in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


nts.

Monitoring

Annual Certification
Calibration Certification
Annual Certification
Set-up
Check-sheet

Continuous

Calibration Certification
Calibration Certification
Continuous

Calibration Certification
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan

Auditor Notes

Per Control Plan


Annual Certification
Calibration Certification
Annual Certification
Set-up
Check-sheet
Continuous
Continuous

Per Control Plan


Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan

Per Control Plan


Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Annual Certification
Calibration Certification
Annual Certification
Set-up

Check-sheet
Continuous
Per Control Plan
Per Control Plan
Continuous

Per Control Plan


Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan

Per Control Plan


Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Annual Certification
Calibration Certification

Annual Certification

Set-up

Check-sheet

Continuous

Per Control Plan


Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Continuous

PROCESS TABLE C - Surface Mount Device Placement

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizati
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered serv
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

ITEM #

1.0
1.1
1.1.1
1.1.2

Related
SSA
Category/Process Steps
Question
1.4
2.11
Cassette/Feeder Loading
2.12
Manual Control
1.15, 1.16 Correct loading
3.9

Control

Operator Training

ESD Control

Per ANSI S20.20

1.1.3

Correct Part per Feeder Location

Set-up Sheet

1.1.4

Operator/Traceability Control
Component supply management (part shortage
prevention)

Check Sheet

1.1.5
1.1.6

1.6
2.10

1.2
1.2.1
1.2.2

Humidity (MSD) Control

Check Sheet
Per Manufacturer
Spec

Automatic Control
1.15, 1.16 Correct loading
ESD Control

Per ANSI S20.20

1.2.3

Correct Part per Feeder Location

Bar Code and BOM

1.2.4

Operator/Traceability Control

1.2.5

Component supply management (part shortage


prevention)

Bar Code Scan


Machine
Programming
(Placement Count)

1.2.6
2.0
2.1

3.9

Operator Training

1.6
Humidity (MSD) Control
2.10
1.4
2.11
Splicing
2.12
1.15, 1.16 Correct Splicing

Per control plan

Operator Training

2.2

3.9

ESD Control

Per ANSI S20.20

2.3

1.6

Correct Orientation

Per Machine Spec

Traceability Control

Check Sheet/Bar
Code

2.4

2.5

1.6
2.10

2.6

1.6

2.7
3.0

1.4
2.11
2.12

3.1
3.1.1

Humidity Control

Per control plan

Correct Tape

Per Spec

Correct Splice

Operator Training

Placement Nozzles
Manual Operation

1.15, 1.16 Correct nozzle selection

Operator Training

3.1.2

Vacuum testing

Per check sheet

3.1.3

Correct placement stroke & force

Per set up sheet

3.1.4

Trigger for First Pass Yield (FPY) Maintenance

Per control plan

3.2
3.2.1

Automatic Operation
1.15, 1.16 Correct magazine carrousel loading

Operator Training

3.2.2

Correct placement program

Per control plan

3.2.3

Initial nozzle vacuum confirmation

Per program

3.2.4

Trigger for FPY Maintenance

Per control plan

4.0
4.1
4.2
4.3

1.4
2.11
Vision System
2.12
1.15, 1.16 Proper set up
Proper inspection criteria (placement accuracy,
polarity, rotation/skewing)
1.6
Proper focusing

Operator Training
Per control plan
Per product spec

4.4

Proper illumination

Per requirement

4.5

Correct operation

Per golden sample

Calibration

Per NIST

4.6
5.0

1.4
2.11
2.12

Bottom Side Placement

5.1

Must adhered to Items 1.0 - 4.6 above

5.2

Board flex (if top side soldered)

Per IPC-A-610

6.0

1.4
2.11
2.12

6.1

2.8

Power failure reaction plan

Control plan

6.2

2.8

Emergency-stop reaction plan

Control plan

6.3

2.8

Part jam reaction plan

Control plan

6.4

2.8

Drop part reaction plan

Control plan

6.5

2.8

In Process Delay Reaction Plan

Control plan

6.6

1.11

Repair/rework procedures

Based on IPC-7711,
7721

Abnormal Condition Reaction

2010 Automortive Industry Action Group (AIAG)

ce Placement

Cover Page

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
d in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


nts.

Monitoring

Per Training Plan


Continuous
Supervisor Audit
100%
Per Control Plan
Per Control Plan

Per Training Plan


Continuous
100%
100%
Continuous
Continuous

Per Training Plan


Continuous
100%
100%

Auditor Notes

Continuous
100%
Per Training Plan

Per Training Plan


Per change over
Per change over
100%
Per Training Plan
Per change over
100%
100%

Per training plan


100%
100%
100%
Per Control Plan
Per Control Plan

Process Set-up

Continuous
Continuous
Continuous
Continuous
Continuous
Continuous

PROCESS TABLE D - Reflow Soldering Process

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizati
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered serv
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

ITEM #

1.0
1.1

Related
SSA
Category/Process Steps
Question
1.4
2.11
Reflow ovens
2.12
3.4
Temperature controller

Control

Automatic

1.1.1

3.4

Lead Solder

Correct Profile

1.1.2

3.4

Lead Free Solder

Correct Profile

1.2

1.18

Heating element

Proper PM

Atmosphere control

Automatic

1.3.1

Ventilation

Automatic

1.3.2

Nitrogen supply system (if used)

Automatic

1.3.3

Oxygen monitoring system (if used)

Automatic

1.4

Conveyer width control

Per set-up

1.5

Conveyer speed control

Automatic per Control


Plan

1.6

Conveyer infeed cover

In place

1.3

1.7

3.5

M.O.L.E. / Surveyor

1.7.1

3.5

Thermal couple board placement

Based on board layout

1.7.2

3.5
3.4
3.5
3.4
3.5
3.9

K.I.C. system (if used)

Automatic

Profile confirmation verification

Per control plan

Process Window (PWI)/Capability Index

Per control plan

ESD Control

Per ANSI S20.20

Lead/Lead free changeovers

Proper oven cleaning

1.7.3
1.7.4
1.8
1.9
2.0
2.1

1.4
2.11
2.12

Loading
Correct Orientation

Automatic/operator
training

2.2

1.15, 1.16 Stiffeners (if used) correct placement

2.3
2.4

Correct Spacing

Operator Training
Automatic/operator
training
Operator Training

3.1

1.15, 1.16 Proper placement in pallet (if used)


1.4
2.11
Unloading
2.12
3.9
ESD Control

3.2

1.15, 1.16 Proper Handling

Operator Training

3.0

3.3

Per ANSI S20.20

Cooling/Ion Blowers

3.3.1

Filters presence

Per control plan

3.3.2

Proper location on conveyor

Per spec/set-up

3.3.3

Blower/ionizer power-on indicator

Per control plan

Magazines / Unloading racks


Correct Type for product (Pb/Pb free)

Per control plan

3.4.2

Correct width and height for product

Per control plan

3.4.3

Correct loading sequence for contamination control


(top down)

Per control plan

3.4.4

Covered for transportation and storage

Per control plan

3.4
3.4.1

3.5

4.0
4.1
4.2
5.0

3.3

1.14
1.4
2.11
2.12
1.6
1.6
1.4
2.11
2.12

5.1

Rejected / inspected part returned to production line


Written policy
and inserted at the removal point.
Component Compatibility
Components compatible with temperature profile

Component Spec

Components compatible with solder

Component Spec

Board Twist Control

Maximum diagonal twist meets standard

Per IPC-TM-650,
Section 2.4.22

6.0

1.4
2.11
2.12

6.1

2.8

Power failure reaction plan

Control plan

6.2

2.8

Emergency-stop reaction plan

Control plan

6.3

2.8

Part jam reaction plan

Control plan

6.4

2.8

Drop part reaction plan

Control plan

6.5

2.8

In Process Delay Reaction Plan

6.6

1.11

Repair/rework procedures

Control plan
Based on IPC-7711,
7721

Abnormal Condition Reaction

2010 Automortive Industry Action Group (AIAG)

Cover Page

g Process

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
d in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


nts.

Monitoring

Continuous
Continuous
Continuous
PM Completion Report
Continuous
Continuous
Continuous
Continuous
Per control plan
Continuous
Continuous

Per control plan


Continuous
Per control plan
Per control plan
Continuous
Per control
plan/changeover

Continuous

Auditor Notes

Continuous
Continuous
Continuous

Continuous
Continuous
Per Preventative
Maintenance
Daily Check Sheet
Daily Check Sheet
Continuous
Continuous
Continuous
Continuous
Control Plan

Design Review
Design Review

Changeover/profile
modification

Continuous
Continuous
Continuous
Continuous
Continuous
Continuous

PROCESS TABLE E - Glue Dispensing

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizati
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered serv
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

ITEM #

1.0

Related
SSA
Category/Process Steps
Question
Glue:
1.4
2.11
Supplier:
2.12
Size, Volume, Container:

Control

1.1

Correct Material

Bar Code or Manual

1.2

Expiration Date/Lot Control

Bar Code or Manual

1.3

Properly Mixed

Manual

1.4

Stabilize to Operation Temperature

Bar Code or Manual

1.5

Open Container Disposition

Control plan

2.0

1.4
2.11
2.12

2.1

Glue Dispensing Equipment


Pin Transfer:

2.1.1

PWB Registration to Equipment

Automatic

2.1.2

PWB Securing

Automatic

Preventive Maintenance

PM schedule

Stabilization and control of glue reservoir

Automatic/Manual

2.1.3

1.18

2.1.4

Screen Printing:
Stencil Supplier:

2.2
2.2.1

PWB Registration to Equipment

Automatic

2.2.2

PWB Securing

Automatic

Correct Stencil

Bar Code or Manual

2.2.3

3.3

In-process Bottom Side Cleaning:


Chemical(s) Used:

2.3
2.3.1

Type of Cleaning Method

Automatic or Manual

2.3.2

Automatic or Manual

2.5

Frequency
Preventive Maintenance Cleaning
Chemical(s) Used:
Methods Used:
Life Cycle Date

2.6

Stencil Alignment Accuracy to Machine

Automatic or Manual

2.4

1.18

PM schedule
Bar Code or Manual

2.7

Syringe:

2.7.1

PWB Registration to Equipment

Automatic

2.7.2

PWB Securing

Automatic
PM schedule

2.7.3

1.18

Preventive Maintenance Cleaning


Chemical(s) Used:
Method Used:

3.0

1.4
2.11
2.12

Glue Curing Process


Equipment type:

3.1

3.4

Correct Thermal Profile

Automatic or Manual

3.2

Conveyer Speed

Per Control Plan

3.3

Rail Width

Per Control Plan

4.0

1.4
2.11
2.12

Post Glue Inspection

4.1

Glue Volume

Per Control Plan

4.2

Glue Placement

Per Control Plan

4.3

Verify Curing is Complete

Per Control Plan

4.4

Glue Contamination on Component Pad

Per Control Plan

5.0

1.4
2.11
2.12

5.1

2.8

Power failure reaction plan

Control plan

5.2

2.8

Emergency-stop reaction plan

Control plan

5.3

2.8

Part jam reaction plan

Control plan

5.4

2.8

Drop part reaction plan

Control plan

5.5

2.8

In Process Delay Reaction Plan

5.6

1.11

Repair/rework procedures

Control plan
Based on IPC-7711,
7721

Abnormal Condition Reaction

2010 Automortive Industry Action Group (AIAG)

Cover Page

nsing

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
d in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


nts.

Monitoring

Every Container
Every Container
Every Container
Every Container
Continuous

Every Piece
Every Piece
PM Completion Report
Continuous

Every Piece
Every Piece
Every Change Over

Cycle
Per Control Plan
PM Completion Report
Continuous
Start up or Change Over

Auditor Notes

Every Piece
Every Piece
PM Completion Report

1/shift or Change Over


Start up or Change Over
Start up or Change Over

Per Product Spec.


Per Product Spec.
Per Product Spec.
Per Product Spec.

Continuous
Continuous
Continuous
Continuous
Continuous
Continuous

PROCESS TABLE F Flux Application for Wave Soldering Process

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by A
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organiza
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered se
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
shall verify Soldering Organization is conforming to customer requirements.

ITEM #

Related
SSA
Question

1.0

1.4
2.11
2.12

1.1

Category/Process Steps

Control

Integrated Equipment

Bubble/Foam

1.1.1

Flux coverage area

Sample Board

1.1.2

Exclusion zones

Sample Board

1.1.3

Uniformity

Sample Board

1.1.4

Via hole penetration

Actual Board

1.1.5

Density of Flux/Viscosity

Flux density
meter/Zahn Cup

1.1.6

Air Knife
Location:
Gap:
Air Pressure:

Set-up Sheet

1.1.7

1.18

1.2

Bubbler/Air Stone PM

PM schedule

Spray

1.2.1

Flux coverage area

Sample Board or
Glass Plate

1.2.2

Exclusion zones

Sample Board or
Glass Plate

1.2.3

Uniformity

Sample Board or
Glass Plate

1.2.4

Via hole penetration

Actual Bare Board

Preventive Maintenance Cleaning


Chemical(s) Used:
Method Used:

PM schedule

Prevention of air introduction into flux lines during


supply change/addiition of flux

Automatic

1.2.5

1.18

1.2.6

2.0

2.1

1.4
2.11
2.12

Stand Alone Equipment

Bubble/Foam

2.1.1

Flux coverage area

Sample Board

2.1.2

Exclusion zones

Sample Board

2.1.3

Uniformity

Sample Board

2.1.4

Via hole penetration

Actual Board

2.1.5

Density of Flux/Viscosity

Flux density
meter/Zahn Cup

2.1.6

Air Knife
Location:
Gap:
Air Pressure:

Set-up Sheet

Bubbler/Air Stone PM

PM schedule

Spray

Correct Profile

2.2.1

Flux coverage area

Sample Board

2.2.2

Exclusion zones

Sample Board

2.2.3

Uniformity

Sample Board

2.2.4

Via hole penetration

Actual Board

2.1.7

1.18

2.2

2.3

2.4

Rejected / inspected part returned to production line


Written policy
and inserted at the removal point.

2.4

1.18

Preventive Maintenance Cleaning


Chemical(s) Used:
Method Used:

3.0

1.4
2.11
2.12

Manual Flux Application

3.1

Brush

PM schedule

3.1.1

Flux coverage area

Sample Board

3.1.2

Exclusion zones

Sample Board

3.1.3

Uniformity

Sample Board

3.1.4

Via hole penetration

Actual Board

3.1.5

Brush Replacement Frequency

Control Plan

3.2

Dip

3.2.1

Flux coverage area

Sample Part

3.2.2

Exclusion zones

Sample Part

3.2.3

Uniformity

Sample Part

3.2.4

Via hole penetration

Sample Part

3.2.5

Flux tank volume level control

Automatic / Manual

3.3

3.3.1

Sponge

Flux coverage area

Sample Board

3.3.2

Exclusion zones

Sample Board

3.3.3

Uniformity

Sample Board

3.3.4

Via hole penetration

Actual Board

3.3.5

Sponge Replacement Frequency

Control Plan

4.0

1.4
2.11
2.12

4.1

4.2

Correct Orientation

1.15, 1.16 Stiffeners (if used) correct placement

4.3

4.4

4.5

4.6

Loading (Integrated/Stand alone)

Correct Spacing

1.15, 1.16 Proper placement in pallet (if used)

3.9

ESD Control

1.15, 1.16 Proper Handling

4.7

1.18

Equipment Cleanliness

5.0

1.4
2.11
2.12

Unloading (Stand alone)

Automatic/operator
training

Operator Training

Automatic/operator
training

Operator Training

Per ANSI S20.20

Operator Training

PM schedule

5.1

1.6

Proper location on conveyor

Per spec/set-up

5.2

1.6

Conveyor width set properly

Per spec/set-up

5.3

1.6

Conveyors covered

Per spec/set-up

6.0

1.4
2.11
2.12

6.1

1.6

Component Compatibility

Flux Type correct for solder in use

Component Spec

6.2

Flux Type matches Bill of Material (BOM)

BOM

6.3

Proper flux storage condition/environment

Manufacturer
Specification

6.4

Proper flux for specified solder

Control Plan

7.0

1.4
2.11
2.12

7.1

2.8

Power failure reaction plan

Control plan

7.2

2.8

Emergency-stop reaction plan

Control plan

7.3

2.8

Part jam reaction plan

Control plan

7.4

2.8

Drop part reaction plan

Control plan

Abnormal Condition Reaction

7.5

2.8

In-Process Delay Reaction Plan

Control plan

7.6

1.11

Repair/rework procedures

Based on IPC-7711,
7721

8.0

1.4
2.11
2.12

Manual Flux Application Handling

8.1

3.9

8.2

ESD Control

1.15, 1.16 Proper Handling

2010 Automortive Industry Action Group (AIAG)

Per ANSI S20.20

Operator Training

Cover Page

Index Page

g Process

otherwise indicated. All rights are preserved by AIAG, and content may not be
ld in part or whole to anyone within your organization or to another company.
utomotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the auditor

Monitoring

Once per shift/change over

Once per shift/change over

Once per shift/change over

Once per shift/change over

Once per shift/change over

Once per shift/change over

Auditor Notes

PM Completion Report

Once per shift/change over

Once per shift/change over

Once per shift/change over


For process initial set-up or
process troubleshooting
only
PM Completion Report

Continous

Once per shift/change over

Once per shift/change over

Once per shift/change over

Once per shift/change over

Once per shift/change over

Once per shift/change over

PM Completion Report

Continuous

Once per shift/change over

Once per shift/change over

Once per shift/change over

Once per shift/change over

Control Plan

PM Completion Report

Once per shift/change over

Once per shift/change over

Once per shift/change over

Once per shift/change over

Per Control Plan

Once per shift/change over

Once per shift/change over

Once per shift/change over

Once per shift/change over

Continuous / Check sheet

Once per shift/change over

Once per shift/change over

Once per shift/change over

Once per shift/change over

Per Control Plan

100%

100%

100%

100%

Continous

100%

PM Completion Report

Daily Check Sheet

Daily Check Sheet

Daily Check Sheet

Design Review

Daily Check Sheet

Supervisior review

Per
changeover/replenishment

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

PROCESS TABLE G - Pre-Heat for Soldering Process

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AI
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizat
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered ser
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

ITEM #

1.0
1.1

Related
SSA
Category/Process Steps
Question
1.4
2.11
Pre-Heat Equipment
2.12
3.4
Temperature controller

Control

Automatic

1.1.1

3.4

Lead Solder

Correct Profile

1.1.2

3.4

Lead Free Solder

Correct Profile

1.2

1.18

Zone Heating element

Proper PM

Atmosphere control

Automatic

1.3.1

Ventilation

Automatic

1.3.2

Nitrogen supply system (if used)

Automatic

1.3.3

Oxygen monitoring system (if used)

Automatic

1.3

1.4

Conveyer

1.4.1

Conveyer width control

Per set-up

1.4.2

Conveyer speed control

Automatic

1.4.3

Conveyer Finger Cleaner

Per control plan

1.5

Temperature Profile Verification

1.5.1

3.5

M.O.L.E. / Surveyor

Per control plan

1.5.2

3.5

Thermal couple board placement

Based on board layout

1.6

3.9
1.4
2.11
2.12
3.9

ESD Control

Per ANSI S20.20

2.0
2.1
2.2
2.3
2.4
2.5

Loading
ESD Control
Correct Orientation

1.15, 1.16 Stiffeners (if used) correct placement


Correct Spacing between Boards
1.15, 1.16 Proper board placement in pallet (if used)

Per ANSI S20.20


Automatic/operator
training
Operator Training
Automatic/operator
training
Operator Training

2.6
3.0
3.1
3.2

Conveyer infeed cover (if required)


1.4
2.11
2.12
3.9

4.0
4.1

Transferring
ESD Control

1.15, 1.16 Proper Handling

3.3

Conveyer cover (if required)


1.4
2.11
2.12
1.6

In place

Per ANSI S20.20


Operator Training
In place

Component Compatibility
Components compatible with temperature profile

Component Spec

5.0

1.4
2.11
2.12

5.1

2.8

Power failure reaction plan

Control plan

5.2

2.8

Emergency-stop reaction plan

Control plan

5.3

2.8

Part jam reaction plan

Control plan

5.4

2.8

Drop part reaction plan

Control plan

5.5

2.8

In Process Delay Reaction Plan

5.6

1.11

Repair/rework procedures

Control plan
Based on IPC-7711,
7721

Abnormal Condition Reaction

2010 Automortive Industry Action Group (AIAG)

ring Process

Cover Page

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


ts.

Monitoring

Continuous
Continuous
Continuous
PM Completion Report
Continuous
Continuous
Continuous
Continuous
Per control plan
Continuous
Continuous
Per control plan
Per control plan
Continuous

Continuous
100%
100%
100%
100%

Auditor Notes

100%

Continuous
Continuous
Continuous

Design Review

Continuous
Continuous
Continuous
Continuous
Continuous
Continuous

PROCESS TABLE H - Wave Soldering Process

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizati
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered serv
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

ITEM #

1.0
1.1

Related
SSA
Category/Process Steps
Question
1.4
2.11
Equipment
2.12
Flux Application - See Process Table F

1.2

Pre-heat Process - See Process Table G

1.3

Wave Solder Machine

1.3.1

Solder Pot Temperature controller

1.3.2

Lead Solder

1.3.3

Lead Free Solder

Control

Pot Heating element

Automatic
Correct Temperature
Profile
Correct Temperature
Profile
Proper PM

Atmosphere control

Automatic

1.3.5.1

Ventilation

Automatic

1.3.5.2

Nitrogen supply system (if used)

Automatic

1.3.5.3

Oxygen monitoring system (if used)

Automatic

1.3.6

Conveyer width control

1.3.7

Conveyer speed control

1.3.8

Conveyer in-feed cover

Per set-up
Automatic per Control
Plan
In place

1.3.9

Conveyer Finger Cleaner

Per control plan

1.3.4
1.3.5

1.4

1.18

Temperature Profile Verification

1.4.1

M.O.L.E. / Surveyor

Per control plan

1.4.2

Thermal couple board placement

Based on board layout

1.5

Wave Height Control

1.5.1

Solder pump RPM

Per control plan

1.5.2

Wave Vibrational Control (if used)


Solder Pump Wave Control (Pump off if no product
present)
Solder pot level control

Per control plan

1.5.3
1.5.4

Product sensor / timer


Automatic

1.6

3.9

1.7
1.8

Lead/Lead free changeovers


1.6

1.9
2.0
2.1

3.0
3.1
3.2

Correct Spacing between Boards


1.15, 1.16 Proper board placement in pallet (if used)
Conveyer cover (if required)
1.4
2.11
2.12
3.9

Per control plan

Per ANSI S20.20


Automatic/operator
training
Operator Training
Automatic/operator
training
Operator Training
In place

Unloading
ESD Control

1.15, 1.16 Proper Handling

3.3

Per ANSI S20.20


Operator Training

Cooling/Ion Blowers

3.3.1
3.3.2

ESD Control

1.15, 1.16 Stiffeners (if used) correct placement

2.6

Per ANSI S20.20


Proper equipment
cleaning
Per equipment
specification

Loading

Correct Orientation

2.4
2.5

Equipment lead-free compatible


Dross Removal Frequency

1.4
2.11
2.12
3.9

2.2
2.3

ESD Control

1.6

3.3.3
3.4

Filters presence

Per control plan

Proper location on conveyor

Per spec/set-up

Blower Operation indicator

Per control plan

Magazines / Unloading racks

3.4.1

Correct Type for product (Pb/Pb free)

Per control plan

3.4.2

Correct width and height for product

Per control plan

3.4.3

Correct loading sequence (top down)

Per control plan

3.4.4

Covered for transportation and storage

Per control plan

Pallet Cleaning

Per control plan

3.5

4.1

1.4
2.11
2.12
1.6

4.2
4.3

4.0

Components compatible with solder temperature

Component Spec

1.6

Components surface finish compatible with solder

Component Spec

1.6

Solder Pot Elemental Analysis

Product specification

Prevention of Pb/Pb-free solder bar mix

Proper error-proofing

4.4
5.0

Component Compatibility

1.4
2.11
2.12

Board Twist Control

5.1

Maximum diagonal twist meets standard

Per IPC-TM-650,
Section 2.4.22, or per
customer requirement

6.0

1.4
2.11
2.12

6.1

2.8

Power failure reaction plan

Control plan

6.2

2.8

Emergency-stop reaction plan

Control plan

6.3

2.8

Part jam reaction plan

Control plan

6.4

2.8

Drop part reaction plan

Control plan

6.5

2.8

In Process Delay Reaction Plan

6.6

1.11

Repair/rework procedures

Control plan
Based on IPC-7711,
7721

Abnormal Condition Reaction

2010 Automortive Industry Action Group (AIAG)

Cover Page

g Process

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
d in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


nts.

Monitoring

Continuous
Continuous
Continuous
PM Completion Report
Continuous
Continuous
Continuous
Continuous
Per control plan
Continuous
Continuous
Continuous
Per control plan
Per control plan
Continuous
Continuous
Continuous
Continuous

Auditor Notes

Continuous
Per control
plan/changeover
Design Review
Check sheet

Continuous
100%
100%
100%
100%
100%

Continuous
Continuous
Per Preventative
Maintenance
Daily Check Sheet
Daily Check Sheet
Continuous
Continuous
Continuous
Continuous
Per Control Plan

Design Review
Design Review
Pb-free; Quarterly Lab
Results, Pb; annual lab
results
100%

Changeover/profile
modification

Continuous
Continuous
Continuous
Continuous
Continuous
Continuous

PROCESS TABLE I - Fountain Soldering Process

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizati
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered serv
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

1.1

Related
SSA
Category/Process Steps
Question
1.4
2.11
Equipment
2.12
Flux Application See Process Table F

1.2

Pre-heat Process See Process Table G

1.3

Selective Soldering Machine

ITEM #

1.0

1.3.1

Solder Pot Temperature controller

Control

Automatic

1.3.2

Tin-Lead Solder

Correct Temperature

1.3.3

Lead Free Solder

Correct Temperature

1.3.4

1.18

1.3.5

Pot Heating element

Proper PM

Atmosphere control

1.3.5.1

Ventilation

Automatic

1.3.5.2

Nitrogen supply system (if used)

Automatic

1.3.5.3

Oxygen monitoring system (if used)

Automatic

1.3.6

Conveyer width control

1.3.8

Conveyer infeed cover

Per set-up
Automatic per Control
Plan
Automatic per Control
Plan
In place

1.3.7

Conveyer index speed control

1.3.9

Conveyer Finger Cleaner

Per control plan

Conveyer Vertical Index Distance (if movable)

Per machine spec

Conveyer Dwell Time

1.6
1.4

Temperature Profile Verification

1.4.1

M.O.L.E. / Surveyor

Per control plan

1.4.2

Thermal couple board placement

Based on board layout

1.5
1.5.1

Fountain Height Control


1.6

1.5.2
1.5.3

1.18

Nozzle Vertical Index Distance (if movable)

Per machine spec

Solder pump RPM

Per control plan

Nozzle cleanliness

Proper PM

1.5.4
1.6

3.9

1.7
1.8

Solder pot level control

Automatic

ESD Control

Per ANSI S20.20


Proper equipment
cleaning
Per equipment
specification

Lead/Lead free changeovers


1.6

Equipment lead-free compatible

1.9

Dross Removal Frequency from Solder Pot

Per control plan

1.10

Dross Removal Frequency from Nozzle area

Per control plan

2.0
2.1

1.4
2.11
2.12
3.9

Transferring
ESD Control

Per ANSI S20.20

2.2

1.15, 1.16 Stiffeners (if used) correct placement

Operator Training

2.3

1.15, 1.16 Correct Spacing between Boards

Automatic/operator
training

2.4

1.15, 1.16 Proper board placement in pallet (if used)

Operator Training

2.5
3.0
3.1
3.2

Conveyer cover (if required)


1.4
2.11
2.12
3.9

ESD Control

Per ANSI S20.20


Operator Training

Cooling/Ion Blowers

3.3.1
3.3.2

Unloading

1.15, 1.16 Proper Handling

3.3

In place

1.6

3.3.3
3.4

Filters presence

Per control plan

Proper location on conveyor

Per spec/set-up

Blower Operation indicator

Per control plan

Magazines / Unloading racks

3.4.1

Correct Type for product (Pb/Pb free)

Per control plan

3.4.2

Correct width and height for product

Per control plan

3.4.3

Correct loading sequence (top down)

Per control plan

3.4.4

Covered for transportation and storage

Per control plan

3.4.5

Proper ESD control

Per ANSI S20.20

Pallet Cleaning

Per control plan

3.5
4.0

1.4
2.11
2.12

4.1

1.6

4.2

1.6

Components compatible with solder / pre heat


temperature
Components surface finish compatible with solder

4.3

1.6

Solder Pot Elemental Analysis

Component Compatibility
Component Spec
Component Spec
Product specification

4.4
5.0

Prevention of Pb/Pb-free solder bar mix


1.4
2.11
2.12

5.1

Warpage Control

Maximum diagonal warpage meets standard

6.1

1.4
2.11
2.12
2.8

6.2

6.0

Proper error-proofing

Per IPC-TM-650,
Section 2.4.22, or per
customer requirement

Abnormal Condition Reaction


Power failure reaction plan

Control plan

2.8

Emergency-stop reaction plan

Control plan

6.3

2.8

Part jam reaction plan

Control plan

6.4

2.8

Drop part reaction plan

Control plan

6.5

2.8

In Process Delay Reaction Plan

6.6

1.11

Repair/rework procedures

Control plan
Based on IPC-7711,
7721

2010 Automortive Industry Action Group (AIAG)

Cover Page

ng Process

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
d in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


nts.

Monitoring

Continuous
Continuous
Continuous
PM Completion Report
Continuous
Flow Meter
Continuous
Per control plan
Continuous
Continuous
Continuous
Continuous
Set-up Sheet
Per control plan
Per control plan
Set-up Sheet
Continuous
PM Completion Report

Auditor Notes

Continuous
Continuous
Per control
plan/changeover
Design Review
Check sheet
As needed

Continuous
Continuous
Continuous
Continuous
Continuous

Continuous
Continuous
Per Preventative
Maintenance
Daily Check Sheet
Daily Check Sheet
Continuous
Continuous
Continuous
Continuous
Continuous
Per Control Plan

Design Review
Design Review
Pb-free; Quarterly Lab
Results, Pb; annual lab
results

100%

Changeover/profile
modification

Continuous
Continuous
Continuous
Continuous
Continuous
Continuous

PROCESS TABLE J - Dip Soldering Process

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizati
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered serv
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

1.1

Related
SSA
Category/Process Steps
Question
1.4
2.11
Dip Solder Equipment
2.12
Flux Application See Process Table F

1.2

Pre-heat Process See Process Table G

1.3

Dip Soldering Machine

ITEM #

1.0

Control

1.3.1

Solder Pot Temperature controller

Automatic

1.3.2

Tin-Lead Solder

Correct Temperature

1.3.3

Lead Free Solder

Correct Temperature

1.3.4

Pot Heating element

Proper PM

1.3.5

Atmosphere control

1.3.5.1

Ventilation

Automatic

1.3.5.2

Nitrogen supply system (if used)

Automatic

1.3.5.3

Oxygen monitoring system (if used)

Automatic

1.3.6

Conveyer width control

1.3.7

Conveyer index speed control

1.3.8

Conveyer Dwell Time

1.3.9

Conveyer Finger Cleaner

Per set-up
Automatic per Control
Plan
Automatic per Control
Plan
Per control plan

1.3.10

Conveyer Vertical Index Distance (if movable)

Per machine spec

1.4

Temperature Profile Verification

1.4.1

M.O.L.E. / Surveyor

Per control plan

1.4.2

Thermal couple board placement

Based on board layout

1.5.1

Solder circulation pump (if used)

Per control plan

1.5.2

Solder pot level control

Automatic

ESD Control

Per ANSI S20.20


Proper equipment
cleaning

1.6
1.7

3.9

Lead/Lead free changeovers

1.8

1.6

1.9
2.0
2.1

1.4
2.11
2.12
3.9

Equipment lead-free compatible

Per equipment
specification

Dross Removal Frequency from Solder Pot (if


required)

Per control plan

Transferring
ESD Control

Per ANSI S20.20

2.2

1.15, 1.16 Stiffeners (if used) correct placement

Operator Training

2.3

1.15, 1.16 Correct Spacing between Boards

Automatic/operator
training

2.4

1.15, 1.16 Proper board placement in pallet (if used)

Operator Training

2.5
3.0
3.1
3.2

Conveyer cover (if required)


1.4
2.11
2.12
3.9

ESD Control

Per ANSI S20.20


Operator Training

Cooling/Ion Blowers

3.3.1
3.3.2

Unloading

1.15, 1.16 Proper Handling

3.3

In place

1.6

3.3.3
3.4

Filters presence

Per control plan

Proper location on conveyor

Per spec/set-up

Blower Operation indicator

Per control plan

Magazines / Unloading racks

3.4.1

Correct Type for product (Pb/Pb free)

Per control plan

3.4.2

Correct width and height for product

Per control plan

3.4.3

Correct loading sequence (top down)

Per control plan

3.4.4

Covered for transportation and storage

Per control plan

Pallet Cleaning

Per control plan

3.5
4.0

1.4
2.11
2.12

4.1

1.6

4.2

1.6

Components compatible with solder / pre heat


temperature
Components surface finish compatible with solder

4.3

1.6

Solder Pot Elemental Analysis

Product specification

Prevention of Pb/Pb-free solder bar mix

Proper error-proofing

4.4
5.0

1.4
2.11
2.12

Component Compatibility

Warpage Control

Component Spec
Component Spec

5.1

Maximum diagonal warpage meets standard

Per IPC-TM-650,
Section 2.4.22, or per
customer requirement

6.0

1.4
2.11
2.12

6.1

2.8

Power failure reaction plan

Control plan

6.2

2.8

Emergency-stop reaction plan

Control plan

6.3

2.8

Part jam reaction plan

Control plan

6.4

2.8

Drop part reaction plan

Control plan

6.5

2.8

In Process Delay Reaction Plan

6.6

1.11

Repair/rework procedures

Control plan
Based on IPC-7711,
7721

Abnormal Condition Reaction

2010 Automortive Industry Action Group (AIAG)

Cover Page

Process

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
d in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


nts.

Monitoring

Continuous
Continuous
Continuous
PM Completion Report
Continuous
Flow Meter
Continuous
Per control plan
Continuous
Continuous
Continuous
Set-up Sheet
Per control plan
Per control plan
Continuous
Continuous
Continuous
Per control
plan/changeover

Auditor Notes

Design Review
Check sheet

Continuous
Continuous
Continuous
Continuous
Continuous

Continuous
Continuous
Per Preventative
Maintenance
Daily Check Sheet
Daily Check Sheet
Continuous
Continuous
Continuous
Continuous
Per Control Plan

Design Review
Design Review
Pb-free; Quarterly Lab
Results, Pb; annual lab
results
100%

Changeover/profile
modification

Continuous
Continuous
Continuous
Continuous
Continuous
Continuous

PROCESS TABLE K - Selective Soldering Process

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizati
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered serv
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

1.1

Related
SSA
Category/Process Steps
Question
1.4
2.11
Equipment
2.12
Flux Application See Process Table F

1.2

Pre-heat Process See Process Table G

1.3

Temperature controller

Automatic

1.3.1

Tin-Lead Solder

Correct Profile

1.3.2

Lead Free Solder

Correct Profile

1.4

Heating element

Proper PM

1.5

Atmosphere control

1.5.1

Ventilation

Automatic

1.5.2

Nitrogen supply system (if used)

Automatic

1.5.3

Oxygen monitoring system (if used)

Automatic

1.5.4

Solder pot level control

Automatic

1.6

Conveyers

1.6.1

Width control

1.6.2

Speed control

1.6.3

Infeed cover

Per set-up
Automatic per Control
Plan
In place

1.6.4

Finger Cleaner

Per control plan

1.7

M.O.L.E. / Surveyor

1.7.1

Thermal couple board placement

Based on board layout

1.7.2

Frequency of sampling

Per control plan

1.8

Solder supply control

1.8.1

Solder pump RPM (if used)

Per control plan

1.8.2

Wave Vibrational Control (if used)

Per control plan

ESD Control

Per ANSI S20.20


Proper equipment
cleaning

ITEM #

1.0

1.9
1.10

3.9

Lead/Lead free changeovers

Control

1.11

1.6

1.12
2.0

1.4
2.11
2.12

2.1

Equipment lead-free compatible

Per equipment
specification

Dross Removal Frequency

Per control plan

Loading
Correct Orientation

Automatic/operator
training
Operator Training

2.2

1.15, 1.16 Stiffeners (if used) correct placement

2.3

1.15, 1.16 Correct Spacing

2.4

Operator Training

3.1

1.15, 1.16 Proper placement in pallet (if used)


1.4
2.11
Unloading
2.12
3.9
ESD Control

3.2

1.15, 1.16 Proper Handling

Operator Training

3.0

Automatic/operator
training

Per ANSI S20.20

3.3

Cooling/Ion Blowers

3.3.1

Filters presence

Per control plan

Proper location on conveyor

Per spec/set-up

3.3.3

Blower Operation indicator

Per control plan

3.4

Magazines / Unloading racks

3.4.1

Correct Type for product (Pb/Pb free)

Per control plan

3.4.2

Correct width and height for product

Per control plan

3.4.3

Correct loading sequence (top down)

Per control plan

3.4.4

Covered for transportation and storage

Per control plan

3.5

Pallet Cleaning

Per control plan

3.3.2

1.6

4.0

1.4
2.11
2.12

4.1

1.6

4.2

1.6

Components compatible with solder / pre heat


temperature
Components compatible with solder

4.3

1.6

Solder Pot Elemental Analysis

Product specification

Prevention of Pb/Pb-free solder bar mix

Proper error-proofing

4.4
5.0

5.1

1.4
2.11
2.12

Component Compatibility
Component Spec
Component Spec

Warpage Control

Maximum diagonal warpage meets standard

Per IPC-TM-650,
Section 2.4.22, or per
customer requirement

6.0

1.4
2.11
2.12

6.1

2.8

Power failure reaction plan

Control plan

6.2

2.8

Emergency-stop reaction plan

Control plan

6.3

2.8

Part jam reaction plan

Control plan

6.4

2.8

Drop part reaction plan

Control plan

6.5

2.8

In Process Delay Reaction Plan

6.6

1.11

Repair/rework procedures

Control plan
Based on IPC-7711,
7721

Abnormal Condition Reaction

2010 Automortive Industry Action Group (AIAG)

Cover Page

ng Process

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
d in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


nts.

Monitoring

Continuous
Continuous
Continuous
PM Completion Report
Continuous
Continuous
Continuous
Continuous
Per control plan
Continuous
Continuous
Continuous
Per control plan
Per control plan
Continuous
Continuous
Continuous
Per control
plan/changeover

Auditor Notes

Design Review
Check sheet

Continuous
Continuous
Continuous
Continuous

Continuous
Continuous
Per Preventative
Maintenance
Daily Check Sheet
Daily Check Sheet
Continuous
Continuous
Continuous
Continuous
Per Control Plan

Design Review
Design Review
Pb-free; Quarterly Lab
Results, Pb; annual lab
results
100%

Changeover/profile
modification

Continuous
Continuous
Continuous
Continuous
Continuous
Continuous

PROCESS TABLE L - Automated Iron Soldering Process

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizati
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered serv
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

ITEM #

1.0

Related
SSA
Category/Process Steps
Question
1.4
2.11
Equipment
2.12

Control

1.1

Flux Application (if used) See Process Table F

1.2

Pre-heat Process (if used) See Process Table G

1.3

Conveyer

1.3.1

Width control

Per set-up

1.3.2

Speed/index control

Automatic per Control


Plan

1.3.3

Infeed cover

In place

1.4

Soldering Iron

1.4.1

Temperature controller

Correct Temperature

1.4.2

1.18

Heating element

Proper PM

1.4.3

1.6

Iron tip temperature calibration

Per specification

1.4.4

1.6

Correct Tip (shape/size/material)

Per specification

Iron tip cleaner

Per control plan

Iron tip maintenance

Proper PM

1.4.5
1.4.6

1.18

1.5
1.5.1

Solder
1.6

Correct Solder (type/size/core)

Per specification

1.5.2

Solder Lot Control

Bar Code or Manual

1.6

Atmosphere control

1.6.1

Ventilation

Automatic

1.6.2

Nitrogen supply system (if used)

Automatic

1.6.3

Oxygen monitoring system (if used)

Automatic

ESD Control

Per ANSI S20.20

Pb/Pb free changeovers

Proper equipment
cleaning

Solder ball control

Solder preparation per


customer agreement
(e.g., V-groove cutter)

1.7

3.9

1.8

1.9

2.0

1.4
2.11
2.12

2.1

1.6

Tip contact position

Per product spec

2.2

1.6

Tip contact dwell time

Per product spec

2.3

1.6

Solder contact position

Per product spec

2.4

1.6

Solder feed rate

Per product spec

2.5

1.6

Angle of contact

Per product spec

3.0

1.4
2.11
2.12

Automated Solder Process Control

Loading

3.1

1.15, 1.16 Correct Orientation

Automatic/operator
training

3.2

1.15, 1.16 Stiffeners (if used) correct placement

Operator Training

3.3

1.15, 1.16 Correct Spacing

Automatic/operator
training

3.4

1.15, 1.16 Proper placement in pallet (if used)

Operator Training

4.0

1.4
2.11
2.12

4.1

3.9

4.2

Unloading
ESD Control

1.15, 1.16 Proper Handling

Per ANSI S20.20


Operator Training

4.3

Cooling/Ion Blowers

4..3.1

Filters presence

Per control plan

Proper location on conveyor

Per spec/set-up

4.3.2

1.6

4.3.3

Blower Operation indicator

Per control plan

4.4

Magazines / Unloading racks

Per product spec

4.4.1

Correct Type for product (Pb/Pb free)

Per control plan

4.4.2

Correct width and height for product

Per control plan

4.4.3

Correct loading sequence (top down)

Per control plan

4.4.4

Covered for transportation and storage

Per control plan

4.5

Pallet Cleaning

Per control plan

5.0

1.4
2.11
2.12

5.1

1.6

Components compatible with iron temperature

Component Spec

5.2

1.6

Components compatible with solder

Component Spec

6.0

1.4
2.11
2.12

Component Compatibility

Warpage Control
Maximum diagonal warpage meets standard
(warpage of the PCB cannot be affected by this
process).

6.1

Per IPC-TM-650,
Section 2.4.22

7.0

1.4
2.11
2.12

7.1

2.8

Power failure reaction plan

Control plan

7.2

2.8

Emergency-stop reaction plan

Control plan

7.3

2.8

Part jam reaction plan

Control plan

7.4

2.8

Drop part reaction plan

Control plan

7.5

2.8

In Process Delay Reaction Plan

Control plan

7.6

1.11

Repair/rework procedures

Based on IPC-7711,
7721

Abnormal Condition Reaction

2010 Automortive Industry Action Group (AIAG)

ering Process

Cover Page

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
d in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


nts.

Monitoring

Per control plan


Continuous
Continuous

Continuous
PM Completion Report
Per control plan
Per control plan
Continuous
PM Completion Report

Per control plan


Per control plan

Auditor Notes

Continuous
Continuous
Continuous
Continuous
Per control
plan/changeover

100%

Continuous
Continuous
Continuous
Continuous
Continuous

Continuous
Continuous
Continuous
Continuous

Continuous
Continuous

Per Preventative
Maintenance
Daily Check Sheet

Daily Check Sheet


Per Changeover
Continuous
Continuous
Continuous
Continuous
Per Control Plan

Design Review
Design Review

Changeover/profile
modification

Continuous
Continuous
Continuous
Continuous
Continuous
Continuous

PROCESS TABLE M - Manual Iron Soldering Process

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizati
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered serv
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

ITEM #

1.0

Related
SSA
Category/Process Steps
Question
1.4
2.11
Equipment
2.12

Control

1.1

Flux Application (if used) See Process Table F

1.2

Pre-heat Process (if used) See Process Table G

1.3

Soldering Iron

1.3.1

Temperature controller

Correct Temperature

1.3.2

Heating element

Proper PM

1.3.3

1.6

Iron tip temperature calibration

Per specification

1.3.4

1.6

Correct Tip (shape/size/material)

Per specification

1.3.5

Iron tip cleaner

Per control plan

1.3.6

Iron tip maintenance

Proper PM

1.3.7

Iron tip cleaner

Per control plan

1.4

Solder

1.4.1

Correct Solder (type/size/core)

Per specification

1.4.2

Solder Lot Control

Bar Code or Manual

1.5

Atmosphere control

1.5.1

Ventilation

1.5.2

Nitrogen Soldering Protection (if used)

1.6

1.6

3.9

ESD Control

Automatic

Per ANSI S20.20

1.7

Pb/Pb free changeovers

Proper equipment
cleaning

1.8

Solder ball control

Solder preparation per


customer agreement
(e.g., V-groove cutter)

2.0

1.4
2.11
2.12

Retraining provided
Soldering techniques, such as; dwell times, methods
when quality issues
of iron application to joint.
indicate

2.1

3.0

1.4
2.11
2.12

3.1

3.9

3.2

Manual Solder Process Control

Loading/Unloading
ESD Control

1.15, 1.16 Proper Handling

Per ANSI S20.20


Operator Training

3.3

Ionizers

3.3.1

Filters presence

Per control plan

Proper location on conveyor

Per spec/set-up

3.3.3

Blower Operation indicator

Per control plan

3.3.4

Proper maintenance

Proper PM

Magazines / Unloading racks

Per product spec

3.4.1

Correct Type for product (Pb/Pb free)

Per control plan

3.4.2

Correct width and height for product

Per control plan

3.4.3

Correct loading sequence (top down)

Per control plan

3.4.4

Covered for transportation and storage

Per control plan

3.5

Pallet Cleaning

Per control plan

3.3.2

3.4

1.6

1.6

4.0

1.4
2.11
2.12

4.1

1.6

Components compatible with iron temperature

Component Spec

4.2

1.6

Components compatible with solder

Component Spec

5.0

1.4
2.11
2.12

Component Compatibility

Warpage Control

5.1

Maximum diagonal warpage meets standard

Per IPC-TM-650,
Section 2.4.22

6.0

1.4
2.11
2.12

6.1

2.8

Power failure reaction plan

Control plan

6.2

2.8

Emergency-stop reaction plan

Control plan

6.3

2.8

Part jam reaction plan

Control plan

6.4

2.8

Drop part reaction plan

Control plan

6.5

2.8

In Process Delay Reaction Plan

Control plan

6.6

1.11

Repair/rework procedures

Based on IPC-7711,
7721

Abnormal Condition Reaction

2010 Automortive Industry Action Group (AIAG)

ring Process

Cover Page

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
d in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


nts.

Monitoring

Continuous
PM Completion Report
Per control plan
Per control plan
Continuous
PM Completion Report
Continuous

Per control plan


Per control plan

Continuous

Continuous

Auditor Notes

Per control
plan/changeover
100%

Post solder inspection

Continuous
Continuous

Per Preventative
Maintenance
Daily Check Sheet
Daily Check Sheet
PM Completion Report
Per Changeover
Continuous
Continuous
Continuous
Continuous
Per Control Plan

Design Review
Design Review

Changeover/profile
modification

Continuous
Continuous
Continuous
Continuous
Continuous
Continuous

PROCESS TABLE N - Laser - Soft Beam Soldering Process

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizati
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered serv
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

ITEM #

1.0

Related
SSA
Category/Process Steps
Question
1.4
2.11
Laser - Soft Beam Solder Equipment
2.12

1.1

Automated Flux Application See Process Table F

1.2

Manual Flux Application

Control

1.2.1

1.15, 1.16 Correct Flux Type

Operator Training

1.2.2

1.15, 1.16 Correct Applicator

Operator Training

1.2.3

1.15, 1.16 Correct Amount and Location

Operator Training

1.2.4

Time

1.3

Conveyer

1.3.1

Conveyer width control

Per set-up

1.3.2

Conveyer speed control

Automatic per Control


Plan

1.3.3

Conveyer infeed cover

In place

1.4

Pre-heat Process (if used) See Process Table G

2.0

1.4
2.11
2.12

Laser Equipment Controls

2.1

Correct Laser Wave Length

Per Control Plan

2.2

Correct Laser Power

Per Control Plan

2.3

Correct Laser Alignment

Per Control Plan

2.4

Correct Laser Exposure Time

Per Control Plan

2.5
3.0

Correct Laser Focus (Spot Size)


1.4
2.11
2.12

Per Control Plan

Soft Beam Equipment Controls

3.1

Correct Xenon Lamp

Per Control Plan

3.2

Correct Power Setting

Per Control Plan

3.3

Correct Alignment

Per Control Plan

3.4

Correct Exposure Time

Per Control Plan

3.5

Correct Focus (Spot Size)

Per Control Plan

ESD Control

Per ANSI S20.20

Lead/Lead free changeovers

Proper equipment
cleaning

3.6

3.9

3.7
4.0

1.4
2.11
2.12

4.1

3.9

4.2

Loading/Unloading
ESD Control

1.15, 1.16 Proper Handling

Per ANSI S20.20


Operator Training

4.3

Cooling/Ionizer Blower

4.3.1

Filters presence

Per control plan

Proper location on conveyor

Per spec/set-up

4.3.3

Blower Operation indicator

Per control plan

4.3.4

Proper maintenance

Proper PM

Magazines / Unloading racks

Per product spec

4.4.1

Correct Type for product (Pb/Pb free)

Per control plan

4.4.2

Correct width and height for product

Per control plan

4.4.3

Correct loading sequence (top down)

Per control plan

4.4.4

Covered for transportation and storage

Per control plan

4.5

Pallet Cleaning

Per control plan

4.3.2

4.4

5.0

1.6

1.6

1.4
2.11
2.12

Component Compatibility

5.1

1.6

Components compatible with temperature profile

Component Spec

5.2

1.6

Components compatible with solder

Component Spec

6.0

1.4
2.11
2.12

6.1

2.8

Power failure reaction plan

Control plan

6.2

2.8

Emergency-stop reaction plan

Control plan

6.3

2.8

Part jam reaction plan

Control plan

6.4

2.8

Drop part reaction plan

Control plan

6.5

2.8

In Process Delay Reaction Plan

Control plan

6.6

1.11

Repair/rework procedures

Based on IPC-7711,
7721

Abnormal Condition Reaction

2010 Automortive Industry Action Group (AIAG)

dering Process

Cover Page

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
d in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


nts.

Monitoring

Per Training Plan


Per Training Plan
Per Training Plan

Per control plan


Continuous
Continuous

Per Specification
Per Set-Up Sheet
Per Set-Up Sheet
Per Set-Up Sheet

Auditor Notes

Per Set-Up Sheet

Per Specification
Per Set-Up Sheet
Per Set-Up Sheet
Per Set-Up Sheet
Per Set-Up Sheet
Continuous
Per control
plan/changeover

Continuous
Continuous

Per Preventative
Maintenance
Daily Check Sheet
Daily Check Sheet
PM Completion Report
Per Changeover
Continuous
Continuous
Continuous
Continuous
Per Control Plan

Design Review
Design Review

Continuous
Continuous
Continuous
Continuous
Continuous
Continuous

PROCESS TABLE O - Induction

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizati
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered serv
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

ITEM #

1.0

Related
SSA
Category/Process Steps
Question
1.4
2.11
Solder Paste Control (Pre-mixed only)
2.12

Control

1.1

1.6

Correct solder paste

Specification

1.2

1.6

Correct storage conditions

Specification

1.3

1.6

Correct stabilization

Specification

1.4

1.6

Ambient temperature exposure

Specification

2.0

1.4
2.11
2.12

2.1

1.6

Dispensed volume

Specification

2.2

1.6

Correct dispense location

Specification

Nozzle condition

Control Plan

2.3

Solder Paste Application

3.0

1.4
2.11
2.12

3.1

1.6

Stationary part accuracy

3.2

1.6

Placement verification

3.3

1.6

Movable part accuracy

3.4

1.6

Movable part verification

3.5

1.6

Gap between parts to be soldered

4.0

1.4
2.11
2.12

Part Placement

Equipment Control

Per Set-Up
Specification
Per Set-Up
Specification
Per Set-Up
Specification
Per Set-Up
Specification
Per Set-Up
Specification

4.1

1.6

Power Supply Frequency

Per Specification

4.2

1.6

Inductive Head Position (Hot Spot position control)

Per Specification

4.3

1.6

Inductive Head to Part Gap

Per Specification

4.4

1.6

Power Profile

Per Specification

4.5

1.6

Power Duration per Soldering Cycle

Per Specification

4.6

1.6

Inductive Head Cooling Air Flow Rate

Per Specification

4.7

1.6

Magnetic Flux Monitoring

Per Specification

5.0

1.4
2.11
2.12

5.1

1.6

5.2
6.0

1.4
2.11
2.12

6.1

3.9

6.2

Final Inspection
Quality Inspection Audit

Per Specification

Non-conforming part disposition

Reaction plan

Loading/Unloading
ESD Control

1.15, 1.16 Proper Handling

Per ANSI S20.20


Operator Training

6.3

Cooling/Ionizer Blower

6.3.1

Filters presence

Per control plan

Proper location on conveyor

Per spec/set-up

Blower Operation indicator

Per control plan

6.3.2

1.6

6.3.3
6.3.4

1.18

Proper maintenance

Proper PM

6.4

1.6

Magazines / Unloading racks

Per product spec

6.4.1

Correct Type for product (Pb/Pb free)

Per control plan

6.4.2

Correct width and height for product

Per control plan

6.4.3

Correct loading sequence (top down)

Per control plan

6.4.4

Covered for transportation and storage

Per control plan

6.5

Pallet Cleaning

Per control plan

7.0

1.4
2.11
2.12

7.1

1.6

Components compatible with temperature profile

Component Spec

7.2

1.6

Components compatible with solder

Component Spec

8.0

1.4
2.11
2.12

8.1

2.8

Power failure reaction plan

Control plan

8.2

2.8

Emergency-stop reaction plan

Control plan

8.3

2.8

Part jam reaction plan

Control plan

8.4

2.8

Drop part reaction plan

Control plan

8.5

2.8

In Process Delay Reaction Plan

Control plan

8.6

1.11

Repair/rework procedures

Based on IPC-7711,
7721

Component Compatibility

Abnormal Condition Reaction

2010 Automortive Industry Action Group (AIAG)

Cover Page

on

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
d in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


nts.

Monitoring

Start-up and changeover


Continuous
Start-up and changeover
Continuous

Start-up and changeover


Continuous
Start-up and changeover

Continuous
Once per Day
Continuous
Once per Day
Once per Day

Auditor Notes

Start-up and changeover


Start-up and changeover
Start-up and changeover
Start-up and changeover
Start-up and changeover
Start-up and changeover
Start-up and changeover

Per Control Plan


Per Control Plan

Continuous
Continuous

Per Preventative
Maintenance
Daily Check Sheet
Daily Check Sheet
PM Completion Report
Per Changeover
Continuous
Continuous
Continuous
Continuous
Per Control Plan

Design Review
Design Review

Continuous
Continuous
Continuous
Continuous
Continuous
Continuous

PROCESS TABLE P - Conformal Coating

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizati
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered serv
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

ITEM #

1.0

2.0

Related
SSA
Category/Process Steps
Question
1.4
2.11
Conformal Coating
2.12

Control

1.6

Type Used:

Per Specification

1.6

Curing Method:

Per Specification

1.4
2.11
2.12

2.1

Preparation
Pre-Mixed:

2.1.1

1.6

Correct Storage Conditions

Per Specifications

2.1.2

1.6

Stabilized to operating temperature

Per Specifications

2.1.3

Correct Material

Bar Code or Manual

2.1.4

Expiration Date/Lot Control

Bar Code or Manual

2.1.5

Expired Material Handling

Per Control Plan

2.2

On-site Mixed:

2.2.1

1.6

Correct Storage Conditions for Components

Per Specifications

2.2.2

1.6

Correct mixing temperature

Per Specifications

2.2.3

Correct Material

Bar Code or Manual

2.2.4

Ingredient Expiration Date/Lot Control

Bar Code or Manual

2.2.5

Expired ingredients handling

Per Control Plan

2.2.6

Mixing tools calibrated

Per Control Plan

2.2.7

Cleanliness of mixing containers and work area

No foreign materials

2.2.8

1.6

Mixing time

Per Specifications

2.2.9

1.6

Viscosity confirmation

Per Specifications

2.2.10

1.6

Prepared conformal coating expiration date

Per Specifications

3.0

1.4
2.11
2.12

3.1

Coating Application
Spray - Automatic or Manual

3.1.1

1.6

Correct Coverage Area

Per Specification

3.1.2

1.6

No Coating / Overspray In Exclusion Zone

Per Specification

3.1.3

1.6

Correct Thickness / Uniformity

Per Specification

3.1.4

Solution Flow Rate (if 3.1.3 not applicable)

Per Control Plan

3.1.5

Solution Pressure Rate

Per Control Plan

3.1.6

Nozzle Movement Speed

Per Control Plan


Per Preventive
Maintenance
Schedule
Per Specification
Per Product
Specification

3.1.7

1.18

Nozzle Maintenance

3.1.8

1.6

Masking (Manual Spray Only)

1.6

Board and Solution Temperature

3.2

Dip - Automatic or Manual

3.2.1

1.6

Correct Coverage Area

3.2.2

1.6

Correct Thickness / Uniformity

3.2.3
3.2.4

No Foreign Material in Pot


1.6

3.2.5

Uniform viscosity maintenance


Insert and Withdraw Rate / Soak Time

3.2.6

1.6

Correct board orientation

3.2.7

1.6

Board and Tank Temperature

3.2.8

1.6

Drip Time

3.3

Per Specification
Per Specification and
Control Plan
Proper Filtering
Per Product
Specification
Per Control Plan
Per Specification
Per Product
Specification
Per Product
Specification

Brush

3.3.1

1.6

Correct Brush Type

Per Specification

3.3.2

1.6

Correct Coverage Area

Per Specification

3.3.3

1.6

No Coating / Oversplash In Exclusion Zone

Per Specification

3.3.4

1.6

Correct Thickness / Uniformity

Per Specification

3.3.5

1.6

Masking (If Required)

3.3.6

1.6

Uniform viscosity maintenance

3.3.7

1.6

No Foreign Material in Pot

3.3.8

1.6

Board and Tank Temperature

Per Specification
Per Product
Specification
Per Specification
Per Product
Specification
Per ANSI S20.20

3.3.9

Proper ESD Control

3.4

Selective Coverage Area

3.4.1

1.6

Correct Coverage Area

Per Specification

3.4.2

1.6

No Coating / Drips In Exclusion Zone

3.4.8

1.6

Board and Solution Temperature

3.4.9

1.15, 1.16

Per Specification
Per Product
Specification
Proper Operator
Training

4.0

1.4
2.11
2.12

4.1

Proper Coverage for Manual Applications with


controls as above
Curing
Ultra Violet (UV) Cure

4.1.1

1.6

Proper UV Source

Per Specification

4.1.2

1.6

Proper Exposure Time

Per Specification

4.1.3

1.6

Debris Control

Per Specification

4.1.4

1.6

Correct Orientation

Per Specification
Per Preventive
Maintenance
Schedule
Per Coating
Specifications

4.1.5
4.1.6

Proper UV Source Maintenance


1.6

4.2

Humidity Control
Humidity Cure

4.2.1

1.6

Correct Temperature / Humidity Range

Per Specification

4.2.2

1.6

Proper Exposure Time

Per Specification

4.2.3

1.6

Debris Control

Per Specification

4.2.4

1.6

Correct Orientation

Per Specification

4.3

Heat Cure

4.3.1

1.6

Correct Temperature Level

Per Specification

4.3.2

1.6

Proper Exposure Time

Per Specification

4.3.3

1.6

Debris Control

Per Specification

4.3.4

1.6

Correct Orientation

Per Specification

4.3.5

1.6

Proper Humidity Level

Per Specification

4.4

Ambient Cure

4.4.1

1.6

Correct Temperature / Humidity Range

Per Specification

4.4.2

1.6

Proper Cure Time

Per Specification

4.4.3

1.6

Debris Control

Per Specification

4.4.4
5.0
5.1

1.6
Correct Orientation
1.4
2.11
Inspection
2.12
1.15, 1.16 Proper Coverage Area

5.2

No Bubbles, Voids, or Inconsistencies

5.3

Thickness Check

5.4

1.15, 1.16 Curing Completion

Per Specification

Operator Training
None Allowed
Per Product
Specification
Operator Training

5.5
6.0

3.9
1.4
2.11
2.12

Proper ESD Control

Per ANSI S20.20

General

6.1

Fixture cleaning frequency

Per Control Plan

6.2

Appropriate operator protective equipement

Per work area


requirement

7.0

1.4
2.11
2.12

7.1

2.8

Power failure reaction plan

Control plan

7.2

2.8

Emergency-stop reaction plan

Control plan

7.3

2.8

Part jam reaction plan

Control plan

7.4

2.8

Drop part reaction plan

Control plan

7.5

2.8

In Process Delay Reaction Plan

Control plan

7.6

1.11

Repair/rework procedures

Based on IPC-7711,
7721

Abnormal Condition Reaction

2010 Automortive Industry Action Group (AIAG)

Cover Page

oating

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
d in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


nts.

Monitoring

Error-Proofing Check
Sheet
Error-Proofing Check
Sheet

Continuous
Check sheet
Every Container
Every Container
Per Control Plan
Per Control Plan
Check sheet
Every Container
Every Container
Per Control Plan
Per Calibration Cycle
Per Control Plan/Work
Instructions
Check sheet
Check sheet
Check sheet

Auditor Notes

Set-up Sheet
Set-up Sheet
Set-up Sheet
Set-up Sheet
Set-up Sheet
Set-up Sheet
Maintenance Check
Sheet
Continuous
Continuous

Set-up Sheet
Set-up Sheet
PM Schedule per
customer requirement
Set-up Sheet
Set-up Sheet
Continuous
Continuous
Continuous

Set-up Sheet
Set-up Sheet
Set-up Sheet
Set-up Sheet
Continuous
Set-up Sheet
Set-up Sheet
Continuous
Continuous

Set-up Sheet
Set-up Sheet
Continuous
Visual Control

Set-up Sheet
Set-up Sheet
Set-up Sheet
Continuous
Maintenance Check
Sheet
Plant Level:
Equipment Level:
Set-up Sheet
Set-up Sheet
Set-up Sheet
Continuous
Set-up Sheet
Set-up Sheet
Set-up Sheet
Continuous
Continuous
Set-up Sheet
Set-up Sheet
Set-up Sheet
Continuous

Continuous
Continuous
Per Sampling Plan
Continuous

Continuous

Per Schedule
100%

Continuous
Continuous
Continuous
Continuous
Continuous
Continuous

PROCESS TABLE Q - PCB Separation

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizat
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered serv
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

ITEM #

1.0
1.1

Related
SSA
Category/Process Steps
Question
1.4
2.11
Router
2.12
1.6
Correct router pattern

Control

Specification

1.2

1.6

Correct bit

Specification

1.3

1.6

Correct bit alignment

Specification

1.4

1.6

Correct RPM

Specification

1.5

Correct debris removal

Proper vacuum level

1.6

No abnormal board flex

Per Customer
requirement

ESD control

Per ANSI S20.20

1.15, 1.16 Proper seating of PCB

Operator training

1.7
1.8
1.9
1.10
1.11

3.9

1.6

1.15, 1.16 Proper handling during loading and unloading


1.18

1.12
2.0

Proper support for separated panels

1.4
2.11
2.12

2.1

Specification
Operator training

Established bit preventive maintenance

Per Preventive
Maintenance
Schedule

Reaction plan to broken bit

Per Control Plan

Die/Punch
Correct die/punch

Set-up Sheet

2.2

1.6

Correct PCB to die/punch alignment

Specification

2.3

1.6

Correct force

Specification

Correct debris removal

Per control plan

2.4

No abnormal board flex

Per Customer
requirement

ESD control

Per ANSI S20.20

1.15, 1.16 Proper seating of PCB

Operator training

2.5

2.6
2.7
2.8
2.9
2.10

3.9

1.6

1.15, 1.16 Proper handling during loading and unloading


1.18

2.11
3.0

Proper support for separated panels

1.4
2.11
2.12

3.1

Specification
Operator training

Established die/punch preventive maintenance

Per Preventive
Maintenance
Schedule

Reaction plan to broken die/punch

Per Control Plan

Blade (V-cut)
Correct blade

Set-up Sheet

3.2

1.6

Correct PCB to blade alignment

Specification

3.3

1.6

Correct PCB to blade gap

Specification

3.4

Correct debris removal

Pre control plan

3.5

No abnormal board flex

Per Customer
requirement

ESD control

Per ANSI S20.20

1.15, 1.16 Proper seating of PCB

Operator training

3.6
3.7
3.8
3.9
3.10

3.9

1.6

1.15, 1.16 Proper handling during loading and unloading


1.18

3.11
4.0

Proper support for separated panels

1.4
2.11
2.12

Specification
Operator training

Established blade preventive maintenance

Per Preventive
Maintenance
Schedule

Reaction plan to damage blade

Per Control Plan

Manual Separation

4.1

Correct debris removal

Pre control plan

4.2

No abnormal board flex

Per Customer
requirement

ESD control

Per ANSI S20.20

4.3

3.9

4.4

Procedure in place to ensure separation method


meets customer requirements

Per Customer
requirement

4.5

Proper handling during separation activity

Per Customer
requirement

4.6

Proper tools specified

Per Customer
requirement

5.0

1.4
2.11
2.12

5.1

2.8

Power failure reaction plan

Control plan

5.2

2.8

Emergency-stop reaction plan

Control plan

5.3

2.8

Part jam reaction plan

Control plan

5.4

2.8

Drop part reaction plan

Control plan

5.5

2.8

In Process Delay Reaction Plan

Control plan

5.6

1.11

Repair/rework procedures

Based on IPC-7711,
7721

Abnormal Condition Reaction

2010 Automortive Industry Action Group (AIAG)

Cover Page

ation

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
d in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


nts.

Monitoring

Continuous
Start-up or change over
Start-up or change over
Start-up or change over
Continuous
Start of production or
equipment
change/modification
Continuous
Continuous
Start-up or equipment
change-over
Continuous
Maintenance Check
Sheet
Continuous

Start-up or change over


Start-up or change over
Start-up or change over
Continuous

Auditor Notes

Start of production or
equipment
change/modification
Continuous
Continuous
Start-up or equipment
change-over
Continuous
Maintenance Check
Sheet
Continuous

Start-up or change over


Start-up or change over
Start-up or change over
Continuous
Start of production or
equipment
change/modification
Continuous
Continuous
Start-up or equipment
change-over
Continuous
Maintenance Check
Sheet
Continuous

Continuous
Start of production or
equipment
change/modification
Continuous

Continuous
Continuous
Continuous

Continuous
Continuous
Continuous
Continuous
Continuous
Continuous

PROCESS TABLE R - In-circuit Testing (ICT)

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizati
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered serv
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

ITEM #

1.0

Related
SSA
Question
1.4
2.11
Automatic
2.12

Category/Process Steps

Control

1.2

Conveyer width control

Per set-up

1.3

Conveyer index control

Automatic per Control


Plan

1.4

Conveyers covered

Covers in place

1.5

Proper positioning for test

Per set-up

1.6

Correct test set-up:


Software
Hardware

Per set-up

1.7

Correct pin set-up:


Clearance between pins
Height
Pressure
Type

Per set-up

1.8

Correct dwell (test/set) time

Per set-up

1.9

Good/bad boundary sample confirmation

1.10

Proper test equipment calibration

1.11

Failed part data logging

Per each failed part

1.12

Failed part traceability

Per identification
method

1.13

Reaction plan to high level of false-fails

Per reaction plan

1.14

Reaction plan to defective part limits

Per reaction plan

Preventative maintenance performed (confirm pogo


pin inspection/replacement criteria)

Per Preventive
Maintenance

1.15

1.18

Start-up/changeover
and last off
Per calibration
frequency

1.16

3.9

1.17
2.0

1.4
2.11
2.12

ESD control

Per ANSI S20.20

No abnormal board flex

Per Customer
requirement

Manual

2.1

1.15, 1.16 Correct loading/unloading

Operator training

2.2

Proper positioning for test

Per set-up

2.3

Correct test set-up:


Software
Hardware

Per set-up

2.4

Correct pin set-up:


Clearance between pins
Height
Pressure
Type

Per set-up

2.5

Correct dwell (test/set) time

Per set-up

2.6

Good/bad boundary sample confirmation

Start-up/changeover
and last off

2.7

Proper test equipment calibration

Per calibration
frequency

2.8

Failed part data logging

Per each failed part

2.9

Failed part traceability

Per identification
method

2.10

Reaction plan to high level of false-fails

Per reaction plan

2.11

Reaction plan to defective part limits

Per reaction plan

2.12

1.18

Preventative maintenance performed (confirm pogo


pin inspection/replacement criteria)

Per Preventive
Maintenance
Schedule

2.13

3.9

ESD control

Per ANSI S20.20

No abnormal board flex

Per Customer
requirement

2.14

3.0

1.4
2.11
2.12

3.1

2.8

Power failure reaction plan

Control plan

3.2

2.8

Emergency-stop reaction plan

Control plan

Abnormal Condition Reaction

3.3

2.8

Part jam reaction plan

Control plan

3.4

2.8

Drop part reaction plan

Control plan

3.5

2.8

In-Process Delay Reaction Plan

Control plan

3.6

1.11

Repair/rework procedures

Based on IPC-7711,
7721

2010 Automortive Industry Action Group (AIAG)

Cover Page

ng (ICT)

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
d in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


nts.

Monitoring

Per control plan


Continuous
Continuous
Per control plan
Per control plan

Per control plan

Per control plan


Per control plan
Per equipment
manufacturer
Per control plan
Continuous
Per control plan
Per control plan
Maintenance Check
Sheet

Auditor Notes

Continuous
Start of production or
equipment

Per control plan


Per control plan

Per control plan

Per control plan

Per control plan


Per control plan
Per equipment
manufacturer
recommendation
Per control plan
Continuous
Per control plan
Per control plan
Maintenance Check
Sheet
Continuous
Start of production or
equipment
change/modification

Continuous
Continuous

Continuous
Continuous
Continuous
Continuous

PROCESS TABLE S - Solder Re-work

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated. All rights are preserved by AIA
altered or disseminated, published, or transferred in part of such content. The information is not to be sold in part or whole to anyone within your organizati
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered serv
Industry Action Group.

All requirements given below are subordinate to customer specific requirements.

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing t
auditor shall verify Soldering Organization is conforming to customer requirements.

ITEM #

1.0

Related
SSA
Category/Process Steps
Question
1.4
2.11
On-line Re-work
2.12

Control

1.1

Confirmation of defective part

Defect class defined


per customer
agreement

1.2

Procedure to track defective part from the process


through re-work

Written procedure

1.3

Traceability linked to part repair history

Written procedure

1.4

Identify effective area of defect

1.5

Identify defective component

1.6

Identification method for reworkable components.


(Proper IC orientation / part polarity)

1.7

Removal of conformal coating, if required (not


recommended)

1.8

1.15, 1.16 Operator certification for diagnostic and repairs

Quality confirmation
systems
Quality confirmation
systems
Written policy or
customer
requirements
Written procedure

Operator training

1.9

Written policy or
Repair confirmed by certified supervisor/team leader customer
requirements

1.10

Repaired part returned to production line and


inserted prior to defect identification/reject point

Written policy

ESD handling procedure in place

Per ANSI S20.20

1.11

3.9

1.12

2.0

Solder ball control

1.4
2.11
2.12

Solder preparation per


customer agreement
(e.g., V-groove cutter)

Off-line Repair Procedure


Defect class defined
per customer
agreement

2.1

Confirmation of defective part

2.2

Defective parts tracked from the process through reWritten procedure


work

2.3

Traceability linked to part repair history

Written procedure

2.4

Off-line part handling and storage procedure

Written procedure

2.5

Identify effective area of defect

Inspection results

2.6

Identify defective component

Inspection results

2.7

Identification method for reworkable components.

Written policy or
customer
requirements

2.8

Removal of conformal coating, if required (not


recommended)

Written procedure

2.9

1.15, 1.16 Operator certification for diagnostic and repairs

Operator training

2.10

Written policy or
Repair confirmed by certified supervisor/team leader customer
requirements

2.11

Repaired part returned to production line and


inserted prior to defect identification/reject point

Written policy

Per ANSI S20.20

2.12

3.9

ESD handling procedure in place

3.0

1.4
2.11
2.12

Repair Equipment and Material

3.1

Work stations identified for Pb versus Pb-free


material

Visual identification
and documentation

3.2

All tools indentified for Pb versus Pb free

Visual identification
and documentation

3.3

Solder iron

3.3.1

Correct Iron Temperature

Per specification

3.3.2

Heating element

Per specification

3.3.3

Iron tip temperature calibration

Per specification

3.3.4

Correct Tip (shape/size/material)

Per specification

3.3.5

Correct Solder (type/size/core)

Per specification

3.3.6

Solder Lot Control

Bar Code or Manual

3.3.7

Atmosphere control

Automatic

3.3.8

Ventilation

Automatic

ESD Control

Per ANSI S20.20

3.3.10

Iron tip cleaner

Per control plan

3.3.11

Iron tip maintenance

Per Preventive
Maintenance
Schedule

3.3.9

3.4

3.9

1.4
2.11
2.12

BGA/Flip Chip/Bumped Die/Controlled Collapse


Chip Connection (C4) Repair Equipment

3.4.1

Removal - Localized pre-heat control

Automatic based on
part requirements

3.4.2

Removal - Pre-heat temperature set point

Automatic based on
part requirements

3.4.3

Removal - Pre-heat time control

Automatic based on
part requirements

3.4.4

Proper pad inspection post-removal

Operator training

3.4.5

Insertion - Pre-heat control

Automatic based on
part requirements

3.4.6

Insertion - Reflow temperature control

Automatic based on
part requirements

3.4.7

Insertion - Reflow time control

Automatic based on
part requirements

3.4.8

Post insertion - Cooling profile

Automatic based on
part requirements

3.4.9

Heater head cleaning procedure

Per equipment OEM


specifications

3.5

1.4
2.11
2.12

Component Control

3.5.1

Replacement component match bill of material

BOM verification /
crosscheck

3.5.2

Proper moisture sensitive device (MSD)


environmental control/tracking

Per component
requirements

3.5.3

Component matches solder type used

BOM verification /
crosscheck

3.5.4

3.6

Disposition of defective components


1.4
2.11
2.12

Conformal Coat removal and replacement

3.7.1

Solvent removal

3.7.2

Correct solvent for coating used

3.7.3

1.15, 1.16 Mechanical dam installed around component

3.7.4

1.15, 1.16 Filler used for solvent to prevent run out

3.7.5

1.15, 1.16 Board cleaned before re-work

3.8

1.15, 1.16 Only nonconductive abrasive allowed

3.8.2

1.15, 1.16 Mask used to protect surrounding components

3.8.3

1.15, 1.16 Board cleaned before re-work

3.9

1.15, 1.16 Proper tool

3.9.2

1.15, 1.16 No damage allowed to solder resist

3.10

1.15, 1.16 De-soldering removal

3.10.1

1.15, 1.16 Proper iron temperature to vaporize coating

3.10.2

1.15, 1.16 Proper ventilation for operator protection

3.11

3.11.3

Procedure /
checksheet
Procedure / Operator
training
Procedure / Operator
training
Procedure / Operator
training

Procedure / Operator
training
Procedure / Operator
training
Procedure / Operator
training

Mechanical removal

3.9.1

3.11.2

Procedure in place

Micro-abrasive removal

3.8.1

3.11.1

Scrap / nonconforming part


procedure

Procedure / Operator
training
Procedure / Operator
training
Procedure / Operator
training
Procedure / Operator
training
Procedure / Operator
training

Reapplication
Silicone paste conformal coat only one part moisture
cured solution allowed
Non-silicone paste adhesion promoter should be
1.15, 1.16
used as needed
All repairs require at least 3 millimeters overlap of
1.15, 1.16
demarcation edges of existing coatings
1.15, 1.16

Procedure / Operator
training
Procedure / Operator
training
Procedure / Operator
training

4.0

1.4
2.11
2.12

Encapsulated / Potted Component Rework

Not recommended

5.0

1.4
2.11
2.12

Proper work station cleanliness

Operator training

6.0

1.4
2.11
2.12

6.1

2.8

Power failure reaction plan

Control plan

6.2

2.8

Drop part reaction plan

Control plan

6.3

2.8

In Process Delay Reaction Plan

Control plan

6.4

1.11

Repair/rework procedures

6.5

1.11

Maximum number of repairs allowed per board

Abnormal Condition Reaction

2010 Automortive Industry Action Group (AIAG)

Based on IPC-7711,
7721
Per customer product
specification

Cover Page

work

Index Page

herwise indicated. All rights are preserved by AIAG, and content may not be
d in part or whole to anyone within your organization or to another company.
omotive Industry Action Group are registered service marks of the Automotive

frequencies, etc. When performing the job audit, the


nts.

Monitoring

Automatic test

Control Plan
Control Plan
Control Plan
Control Plan
Control Plan

Control Plan
Training matrix with
annual management
review.
Control Plan

Control Plan

Continuous

Auditor Notes

100%

Automatic test

Control Plan
Control Plan
Control Plan
Control Plan
Control Plan
Control Plan

Control Plan
Training matrix with
annual management
review.
Control Plan

Control Plan

Continuous

Continuous
Continuous

Quality audit
Per PM Schedule

Per control plan


Per control plan
Per control plan
Per control plan
Continuous
Continuous
Continuous
Continuous
Maintenance Check
Sheet

Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
PM completion reports

Continuous

Continuous
Continuous

Continuous

Supervisor confirmation
Supervisor confirmation
Supervisor confirmation
Supervisor confirmation
Supervisor confirmation

Supervisor confirmation
Supervisor confirmation
Supervisor confirmation

Supervisor confirmation
Supervisor confirmation
Supervisor confirmation
Supervisor confirmation
Supervisor confirmation

Supervisor confirmation
Supervisor confirmation
Supervisor confirmation

Supervisor confirmation

Continuous
Continuous
Continuous
Continuous
Effective tracking system

Cover Page
Index Page

SP

REQUIREMENT CATEGORIES

Special Processes

"'YES" /
"NO"

IF YOU HAVE ANSWERED "NO" TO ANY OF THE QUESTIONS BELOW IN CELLS C3, C4, OR C5,
PLEASE CLICK THE "NO" BUTTON FOR THAT LINE. THIS WILL ELIMINATE THE SPECIAL PROCESSES WORKSHEET
ATTACHED! THIS WILL REDUCE THE OVERALL SIZE OF THE WORKSHEET

"'YES" /
"NO"

Does this process require Heat Treat?


If "NO" Fill In and Then Click Button
If "YES" Fill in and Follow Directions Provided.

Heat Treat Services Provided [YES / NO]

Does this process require Plating?


If "NO" Fill In and Then Click Button
If "YES" Fill in and Follow Directions Provided.

Plating Services Provided [YES / NO]

Does this process require Coating?


If "NO" Fill In and Then Click Button
If "YES" Fill in and Follow Directions Provided.

Coating Services Provided [YES / NO]

Welding Services Provided [YES / NO]

Soldering Services Provided [YES / NO]

Does this process require Welding?


If "NO" Fill In and Then Click Button
If "YES" Fill in and Follow Directions Provided.
Does this process require Soldering?
If "NO" Fill In and Then Click Button
If "YES" Fill in and Follow Directions Provided.