Supplier Evaluation (QVR) Rev6 0112

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 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 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%
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
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.
Cover Page
Index Page
Q-1
1
2
3
Q-2
1
2
3
4
5
Q-3
2
3
Q-4
1
2

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 &
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)?
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
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.
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.
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
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
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?
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?
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?
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
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.
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?
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
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

Internal Audit
Corrective &
APQP
PPAP
Training Records
Final Inspection
Process Control
Supplier Control
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*
Note: Score in accordance with AIAG "Quality

System Assessment" manual unless otherwise
noted.

noted.

noted.

noted.

noted.
Cover Page
Index Page
D-1
2
3
4
5
6
7
8
9
10
D-2
1
2
3
Total
Points
Possible
M = Major
for a World
Class
Supplier

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.
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?
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

noted.
D-1
D-2

and Packaging
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

noted.
0
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?
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.
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

noted.
End
S-4
1
3
4
S-5
1
2
3
4
5
6
7
8

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?
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

noted.
End
S-1
S-2
S-3
S-4
S-5
Process/ Tool/ Die/ Jig/ Fixture/ Part Design Control

Housekeeping
Information systems
Support Section Total
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

noted.
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
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?
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.
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)
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

noted.
RED SCORE <7
RED SCORE <7
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

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
C-1
C-2
Total Points
Possible for
a World
Class
Supplier
Lean Manufacturing
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

noted.
SUPPLIER
ACTIONS
RESP
DUE

noted.
RED SCORE <7

0.00%
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
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

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
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
Cover Page
Index Page
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

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.
Cover Page
Index Page
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.
Cover Page
Index Page
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.
Cover Page
Index Page
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.
Cover Page
Index Page
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
Cover Page
Index Page
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.
Cover Page
Index Page
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
Cover Page
Index Page
Section 4 - Job Audit
Cover Page
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:
Specification:
Requirement: (3)
4.8.3
Test Method:
Specification:
Requirement: (4)
4.8.4
Test Method:
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
Cover Page
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
Requirement
Job (Shop) Order or

Requirement
Actual Condition
Pass / Fail
/ N/A
Cover Page
Index Page
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
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 #
1.0
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.

Cover Page
Index Page

Item # Related HTSA
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.
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

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

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

Cover Page
Index Page

Item # Related HTSA
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
requirement.
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
requirement.
Each lot or continuous

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.
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.

Cover Page
Index Page

A5.4
2.12
3.14HTSA
Item # Related
Question #
A5.5
2.12
3.14
A5.6
2.13
A5.7
2.11
- 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)

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.
Item #
Related
HTSA
Question #
1.0
B1.1
B1.2
3.1
3.7
3.1
3.7
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.
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
Instrument Calibration per AMS 2750D shall be
quarterly at a minimum.
Frequency reductions per AMS 2750D are not
allowed.

Item #
B2.3
Related
HTSA
Question #
3.2
3.3
Cover Page
Index Page
Batch
Furnace
Continuous
Furnace*
Generators
Salt Bath

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).

Item #
B2.6
3.0
B3.1
Related
HTSA
Question #
3.2
1.4
2.14
Infrared pyrometers shall be calibrated to a black

body furnace annually .
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

- 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

Item #
Related
HTSA
Question #
- 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
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.
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
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
- 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

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.
- Concentration
Washers
PROCESS TABLE C - Aluminum Heat Treating

*Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
Item #
Related
HTSA
Question #
1.0

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

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
3.2
3.3
Instrument Calibration per AMS 2750D shall be

quarterly at a minimum.
C2.3
3.2
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).
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.
Type K and N thermocouples shall be checked
quarterly for equipment operating below 760C (1400F)
and changed every two years at a minimum.

Item #
Related
HTSA
Question #
Cover Page
Index Page

and Aging Furnaces
Continuous Solution
Treating and Aging
Furnaces
Annealing
Furnace
Yes

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.
C2.4
3.4

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).
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.
C2.5
3.5
temperature shall be controlled with soak times starting
at the lower tolerance limit (as defined above).
Yes

Zone
-----
C2.6
3.5
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.
Each batch or continuous
systems satisfy the sign-off
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

Item #
C3.2
Related
HTSA
Question #
1.4
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

systems satisfy the sign-off
requirement.
Daily
- Daily visual check is
required.

Daily
- Daily visual check is
required.
-----
- Monitor every 2 hours

in the absence of an
alarm system.
change in the indexing
speed.
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

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.
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

- Concentration
- Suspended solids
curve, viscosity, or titration.
Water Quench Media
- Suspended solids
Washers
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

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
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
Per Coil

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

- 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.

requirements.
Cover Page
Index Page
Item #
D3.2
D3.3
Related HTSA
Question #
1.4
2.14
1.4
2.14
3.16
4.0
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
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.)
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.)
malfunction, etc.)
malfunction, etc.)

requirements.
Cover Page
Index Page
Item #
D4.8
Related HTSA
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
- Concentration
curve, viscosity, or titration
Water Quench Media
- Suspended solids
Gravity
- Suspended solids
- Concentration
Washers
- 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

Item # Related HTSA
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

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
-----
-----
-----
E1.7
3.2
Oxygen probe controllers shall be calibrated quarterly at

a minimum. This is applicable when used in controlling
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

Yes
Yes
Yes
E2.2
3.2
3.3
Instrument Calibration per AMS 2750D shall be quarterly

at a minimum.
Yes
Yes
Yes

Item # Related HTSA
Question #
3.2
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

Zone
-----
Yes

Zone
-----
Yes

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.
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.
E2.4
3.4

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).
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.
E2.5
3.0
3.5
continuous recording pyrometers. Furnace temperature
shall be controlled with soak times starting at the lower
tolerance limit (as defined above).

Item # Related HTSA
Question #
1.4
E3.1
2.14
Batch
Furnace
Each batch or
requirement.
Cover Page
Index Page
Continuous
Generators
Furnace *
Each lot or continuous Each Shift
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)**.
requirement.
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
Each batch

change in the belt
speed.
-----
E3.7
1.4
2.7
Monitor load size or fixturing or loading rate as

applicable.
Each batch

-----
E3.5
4.0
-----
-----
Continuous
-----
Daily
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
Each batch
Every 4 hours
-----
2x / week
2x / week
-----
Daily
Daily
-----

Each shift
Each shift
-----
5.0
SOLUTION TEST FREQUENCIES
E5.1
2.13
E5.2
2.11

- Concentration
Washers
Cover Page
CQI-11 PLATING SYSTEM ASSESSMENT

1

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.

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.
Example: May 3 -- 4, 2006.
Date of Previous Assessment: List the date of the previous CQI-11 Special Process: Plating
10
Type(s) of Plating at this Facility: Place a checkmark to designate the Plating process(es)
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.,
12
original assessment, then the plater shall address each item and determine correct action,
13
available, of the principal participants from the plater's organization.
14
15
16
17
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

Process Table D
Decorative Plating
Process Table E
Mechanical Plating
Process Table F
Equipment
Process Equipment
Name:
Title:
0
0
0
0
Auditors/Assessors:
Name:
Phone:
Email;
Phone:
Email:
0
0
0
0
Company:
0
0
0
0
Index Page
Special Process: Plating Process Assessment (General Facility Overview)

Cover Page
Index Page
Assessment
Question
Number
Question
Objective Evidence
N/A
Section 1 - Management Responsibility and Quality Planning

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?

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

(FMEA) procedure and ensure the FMEAs are
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

documented Control Plan procedure and ensure the
Control Plans are updated to reflect current controls.
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
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

Cover Page
Index Page
Assessment
Question
Number
Question
Objective Evidence
N/A
1.5

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
implementation of all customer and industry
engineering standards and specifications and
changes based on customer-required schedule.
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

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
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
accordance with customer requirements. Capability
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
steps to be followed in case capability indices fall
outside customer requirements or established
ranges.
Satisfactory
Not
Needs Immediate
Satisfactory
Action

Cover Page
Index Page
Assessment
Question
Number
Question
Objective Evidence
N/A
1.8
Does the plater collect and

analyze data over time, and
react to this data?

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

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 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

process for documenting, reviewing, and addressing
customer concerns and any other concerns internal
to the organization. A disciplined problem-solving
internal concerns?
approach shall be used.
1.13
to each process defined in
the scope of the assessment?
1.14

The Quality Manager or designee is responsible for
authorizing and documenting appropriate personnel
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
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

Cover Page
Index Page
Assessment
Question
Number
Question
Objective Evidence
N/A
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
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

1.18
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.

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

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

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

Is lot traceability and integrity lot(s). The descipline of precisely identifying lots and
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.
Satisfactory
Not
Needs Immediate
Satisfactory
Action

Cover Page
Index Page
Assessment
Question
Number
Question
Objective Evidence
N/A
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
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

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
2.7
Is part loading specified,

Loading parameters shall be specified, documented

and controlled. Examples include parts per rack and
load size.
2.8

material handling,
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

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

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

Process Tables?
Process control parameters shall be monitored per

frequencies specified in Process Tables. Computer
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

Cover Page
Index Page
Assessment
Question
Number
Question
Objective Evidence
N/A
2.14

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?

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?

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
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
Does plating line have

proper process control
equipment?
Refer to Process Table F for equipment

requirements.
4.2

A system shall be used by the plating

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

and implemented.
and implemented.
and implemented.
and implemented.
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 #

individuals?
1.2
1.3
1.4
1.17
N/A
Does the plater have the proper

part?
numbers, lot numbers, contract
numbers, etc.) maintained
throughout the plating process?
1.5
N/A
5.6
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.

requirements?
Requirement: Plate Thickness
Test Method:
Specification:
Requirement: Corrosion
Resistance
Test Method:
Specification:
Requirement: Hydrogen
Embrittlement Relief (if
Applicable)
Test Method:
Specification:
Requirement: Adhesion Test
Test Method:
Specification:
Requirement
Job (Shop) Order or Reference

Documentation Requirement
Actual Condition
Pass / Fail
/ 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.
Cover Page
Index Page
Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Material:
Question
#
5.8.5
Job Audit Question
Related
PSA Question #
Requirement: Alloy (if Applicable)
Test Method:
Specification:
Requirement: Torque Tension (if
5.8.6
Applicable)
Test Method:
Specification:
Requirement: Appearance
5.8.7
(Decorative)
Test Method:
Specification:
Requirement: S.T.E.P.
5.8.8
(Decorative)
Test Method:
Specification:
Requirement: Pore Count/Size
5.8.9
(Decorative)
Test Method:
Specification:
5.8.10 Requirement: Ductility by foil
(Decorative)
Test Method:
Specification:
5.8.11 Requirement: Internal Stress
(Decorative)
Test Method:
Specification:
5.8.12 Requirement:Thermal Cycle
(Decorative Plastic)
Test Method:
Specification:
5.9
signed off?
5.10
performed?
5.11
control plan?
1.4
2.2
2.3
2.11
1.2
1.4
1.2
1.4
1.6
Requirement

Actual Condition
Pass / Fail
/ N/A
Cover Page
Index Page
Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Material:
Question
#
Job Audit Question
5.12
If additional steps were

performed, were they authorized?
5.13

process performed?
Are the parts and containers free
of foreign objects or
contamination?
identified?
mixed parts (parts packed over
height of container)?
Were the parts properly
identified?
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
Requirement

Actual Condition
Pass / Fail
/ N/A
Cover Page
Assessor(s) shall have the following specific experience to conduct the PLATING SYSTEM ASSESSMENT:
1
2

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.
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

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
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

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
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
TDS
TDS
TDS
TDS
TDS
TDS
PROCESS TABLE B - Surface Conditioning of Metals for Decorative

Plating
Index Page
Cover Page
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
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
ITEM #
B4.5
Related PSA
Question #
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
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
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
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
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

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
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

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
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

When performing the job audit, the auditor shall verify plater is conforming to customer requirements.
ITEM #
Related PSA
Question #
1.0
Control
Monitoring
Automatic
1/Shift
Metal Cleaning (Off Line)
E1.1
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
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

When performing the job audit, the auditor shall verify plater is conforming to customer requirements.
ITEM #
E3.1
Related PSA
Question #
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

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

TDS
TDS
E4.1.4
3.2
- pH
Automatic or Manual

TDS
E4.1.5
- Drying Temperature
Automatic

TDS
E4.1.6
- Spin Speed
Automatic

TDS
- Agitation
Automatic or Manual

TDS
E4.1.7
PROCESS TABLE F - EQUIPMENT

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

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

1

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.

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 Previous Assessment: List the date of the previous CQI-12 Special Process: Coating
10
Type(s) of Coating at this Facility: Place a checkmark to designate the coating process(es)
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.,
12
original assessment, then the coater shall address each item and determine correct action,
13
available, of the principal participants from the coater's organization.
14
15
16
17
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:

Name:
Title:
0
0
0
0
Auditors/Assesors:
Name:
Phone:
Email:
Phone:
Email:
0
0
0
0
Company:
0
0
0
0
Index Page
Special Process: Coating System Assessment (General Facility Overview)
Cover Page
Index Page
Assessment
Question
Number
Question
Objective Evidence
N/A

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
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 procedure. A feasibility
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

(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
1.4

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
Cover Page
Index Page
Assessment
Question
Number
Question
Objective Evidence
N/A
1.5

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
implementation of all customer and industry
engineering standards and specifications and
changes based on customer-required schedule. This
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

processes?
1.7

acceptable product, the organization shall perform
product capability studies for the initial validation of
equipment, and after a major rebuild of any
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
accordance with customer requirements. Capability
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
steps to be followed in case capability indices fall
outside customer requirements or established
ranges.
1.8

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?

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

CSA. Concerns shall be addressed in a timely
manner.
Satisfactory
Not
Satisfactory
Needs
Immediate
Action
Cover Page
Index Page
Assessment
Question
Number
Question
Objective Evidence
N/A
1.10

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

customer concerns and any other concerns internal
to the organization. A disciplined problem-solving
internal concerns?
1.12
to each process defined in
the scope of the assessment?
1.13

The Quality Manager or designee is responsible for
authorizing and documenting appropriate personnel
to disposition quarantine material.
quarantine status?
1.14

available to coating personnel covering the coating
process. These procedures or work instructions shall
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
employee training for
coating?

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

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
Cover Page
Index Page
Assessment
Question
Number
Question
Objective Evidence
N/A
1.17
1.18

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?

shipping documents?

2.2

coating process?

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

Is lot traceability and integrity lot(s).
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

prevent movement of nonconforming product into the
production system?

necessary to prevent inadvertent shipment or
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

Containers handling customer product shall be free of

inappropriate material. After emptying and before reusing containers, containers shall be inspected to
that no nonconforming coated parts or inappropriate
2.7

2.1

load size.
Satisfactory
Not
Satisfactory
Needs
Immediate
Action
Cover Page
Index Page
Assessment
Question
Number
Question
Objective Evidence
N/A
2.8

material handling,
failure?
Unplanned or emergency downtime greatly raises the

risk of improper processing. Operators shall be
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

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

housekeeping, environmental
improved quality?

and improving quality. The coater should evaluate
such conditions and their effect on quality. A
executed. The facility shall be reviewed for the
tanks; overall plant lighting; fumes etc.
2.11
Are process control

Process Tables?

floor person shall verify the process parameters, e.g.,
by initialing a strip chart or data log.
2.12
Are out of
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


performed as specified in Process Tables. Refer to
Process Tables
2.14

verified?

Satisfactory
Not
Satisfactory
Needs
Immediate
Action
Cover Page
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

individuals?
1.1
1.2
1.3
1.4
1.6
3.2
Does the Coater have the proper

part?
1.5
3.3

1.6
2.1
3.4

numbers, etc.) maintained
throughout the coating process?
2.2
2.3
2.4
3.5

2.1
3.6

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

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:
Specification:
Requirement: Corrosion
Resistance (if applicable).
Test Method(s):
Specification:
Requirement: Hydrogen
Embrittlement Relief (if applicable)
Test Method:
Specification:
Requirement: Adhesion
Test Method(s):
Specification:
Requirement: Cure
Test Method:
Requirement
Job (Shop) Order or

Requirement
Actual Condition
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
Index Page
Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Question #
Job Audit Question
Related
CSA Question #
Specification
Requirement: Torque Tension (if
3.8.6
applicable)
Test Method:
Specification:
Requirement: Appearance
3.8.7
(Decorative)
Test Method:
Specification
Requirement: Dimensional (if
3.8.8
applicable)
Test Method:
Specification:
Requirement: Color and Gloss
3.8.9
(Decorative)
Test Method:
Specification:
3.8.10
Requirement: Customer Specific
Test Method(s):
Specification:
3.9

signed off?
1.4
1.6
2.2
2.3
2.11
3.10

performed?
1.2
1.4
3.11

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

process performed?
2.11
2.13
3.15
3.16

Are the parts and containers free of
inappropriate objects or
contamination?
3.17

identified?
3.18

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
Requirement
Job (Shop) Order or

Requirement
Actual Condition
Pass /
Fail / N/A
Cover Page
Index Page
Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Question #
3.19
3.20
Job Audit Question

Were the parts properly identified?
labeled?
Related
CSA Question #
2.3
2.9
2.3
2.9
Requirement
Job (Shop) Order or

Requirement
Actual Condition
Pass /
Fail / N/A
Cover Page
Assessor(s) shall have the following specific experience to conduct the COATING SYSTEM ASSESSMENT:
1
2

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.
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

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
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

(1/shift minimum)
Time
Automatic/Manual

(1/shift minimum)
Chemical Concentration
Automatic/Manual

(1/shift minimum)
Impurity Content (e.g. acid split)
Manual

(1/shift minimum)
There is a dump schedule for cleaning baths.
Manual
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

during production:
A3.2
1.4
2.11
2.12
Pressure/Agitation
Automatic/Manual

(1/shift minimum)
A3.3
1.4
2.11
2.12
Temperature
Automatic/Manual

(1/shift minimum)
PROCESS TABLE A - Pretreatment (Aqueous)

Cover Page
Index Page

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
Time
Impurity Concentration
Control
Monitoring
Automatic/Manual

(1/shift minimum)
Manual

(1/shift minimum)
Automatic/Manual

(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
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

(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

(1/shift minimum)
A3.10
1.4
2.11
For Metals -- Corrosion inhibitor concentration

is checked. (If applicable)
Automatic/Manual

(1/shift minimum)
PROCESS TABLE B - Pretreatment (Mechanical)

Cover Page
Index Page

performing the job audit, the auditor shall verify coater is conforming to customer requirements.
Item #
Related
CSA
Question #
1.0
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

B1.5
1.4
1.6
2.11
2.12
Dwell time
Automatic/Manual

B1.6
1.4
2.11
2.12
Dust collector efficiency/air flow
Automatic

B1.7
1.4
2.11
2.12
Working mix
Automatic/Manual

PROCESS TABLE B - Pretreatment (Mechanical)

Cover Page
Index Page

Item #
Related
CSA
Question #
B1.8
1.4
2.11
B1.9
1.4
2.11
2.13
Control
Monitoring
Surface cleanliness is checked after process.
Manual

Surface profile is checked after process (if

applicable).
Manual
Per lot
PROCESS TABLE C - Pretreatment (Phosphating)

Cover Page
Index Page

Item #
Related
CSA Question #
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

during production:
C2.2
1.4
2.11
2.12
Pressure/Agitation
Automatic/Manual

C2.3
1.4
1.6
2.11
2.12
Time
Automatic/Manual

C2.4
1.4
2.11
2.12
Automatic/Manual

C2.5
2.11
There is a dump schedule for rinse

conditioner.
Manual
Per Chemical
Manufacturer's Guideline
3.0
Conversion Coating Bath

Cover Page
Index Page

Item #
Related
CSA Question #
C3.1
2.11

during production:
C3.2
1.4
2.11
2.12
C3.3
Control
Monitoring
Pressure/Agitation
Automatic/Manual

1.4
2.11
2.12
Temperature
Automatic/Manual

C3.4
1.4
1.6
2.11
2.12
Time
Automatic/Manual

C3.5
1.4
2.11
2.12
Chemical Concentration (Free Acid, Total

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

C3.6
1.4
2.11
2.12
Fluoride Ion Concentration (if aluminum is

being coated)
Automatic/Manual

C3.7
1.4
1.6
2.11
2.12
Coating Weight
Manual

C3.8
1.4
2.11
2.12
Crystal Size (If applicable)
Manual
Per customer requirement
4.0
Rinse After Phosphate

Cover Page
Index Page

Item #
Related
CSA Question #
C4.1
2.11

during production:
C4.2
1.4
2.11
2.12
Impurity Concentration (e.g. Titration,

Conductivity)
C4.3
1.4
2.11
2.12
Control
Monitoring
Manual

Pressure/Agitation
Automatic/Manual

C4.4
1.4
1.6
2.11
2.12
Time
Automatic/Manual

C4.5
2.11
There is a dump schedule for rinses
Manual
Per Chemical
5.0
Seal Rinse
C5.1
2.11

during production:
C5.2
1.4
2.11
2.12
Pressure/Agitation
Automatic/Manual

C5.3
1.4
1.6
2.11
2.12
Time
Automatic/Manual


Cover Page
Index Page

Item #
Related
CSA Question #
C5.4
1.4
2.11
2.12
C5.5
C5.6
Control
Monitoring
Automatic/Manual

1.4
2.11
2.12
Temperature (If applicable)
Automatic/Manual

2.11
There is a dump schedule for seal rinse.
Manual
Per Chemical
Automatic

Visual
Each Lot
6.0
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

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

Sheet (1 per hour)
1.4
2.11
2.12
The temperature of parts entering the coating booth is monitored.
Automatic/Manual

Automatic

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

The air dryer and filter are on main compressed air line.
Automatic/Manual

The booth temperature and humidity are checked.
Manual

The air balance in the powder booth is checked.
Manual

Sheet (1/day minimum)
The rotary seive is clean and operational.
Automatic/Manual

The powder flow on seive is monitored.
Automatic/Manual

The vent assist air pressure is checked.
Manual

The vent on feed hopper is checked.
Manual

The reclaim seive is operating properly.
Manual

All guns are operational and in good repair.
Manual

2.0
D2.1
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

Sheet (1/day minimum)
D2.15
1.4
2.11
2.12
The virgin/reclaim ratio is checked. (feed pressure)
Manual

Cover Page
PROCESS TABLE D - Powder
Index Page

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
Control
Monitoring
The static pressure gauges on primary and final filters are

checked.
Manual

Appearance of parts exiting booth is checked.
Manual

Sheet (1 per hour)
The powder supply and atomizing air pressure are checked.
Manual

Cure (See Convective Cure Process Table I)
Cover Page
PROCESS TABLE E - Electrocoat
Index Page

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

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

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

voltage) are checked and adjusted.
Automatic/Manual

Sheet
Line speed setup is checked.
Automatic/Manual

Sheet
Manual
Once/week minimum
There is circulation and it is monitored. (flow meter, pressure

gage)
Automatic/Manual

Bag filter pressures are monitored. Bags changed when psi

differential. >5-10 PSI.
Automatic/Manual

Flow direction is checked (for monorail system).
Manual

Flow over the weir is checked.
Manual
Per Control Plan (1/shift

minimum)
Bath is checked for microbial contamination.
Manual

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.

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

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

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

Sheet 1 / week
The pH of the anolyte solution has been checked.
Automatic/Manual

Sheet (1 per shift)
Manual

Sheet (1 per six months)
Automatic/Manual

Manual

Sheet
Automatic/Manual

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

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

There is sufficient permeate supplied to the rinse.
Automatic/Manual

The pH and conductivity of the rinse have been recorded.
Manual

There is microbial testing of rinses.
Manual

supplier
Automatic/Manual

Manual

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.

Cover Page
PROCESS TABLE F - Spray
Index Page

Item #
Related
CSA Question #
1.0
Control
Monitoring
Manual

(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

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

and documented.
Manual

Recommendation
Viscosity and temperature are in operational limits and

documented.
Manual

Sheet/Paint Manufacturer
Recommendation
The proper filter size and type are in place.
Manual

Recommendation
Pump pressures are set within operational limits.
Manual

Recommendation
Circulation (flow meter, pressure gage) is monitored.
Automatic/Manual
Bag filter pressures are monitored (bags are changed when psi
differential >5-10 PSI).
Automatic/Manual
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
Index Page

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

(1/shift minimum)
Automatic

1 / week
Manual

1 / week
Automatic/Manual

(1/shift minimum)
Manual
Per control plan and

customer requirements
Automatic/Manual

(1 per month minimum)
Manual

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

(1/shift minimum)
Atomizer parameters (fluid flow, air pressures (atomizing fan,

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

Manual

suppliers recommendations
Set point is at suppliers recommended time, temperature and

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

supplier
Percent solids after pre-dry is at the suppliers recommended

percentage.
Manual

(1/shift minimum)
The pre-dry oven is maintained.
Manual

supplier
Primer/Promoter
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.

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
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
Index Page

Item #
Related
CSA Question #
Control
Monitoring
Manual

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

(1/shift minimum)

limits.
Automatic/Manual

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
and contamination.
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

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
Control
Monitoring
Manual

(each lot)
Automatic/Manual

(1/shift minimum)
Manual

(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

(3/shift minimum)
G2.10
1.4
2.11
2.12
Viscosity.
Manual

(3/shift minimum)
G2.11
1.4
2.11
2.12
% Solids (by weight).
Manual

(1/Day minimum)
G2.12
1.4
2.11
2.12
Volume (paint depth in coating vat).
Automatic/Manual

(3/shift minimum)
G2.13
1.4
2.11
2.12
Vibratory feed tables are cleaned (if used).
Manual

(as needed)
Cover Page
Index Page

Item #
Related
CSA Question #
G2.14
1.17
1.4
2.11
2.12
Control
Monitoring
Basket condition (basket mesh clean and

undamaged).
Manual

(as needed)
G2.15
1.4
2.11
2.12
Paint and/or solvent additions are documented.
Manual

(each addition)
G2.16
2.10
Viscosity cups are cleaned after each use.
Manual

(each check)
Viscosity cups are verified.
Manual
2/Month minimum
Thermometers are calibrated/verified.
Manual
Once/Month minimum
Automatic/Manual

(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

(each lot)
G3.3
1.4
1.6
Dip time is controlled.
Automatic/Manual

(each lot)
G3.4
1.4
1.6
Spin speed (RPM) is controlled.
Automatic/Manual

(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

(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

(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

(each lot)
G3.11
2.10
Vibratory feed tables are cleaned (if used).
Manual

(as needed)
Cover Page
Index Page

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
Control
Monitoring
Automatic/Manual

(each lot)
Manual
Per Control Plan (each lot)
PROCESS TABLE H - Autophoretic
Cover Page
Index Page

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
Control
Monitoring
Mixer speed and direction are monitored and

adjusted.
Automatic/Manual

(1/shift minimum)
Time (hoist program) is verified.
Automatic/Manual

(1/day minimum)
Conveyor speed is verified (if applicable).
Manual
Annually or after repair
Temperature is monitored and controlled.
Automatic

(1/shift minimum)
Humidity level is monitored.
Automatic/Manual

(1/shift minimum)
101 (fluoride) and ORP levels are checked.
Automatic/Manual

(every 2 hours minimum)
Chemical concentration (% solids, starter/iron

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

(1/shift minimum)
Coating Bath
Manual
Per PM schedule
(1/year minimum)
Pump pressure or agitator speed is monitored.
Automatic/Manual

(1/shift minimum)
Impurity concentration (conductivity) is checked.
Automatic/Manual

(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

(1/shift minimum)
H3.2
1.4
2.11
2.12
Pump pressure or agitator speed is monitored.
Automatic/Manual

(1/shift minimum)
Temperature is monitored and controlled (if

applicable).
Automatic/Manual

(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.
PROCESS TABLE I - Convective Cure
Cover Page
Index Page

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
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
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
I1.9
2.13
Final color is monitored.
Manual

(1/shift or color change minimum)
I1.10
2.13
Film thickness/coating weight is monitored.
Manual

I1.11
2.13
Gaugeability is checked (if applicable).
Manual
Per customer requirements
I1.12
2.13
Paint adhesion is monitored.
Manual

PROCESS TABLE J - EQUIPMENT
Cover Page
Index Page

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

1

in the same general area. If there is a separate management team (Quality Manager and Welding

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 Previous Assessment: List the date of the previous CQI-15 Special Process: Welding
10
Type(s) of Welding at this Facility: Place a checkmark to designate the welding process(es)
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.,
12
original assessment, then the wleder shall address each item and determine correct action,
13
available, of the principal participants from the welder's organization.
14
15
16
17
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:
Current Quality Certification(s)

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
Section 1 - Management Responsibility & Qua
1.1
1.2
1.3

qualified technical welding
person on-site?

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.

Is there a responsibility matrix identifying all key management and supervisory functions
and the qualified personnel who may perform such
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
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 shall be documented.
Are welding FMEA's up to

processing?

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
defined, and addressed in the FMEA.
1.8
1.9

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
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
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
1.10

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

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

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
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
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.
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.
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?
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
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.

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
pertinent information to them enhances the ability to do
processes?
root cause analysis and continual improvement.
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.

inappropriate material and
contaminants?

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

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?

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

working conditions shall be conducive to controlling and
improving quality. The welding organization shall evaluate
housekeeping, environmental such conditions and their effect on quality. A
executed. The facility shall be reviewed for conditions that
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.
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

review and react to out of
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

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
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
Cover Page
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
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

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:
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:
Specification:
6.20.4
Test Type:
Test Method:
Specification:
Cover Page
Index Page
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
Requirement
Job (Shop) Order or

Requirement
Actual Condition
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
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.
A- Arc Welding Processes
Cover Page
Index Page
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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
conforming to the customer's requirements.
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
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
E B- Resistance Welding Processes
Index Page
Cover Page
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
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.
audit, the auditor shall verify welding is conforming to the customer's requirements.
Item #
Related WSA
Question #
3.0
1.7, 1.8
Nd YAG
(LBW)
Welding specific essential variables which shall be

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
X
X
X
X
X
X
X
X
X
es
Index Page
Cover Page
. All rights are preserved by AIAG, and content may not be altered
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
shall verify welding is conforming to the customer's requirements.
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
Inertia
Friction
Welding
(FRW-I)
Welding specific essential variables which shall be

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.
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

1

in the same general area. If there is a separate management team (Quality Manager and Soldering

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 Previous Assessment: List the date of the previous CQI-17 Special Process: Soldering
10
Type(s) of Soldering at this Facility: Place a checkmark to designate the soldering process(es)
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.,
12
original assessment, then the solderer shall address each item and determine correct action,
13
available, of the principal participants from the solderer's organization.
14
15
16
17
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 -
Process Table F Process Table G Process Table H Process Table I Process Table J -
Current Quality Certification(s)

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
Section 1 - Management Responsibility and Qu
1.1
1.2

dedicated and qualified soldering expert on site. This
individual shall be a full-time employee and the
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

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 shall be
documented.
1.3
1.4
Are soldering FMEA's up to

processing?

(FMEA) procedure and ensure the FMEA's are
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
customers, shall be identified, defined, and

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

example: IPC, SAE, AIAG,
ASTM, General Motors,
Honda, Ford, and Chrysler.
1.5
1.6

processes?

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
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.

acceptable product the organization shall perform
process capability studies for the initial validation of
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

and after process equipment
has been relocated, or had a
major rebuild?
1.8

Does the solder organization
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

being completed on an annual
basis, at a minimum, using
SSA.
AIAG SSA?
1.11

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

customer concerns and any other concerns internal to
the organization. A disciplined problem-solving
internal concerns?
1.13
The solder organization shall define a process for

continual improvement for each solder process
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

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

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
employee training for
soldering?

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.

Is there a responsibility matrix identifying all key management and supervisory
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
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, 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
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

shipping documents?


manufacturing soldering
process?

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

processes?

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.

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.


inappropriate material. After emptying and before reusing containers, containers shall be inspected to
that no nonconforming soldered parts or inappropriate


load size.

material handling,
failure?
Unplanned or emergency downtime greatly raises the

risk of improper processing. Operators shall be
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

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

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
and executed. The facility shall be reviewed for the
improved quality?
tanks; overall plant lighting; fumes, temperature and
humidity controlled per customer expectation.
2.11
Are process control

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
there documented evidence that reaction plans are
reacted to?
followed?
2.7
2.8

floor person shall verify the process parameters, e.g.,
by initialing a strip chart or data log.
2.13
2.14


verified?

performed as specified for critical/function
characteristics identified in Process Tables. Refer to
Process Tables.
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
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
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

3.3
Are PCB magazines, screen

printer stencils, solder
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

preheating zones for wave
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
N/A
Satisfactory
Not Satisfactory
Needs Immediate
Action
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

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
1.6
2.1
4.4

numbers, etc.) and process
sequencing (repair, rework, etc.)
traceable to the part throughout
the soldering process?
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
Requirement
4.8

requirements?
2.13
Functional?
Dimensional?
Acceptability?
4.8.1
Requirement: Functional Test

Test Method:
Specification:
4.8.2
Requirement: Dimensional
Requirements
Test Method:
Specification:
4.8.3
Requirement: Environmental Test
Test Method:
Specification:
4.8.4
Requirement: Illumination Test
Test Method:
Specification:
4.8.5
Requirement: In-Circuit Test
Test Method:
Specification:
4.8.6
Requirement: Conformal Coating
Conformation
Test Method:
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:
Specification:
4.8.8
Requirement:
Test Method:
Specification:
4.8.9
Requirement:
Test Method:
Specification:
4.8.10 Requirement:
Test Method:
Specification:
4.8.11 Requirement:
Test Method:
Specification:
4.8.12 Requirement:
Test Method:
Specification:
4.9

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

performed?
1.2
1.4
4.12

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

process performed?
2.11
2.13
4.15

1.17
4.16
Are the parts and containers free

of foreign objects or
contamination?
2.6
4.17

identified?
mixed parts (parts packed over
height of container)?
2.9
4.18
4.19
4.20
Were the parts properly

identified?
labeled?
2.9
2.3
2.3
2.9
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.

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
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.
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
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
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
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
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
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
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
ITEM #
1.0
1.1
1.1.1
Related
SSA
Question
1.4
2.11
Post Print Inspection
2.12
Manual
1.15, 1.16 Proper Operator training
Control
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:
2.2.2
Boundary Sample (e.g., orientation, polarity, skew

angle, off-centered, raised, and part present)
Good and Bad
2.2.3
Per IPC A 610
2.2.4
Per IES (Illumination

Engineering Standard)
2.2.5
Per control plan
Proper ESD protection (work surface and operator)
Per ANSI S20.20
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
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
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
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
3.3.12

angle, off-centered, raised, and part present)
Good and Bad
3.3.13
Per IPC A 610
3.3.14

Per control plan
3.3.15
2.11
2.13
3.3.16
3.9
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
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
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
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
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
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
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
4.3.12

angle, off-centered, raised, and part present) as
needed.
Good and Bad
4.3.13
Per IPC A 610 or

organizations internal
requirements

or organizations
internal requirements
Per control plan
4.3.14
4.3.15
2.13
4.3.16
3.9
4.3.17
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
Cover Page
on
Index Page
d in part or whole to anyone within your organization or to another company.

nts.
Monitoring
Annual Certification
Calibration Certification
Set-up
Check-sheet
Continuous
Continuous
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Per Control Plan
Auditor Notes
Per Control Plan

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
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
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
ITEM #
1.0
1.1
1.1.1
1.1.2
Related
SSA
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
Control plan
6.2
2.8
Control plan
6.3
2.8
Control plan
6.4
2.8
Control plan
6.5
2.8
In Process Delay Reaction Plan
Control plan
6.6
1.11
Based on IPC-7711,
7721
ce Placement
Cover Page
Index Page

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
ITEM #
1.0
1.1
Related
SSA
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
Control plan
6.2
2.8
Control plan
6.3
2.8
Control plan
6.4
2.8
Control plan
6.5
2.8
6.6
1.11
Control plan
Based on IPC-7711,
7721
Cover Page
g Process
Index Page

nts.
Monitoring
Continuous
Continuous
Continuous
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
ITEM #
1.0
Related
SSA
Question
Glue:
1.4
2.11
Supplier:
2.12
Size, Volume, Container:
Control
1.1
Correct Material
Bar Code or Manual
1.2
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
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
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
Automatic
2.7.2
PWB Securing
Automatic
PM schedule
2.7.3
1.18

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
Control plan
5.2
2.8
Control plan
5.3
2.8
Control plan
5.4
2.8
Control plan
5.5
2.8
5.6
1.11
Control plan
Based on IPC-7711,
7721
Cover Page
nsing
Index Page

nts.
Monitoring
Every Container
Every Container
Every Container
Every Container
Continuous
Every Piece
Every Piece
Continuous
Every Piece
Every Piece
Every Change Over
Cycle
Per Control Plan
Continuous
Auditor Notes
Every Piece
Every Piece

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
shall verify Soldering Organization is conforming to customer requirements.
ITEM #
Related
SSA
Question
1.0
1.4
2.11
2.12
1.1
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
Actual Bare Board

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
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
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

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
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
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
Actual Board
3.3.5
Sponge Replacement Frequency
Control Plan
4.0
1.4
2.11
2.12
4.1
4.2
Correct Orientation
4.3
4.4
4.5
4.6
Loading (Integrated/Stand alone)
Correct Spacing
3.9
ESD Control
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
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
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
Control plan
7.2
2.8
Control plan
7.3
2.8
Control plan
7.4
2.8
Control plan
7.5
2.8
Control plan
7.6
1.11
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
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
Auditor Notes

For process initial set-up or
process troubleshooting
only
Continous
Continuous
Control Plan
Per Control Plan
Continuous / Check sheet
Per Control Plan
100%
100%
100%
100%
Continous
100%
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
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are registered ser
ITEM #
1.0
1.1
Related
SSA
Question
1.4
2.11
Pre-Heat Equipment
2.12
3.4
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
Automatic
1.3.3
Automatic
1.3
1.4
Conveyer
1.4.1
Per set-up
1.4.2
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
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

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
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 Spec
5.0
1.4
2.11
2.12
5.1
2.8
Control plan
5.2
2.8
Control plan
5.3
2.8
Control plan
5.4
2.8
Control plan
5.5
2.8
5.6
1.11
Control plan
Based on IPC-7711,
7721
ring Process
Cover Page
Index Page
in part or whole to anyone within your organization or to another company.

ts.
Monitoring
Continuous
Continuous
Continuous
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
ITEM #
1.0
1.1
Related
SSA
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
Automatic
1.3.5.3
Automatic
1.3.6
1.3.7
1.3.8
Conveyer in-feed cover
Per set-up
Plan
In place
1.3.9
Per control plan
1.3.4
1.3.5
1.4
1.18
1.4.1
M.O.L.E. / Surveyor
Per control plan
1.4.2
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

1.6
1.9
2.0
2.1
3.0
3.1
3.2
Correct Spacing between Boards

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
3.3
Per ANSI S20.20

Operator Training
Cooling/Ion Blowers
3.3.1
3.3.2
ESD Control
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
Per spec/set-up
Blower Operation indicator
Per control plan
3.4.1
Per control plan
3.4.2
Per control plan
3.4.3
Correct loading sequence (top down)
Per control plan
3.4.4
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
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
Control plan
6.2
2.8
Control plan
6.3
2.8
Control plan
6.4
2.8
Control plan
6.5
2.8
6.6
1.11
Control plan
Based on IPC-7711,
7721
Cover Page
g Process
Index Page

nts.
Monitoring
Continuous
Continuous
Continuous
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
1.1
Related
SSA
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
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
Automatic
1.3.5.3
Automatic
1.3.6
1.3.8
Per set-up
Plan
Plan
In place
1.3.7
Conveyer index speed control
1.3.9
Per control plan
Conveyer Vertical Index Distance (if movable)
Per machine spec
Conveyer Dwell Time
1.6
1.4
1.4.1
M.O.L.E. / Surveyor
Per control plan
1.4.2
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
Automatic
ESD Control
Per ANSI S20.20

Proper equipment
cleaning
Per equipment
specification

1.6
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
Operator Training
2.3
1.15, 1.16 Correct Spacing between Boards
Automatic/operator
training
2.4
Operator Training
2.5
3.0
3.1
3.2

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
3.3
In place
1.6
3.3.3
3.4
Filters presence
Per control plan
Per spec/set-up
Per control plan
3.4.1
Per control plan
3.4.2
Per control plan
3.4.3
Per control plan
3.4.4
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
4.3
1.6
Component Spec
Component Spec
4.4
5.0

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
Per IPC-TM-650,

Control plan
2.8
Control plan
6.3
2.8
Control plan
6.4
2.8
Control plan
6.5
2.8
6.6
1.11
Control plan
Based on IPC-7711,
7721
Cover Page
ng Process
Index Page

nts.
Monitoring
Continuous
Continuous
Continuous
Continuous
Flow Meter
Continuous
Per control plan
Continuous
Continuous
Continuous
Continuous
Set-up Sheet
Per control plan
Per control plan
Set-up Sheet
Continuous
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
results
100%
Changeover/profile
modification
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
PROCESS TABLE J - Dip Soldering Process
1.1
Related
SSA
Question
1.4
2.11
Dip Solder Equipment
2.12
1.2
1.3
Dip Soldering Machine
ITEM #
1.0
Control
1.3.1
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
Automatic
1.3.5.3
Automatic
1.3.6
1.3.7
Conveyer index speed control
1.3.8
Conveyer Dwell Time
1.3.9
Per set-up
Plan
Plan
Per control plan
1.3.10
Conveyer Vertical Index Distance (if movable)
Per machine spec
1.4
1.4.1
M.O.L.E. / Surveyor
Per control plan
1.4.2
1.5.1
Solder circulation pump (if used)
Per control plan
1.5.2
Automatic
ESD Control
Per ANSI S20.20

Proper equipment
cleaning
1.6
1.7
3.9
1.8
1.6
1.9
2.0
2.1
1.4
2.11
2.12
3.9
Per equipment
specification
Dross Removal Frequency from Solder Pot (if

required)
Per control plan
Transferring
ESD Control
Per ANSI S20.20
2.2
Operator Training
2.3
1.15, 1.16 Correct Spacing between Boards
Automatic/operator
training
2.4
Operator Training
2.5
3.0
3.1
3.2

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
3.3
In place
1.6
3.3.3
3.4
Filters presence
Per control plan
Per spec/set-up
Per control plan
3.4.1
Per control plan
3.4.2
Per control plan
3.4.3
Per control plan
3.4.4
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

temperature
4.3
1.6
4.4
5.0
1.4
2.11
2.12
Warpage Control
Component Spec
Component Spec
5.1
Per IPC-TM-650,
6.0
1.4
2.11
2.12
6.1
2.8
Control plan
6.2
2.8
Control plan
6.3
2.8
Control plan
6.4
2.8
Control plan
6.5
2.8
6.6
1.11
Control plan
Based on IPC-7711,
7721
Cover Page
Process
Index Page

nts.
Monitoring
Continuous
Continuous
Continuous
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
results
100%
Changeover/profile
modification
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
PROCESS TABLE K - Selective Soldering Process
1.1
Related
SSA
Question
1.4
2.11
Equipment
2.12
1.2
1.3
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
Automatic
1.5.3
Automatic
1.5.4
Automatic
1.6
Conveyers
1.6.1
Width control
1.6.2
Speed control
1.6.3
Infeed cover
Per set-up
Plan
In place
1.6.4
Finger Cleaner
Per control plan
1.7
M.O.L.E. / Surveyor
1.7.1
1.7.2
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
Control
1.11
1.6
1.12
2.0
1.4
2.11
2.12
2.1
Per equipment
specification
Dross Removal Frequency
Per control plan
Loading
Correct Orientation
Automatic/operator
training
Operator Training
2.2
2.3
1.15, 1.16 Correct Spacing
2.4
Operator Training
3.1

1.4
2.11
Unloading
2.12
3.9
ESD Control
3.2
Operator Training
3.0
Automatic/operator
training
Per ANSI S20.20
3.3
Cooling/Ion Blowers
3.3.1
Filters presence
Per control plan
Per spec/set-up
3.3.3
Per control plan
3.4
3.4.1
Per control plan
3.4.2
Per control plan
3.4.3
Per control plan
3.4.4
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

temperature
4.3
1.6
4.4
5.0
5.1
1.4
2.11
2.12
Component Spec
Component Spec
Warpage Control
Per IPC-TM-650,
6.0
1.4
2.11
2.12
6.1
2.8
Control plan
6.2
2.8
Control plan
6.3
2.8
Control plan
6.4
2.8
Control plan
6.5
2.8
6.6
1.11
Control plan
Based on IPC-7711,
7721
Cover Page
ng Process
Index Page

nts.
Monitoring
Continuous
Continuous
Continuous
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
results
100%
Changeover/profile
modification
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
PROCESS TABLE L - Automated Iron Soldering Process
ITEM #
1.0
Related
SSA
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

Plan
1.3.3
Infeed cover
In place
1.4
Soldering Iron
1.4.1
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
Automatic
1.6.3
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
Operator Training
3.3
1.15, 1.16 Correct Spacing
Automatic/operator
training
3.4
Operator Training
4.0
1.4
2.11
2.12
4.1
3.9
4.2
Unloading
ESD Control
Per ANSI S20.20

Operator Training
4.3
Cooling/Ion Blowers
4..3.1
Filters presence
Per control plan
Per spec/set-up
4.3.2
1.6
4.3.3
Per control plan
4.4
Per product spec
4.4.1
Per control plan
4.4.2
Per control plan
4.4.3
Per control plan
4.4.4
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
Component Spec
6.0
1.4
2.11
2.12
Warpage Control
(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
Control plan
7.2
2.8
Control plan
7.3
2.8
Control plan
7.4
2.8
Control plan
7.5
2.8
Control plan
7.6
1.11
Based on IPC-7711,
7721
ering Process
Cover Page
Index Page

nts.
Monitoring
Per control plan

Continuous
Continuous
Continuous
Per control plan
Per control plan
Continuous
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
ITEM #
1.0
Related
SSA
Question
1.4
2.11
Equipment
2.12
Control
1.1
Flux Application (if used) See Process Table F
1.2
1.3
Soldering Iron
1.3.1
Correct Temperature
1.3.2
Heating element
Proper PM
1.3.3
1.6
Per specification
1.3.4
1.6
Per specification
1.3.5
Iron tip cleaner
Per control plan
1.3.6
Proper PM
1.3.7
Iron tip cleaner
Per control plan
1.4
Solder
1.4.1
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

customer agreement
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
Per ANSI S20.20

Operator Training
3.3
Ionizers
3.3.1
Filters presence
Per control plan
Per spec/set-up
3.3.3
Per control plan
3.3.4
Proper maintenance
Proper PM
Per product spec
3.4.1
Per control plan
3.4.2
Per control plan
3.4.3
Per control plan
3.4.4
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
Component Spec
5.0
1.4
2.11
2.12
Warpage Control
5.1
Per IPC-TM-650,
Section 2.4.22
6.0
1.4
2.11
2.12
6.1
2.8
Control plan
6.2
2.8
Control plan
6.3
2.8
Control plan
6.4
2.8
Control plan
6.5
2.8
Control plan
6.6
1.11
Based on IPC-7711,
7721
ring Process
Cover Page
Index Page

nts.
Monitoring
Continuous
Per control plan
Per control plan
Continuous
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
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
ITEM #
1.0
Related
SSA
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
Per set-up
1.3.2

Plan
1.3.3
In place
1.4
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
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
Per ANSI S20.20

Operator Training
4.3
Cooling/Ionizer Blower
4.3.1
Filters presence
Per control plan
Per spec/set-up
4.3.3
Per control plan
4.3.4
Proper maintenance
Proper PM
Per product spec
4.4.1
Per control plan
4.4.2
Per control plan
4.4.3
Per control plan
4.4.4
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
5.1
1.6
Component Spec
5.2
1.6
Component Spec
6.0
1.4
2.11
2.12
6.1
2.8
Control plan
6.2
2.8
Control plan
6.3
2.8
Control plan
6.4
2.8
Control plan
6.5
2.8
Control plan
6.6
1.11
Based on IPC-7711,
7721
dering Process
Cover Page
Index Page

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
Per Changeover
Continuous
Continuous
Continuous
Continuous
Per Control Plan
Design Review
Design Review
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
PROCESS TABLE O - Induction
ITEM #
1.0
Related
SSA
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
Per ANSI S20.20

Operator Training
6.3
Cooling/Ionizer Blower
6.3.1
Filters presence
Per control plan
Per spec/set-up
Per control plan
6.3.2
1.6
6.3.3
6.3.4
1.18
Proper maintenance
Proper PM
6.4
1.6
Per product spec
6.4.1
Per control plan
6.4.2
Per control plan
6.4.3
Per control plan
6.4.4
Per control plan
6.5
Pallet Cleaning
Per control plan
7.0
1.4
2.11
2.12
7.1
1.6
Component Spec
7.2
1.6
Component Spec
8.0
1.4
2.11
2.12
8.1
2.8
Control plan
8.2
2.8
Control plan
8.3
2.8
Control plan
8.4
2.8
Control plan
8.5
2.8
Control plan
8.6
1.11
Based on IPC-7711,
7721
Cover Page
on
Index Page

nts.
Monitoring
Start-up and changeover

Continuous
Continuous

Continuous
Continuous
Once per Day
Continuous
Once per Day
Once per Day
Auditor Notes

Per Control Plan

Per Control Plan
Continuous
Continuous
Per Preventative
Maintenance
Daily Check Sheet
Daily Check Sheet
Per Changeover
Continuous
Continuous
Continuous
Continuous
Per Control Plan
Design Review
Design Review
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
PROCESS TABLE P - Conformal Coating
ITEM #
1.0
2.0
Related
SSA
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
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
3.2.2
1.6
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
Per Specification
3.3.3
1.6
No Coating / Oversplash In Exclusion Zone
Per Specification
3.3.4
1.6
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
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
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
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
Control plan
7.2
2.8
Control plan
7.3
2.8
Control plan
7.4
2.8
Control plan
7.5
2.8
Control plan
7.6
1.11
Based on IPC-7711,
7721
Cover Page
oating
Index Page

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
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
ITEM #
1.0
1.1
Related
SSA
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
Per control plan
2.4
Per Customer
requirement
ESD control
Per ANSI S20.20
Operator training
2.5
2.6
2.7
2.8
2.9
2.10
3.9
1.6

1.18
2.11
3.0
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
Pre control plan
3.5
Per Customer
requirement
ESD control
Per ANSI S20.20
Operator training
3.6
3.7
3.8
3.9
3.10
3.9
1.6

1.18
3.11
4.0
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
Pre control plan
4.2
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
Control plan
5.2
2.8
Control plan
5.3
2.8
Control plan
5.4
2.8
Control plan
5.5
2.8
Control plan
5.6
1.11
Based on IPC-7711,
7721
Cover Page
ation
Index Page

nts.
Monitoring
Continuous
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
Auditor Notes
equipment
change/modification
Continuous
Continuous
change-over
Continuous
Maintenance Check
Sheet
Continuous

Continuous
equipment
change/modification
Continuous
Continuous
change-over
Continuous
Maintenance Check
Sheet
Continuous
Continuous
equipment
change/modification
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
PROCESS TABLE R - In-circuit Testing (ICT)
ITEM #
1.0
Related
SSA
Question
1.4
2.11
Automatic
2.12
Control
1.2
Per set-up
1.3
Conveyer index 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
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
Per Customer
requirement
2.14
3.0
1.4
2.11
2.12
3.1
2.8
Control plan
3.2
2.8
Control plan
3.3
2.8
Control plan
3.4
2.8
Control plan
3.5
2.8
Control plan
3.6
1.11
Based on IPC-7711,
7721
Cover Page
ng (ICT)
Index Page

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
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
equipment
change/modification
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
PROCESS TABLE S - Solder Re-work
ITEM #
1.0
Related
SSA
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

customer agreement
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
Per specification
3.3.4
Per specification
3.3.5
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
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
training
training
training
training
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
training
training
training
training
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
training
training
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
Control plan
6.2
2.8
Control plan
6.3
2.8
Control plan
6.4
1.11
6.5
1.11
Maximum number of repairs allowed per board
Based on IPC-7711,
7721
Per customer product
specification
Cover Page
work
Index Page

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
Continuous
Continuous
Continuous
Continuous
Effective tracking system
Cover Page
Index Page
SP
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?

Plating Services Provided [YES / NO]
Does this process require Coating?

Coating Services Provided [YES / NO]
Welding Services Provided [YES / NO]
Soldering Services Provided [YES / NO]
Does this process require Welding?

Does this process require Soldering?

Supplier Evaluation (QVR) Rev6 0112

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Supplier Evaluation / QVR Assessment

Document Change Summary

QVR / Supplier Evaluation Scoring

QVR Process Map

Supplier Evaluation Summary

Support & Technology

CQI-9 Heat Treat System Assessment

CQI-9 Instructions for Cover Sheet

CQI-15 Welding System Assessment

CQI-15 Cover Sheet Instrts

CQI-11 Instructions for Cover

CQI-17 Soldering System Assessment

CQI-17 Cover Sheet Instrts.

CQI-12 Coating System Assessment

CQI-12 Cover Sheet Instrts.

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

Supplier Evaluation (QVR) Overview

This document has been reviewed and approved by authorized personnel.

Rev. Level 3.5

SUPPLIER EVALUATION SCORING GUIDELINES

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

Supplier Evaluation Audit - Release 1.2

Individual Section Performance

Zip code (or Mail Code):

Zip code (or Mail Code):

Corp. E-mail Address

SCAR Primary Contact Name

Phone and Fax #

SPECIAL PROCESSES (REF. AIAG GUIDELINES)

Welding Services Provided [YES / NO]

Soldering Services Provided [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

Key personnel completing this survey:

Follow-up Audit Required?

Does this location have a quality system certification?

Person responsible for audit corrective actions:

Survey corrective action due date:

Supplier Evaluation Audit - Rel. 5.0

Supplier Representative Signature

Release date: 19-July-2010

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

NOTE: Only areas in dull yellow are editable

Quality System Capability

Dock Storage, Material Handling,

Process/ Tool/ Die/ Jig/

Facility Security- All Required

All Section Totals

Supplier Evaluation Audit - Rel. 5.0

Release date: 19-July-2010

Quality System Capability

Supplier Evaluation Audit - Rel. 5.0

RED SCORE <7

RED SCORE <7

RED SCORE <7

Release date: 19-July-2010

Only areas in dull yellow are editable

Only areas in dull yellow are editable

Only areas in dull yellow are editable

Only areas in dull yellow are editable