CQI-11

Special Process: Plating System Assessment

Version 3, Issued 9/19

Special Process: Plating System Assessment Cover Sheet

Facility Name: Elm Plating Company
Address: 1319 Elm Street, Jackson MI, 49203

Phone Number: 517-782-8161

Current Quality Certification(s):IATF-16949, ISO-17025, ISO-14001

Number of Plating Employees at this Facility: 56 Hourly Employees 21 Salary Employees Total 77

Captive Plater (Y/N): NO

Commercial Plater (Y/N): Yes

Date of Assessment: May 19th 2023

Date of Previous Assessment: May 19th 2022
Date of Re-assessment (if necessary):

Type(s) of Plating Processing at this Facility:

Process Table A: Process Table F: Not Applicable
Zinc- Yes, Chloride Acid Zinc Hard Chrome Plating

Zinc Alloy Plating

Process Table B: Not Applicable Process Table G: Not Applicable

Mechanical Plating Electroless Nickel

Process Table C: Not Applicable Process Table H: Yes- per Customer Requirements

Decorative Plating of Metal Substrates Hydrogen Embrittlement Relief Process

Process Table D: Not Applicable Process Table I: Yes- Per Customer Requirements
Decorative Plating of Plastic Substrates Process Control and Testing Equipment Verification and Calibration

Process Table E: Not Applicable

Electropolish and Chrome Flash

Personnel Contacted:
Name: Phone:
Jonas McCluskey 517-782-8161
Lenny Duff 517-782-8161
Sam Bitonti 517-782-8161
Gary Amrhein 517-782-8161
Natalie Glisson 517-782-8161
Auditors/Assessors:
Name: Phone:
Tricia McArthur 517-782-8161
Bill Dunn 517-782-8162

Number of Nonconforming Findings from Section 1 and Section 2: None

0
Number of Nonconforming Findings in the Job Audit(s): None
0
Number of Nonconforming Findings in the Process Table(s): None
0

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Special Process: Plating System Assessment
Version 3, Issued 9/19

Section 1 - Management Responsibility & Quality Planning

1.1 There shall be a dedicated and qualified surface finishing person on site.

• To ensure readily available expertise, there shall be a dedicated and qualified surface finishing person on site.
• This individual shall be a full-time employee and the position shall be reflected in the organization chart.
• A job description shall exist identifying the qualifications for the position including chemical and surface finishing/surface finishing knowledge.
• The qualifications shall include a minimum of 5 years’ experience in surface finishing operation or a combination of a minimum of 5 years of relevant formal education and surface finishing experience.

Conforming
Guidance Objective Evidence Nonconforming
NA

Director of Technical Engineering- 15 Years Experience

What is this person’s title? Please see attached Organization Chart. Conforming
Job Description Attached

Is this position reflected in the organizational chart? Yes Conforming

Is there a documented job description listing all the required qualifications and responsibilities of this position? Yes HRJD-0056 Conforming
Describe in detail this person’s educational background and practical experience. Bachelors from Michigan State University, 15 years Experience. Conforming
How many years of process experience at a plating facility does this person have? 15 Years Conforming
Is this individual a full-time employee at the location being audited? Yes, full time Employee located at 1319 Elm Street. Conforming
Comments:
Please see attached Documentation

Section 1 - Management Responsibility & Quality Planning

1.2 The facility shall perform advanced quality planning.

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

Conforming
Guidance Objective Evidence Nonconforming
NA
Procedure # PR-200 for advanced quality planning including process
Does the facility use a documented advanced quality planning process? Conforming
changes. Planning documented on QCT4-0007

Does the facility perform a documented internal feasibility study for each part before processing?
Documented on form # QCT4-0007 and recipe matrix data/ feasibility Conforming
If no, does the facility perform a documented internal feasibility study for similar part types or family of parts before processing?

See procedure # PR-200 section 5.0 and plan documented on form #

What is the procedure for changing the process after PPAP? Conforming
QCT3-0009
Comments:
Please see attached Documentation

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Special Process: Plating System Assessment
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Section 1 - Management Responsibility & Quality Planning

1.3 The facilities FMEAs shall be up to date and shall reflect the current process.

• The organization shall incorporate the use of a documented Failure Mode and Effects Analysis (FMEA) 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 process.
• FMEAs shall address every process step from part receipt to part shipment.
• 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.

Conforming
Guidance Objective Evidence Nonconforming
NA
Does the facility have a documented Failure Mode and Effects Analysis (FMEA) in use? Yes, PFMEA'S for all Processing Lines Conforming
Tricia McArthur- Quality Manager
Lenny Duff- VP of Sales
Sam Bitonti- VP of Plating
Identify the names and job function of the team members used in the development of the FMEA. Conforming
Sean Peck- Director of Technical Engineering
Walt Wingfield- Maint. Manager
Dave Foster- Production Manager
Identify if the FMEA is written for each part, part family or process specific. Process Line Specific Conforming
Yes and match Control Plans which reference other work instructions
Are all FMEAs consistent with all associated documentation such as control plans, work instructions and shop travelers? Conforming
and job routers.
Do all FMEAs include every process step from part receipt to part shipment? Yes Conforming

Are special characteristics, as defined by the organization and its customers, identified, defined, and addressed in the FMEAs? On Part Specific Job routers as listed in PR-200 Conforming

Provide evidence that the FMEA has been updated in response to quality issues. See actions taken and updated RPN per new revisions. Conforming
Comments:
Please see attached Documentation

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Special Process: Plating System Assessment
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Section 1 - Management Responsibility & Quality Planning

1.4 The process control plans shall be up to date and shall reflect the current process.

• The organization shall incorporate the use of a documented control plan 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.
• The control plans shall address all process steps from part receipt to part shipment and identify all equipment used and all key surface finishing process parameters as defined by the organization.
• A cross-functional team shall be used in the 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.
• The control plan shall detail the product and process characteristics, and controls including testing frequency and sample size.

Conforming
Guidance Objective Evidence Nonconforming
NA
Does the facility have a documented control plan in use? Yes, Process Line Specific Conforming
Identify if the control plan is written for each part, part family or process specific. Process Line Specific Conforming
Do all control plans include every process step from part receipt to part shipment? Yes, See attached Conforming
Does the control plan identify all key surface finishing process parameters? Yes, See attached Conforming
Tricia McArthur- Quality Manager
Lenny Duff- VP of Sales
Sam Bitonti- VP of Plating
Identify the names and job function of the team members used in the development of the control plan. Conforming
Sean Peck- Director of Technical Engineering
Walt Wingfield- Maint. Manager
Dave Foster- Production Manager
Are the control plans consistent with all associated documentation such as work instructions, shop travelers, specifications and Yes - Control plan is process specific / specification specific and includes
Conforming
FMEAs? all steps.
Provide evidence that sample sizes and frequencies for evaluation of process and product characteristics are addressed and 3pcs from each barrel at processing line.
Conforming
consistent with the minimum requirements. 20 pc minimum at Final Inspection, Certs provided with each shipment

Are special characteristics, as defined by the organization and its customers, identified, defined, and addressed in the control plans? On Part Specific Job routers as listed in PR-200 Conforming

Provide evidence that the control plan has been updated in response to quality issues, customer requirements and process
See actions taken and updated Rev. Conforming
changes.
Comments:
Please see attached Documentation

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Special Process: Plating System Assessment
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Section 1 - Management Responsibility & Quality Planning

All surface finishing related and referenced specifications shall be up to date and available.
1.5
For example: SAE, AIAG, ASTM, General Motors, Ford, FCA, Toyota, Volvo Truck.

A document control system is pertinent for the handling and internal distribution of received customer specifications and to keep up to date with national or global standards related to surface finishing processes. To ensure all
customer requirements are understood and satisfied, the organization shall have all related surface finishing and customer referenced standards and specifications available for use and a process to ensure that they are current.
• The organization shall have a 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 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.

Conforming
Guidance Objective Evidence Nonconforming
NA

Does the organization have all related surface finishing and customer referenced standards and specifications available for use? Yes, see specification library on internal network Conforming

How are standards and specifications obtained? IHS account / customer portals or through customer Conforming

Describe the system and timing used to maintain the standards and specifications to ensure that they are up to date. Procedure # PR-200 or automatic subscription on IHS account Conforming

Define that process used to review and communicate within the two-week period updated standards and specifications throughout See procedure # PR-200 & PR-301 section 2.5 / VP of sales and quality
Conforming
the organization. Include the names and job functions of the responsible personnel. manager
Comments:

Section 1 - Management Responsibility & Quality Planning

1.6 There shall be documented process instructions.

• The organization shall have written process instructions for all active parts or family of parts, including relevant part specific requirements. Examples of part specific requirements include process line, plating type, load size, rectifier
settings, etc.
• These process instructions may take the form of work instructions, job card, computer-based recipes, or other similar documents.

Conforming
Guidance Objective Evidence Nonconforming
NA
Does the organization have written process instructions for all active parts or family of parts and include all relevant operating Yes, Per Router Requirments and via B5 exit database and PRC4-(002-
Conforming
parameters? 007)
What form of process specification is used?
Router Based Computer input additionally process control sheets. Conforming
(These may be in the form of work instructions, job card, computer-based recipes, or other similar documents.)
Comments:
Please see attached Documentation

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Special Process: Plating System Assessment
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Section 1 - Management Responsibility & Quality Planning

1.7 A valid product capability study shall be performed.

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
change of any process or equipment. The organization shall define what constitutes a major change.
• Initial product capability studies shall be conducted for all surface finishing processes per line as defined in scope of work and in accordance with customer requirements. Capability study techniques shall be appropriate for the
surface finishing product characteristics, (e.g., surface finishing thickness, corrosion resistance, etc.).
• An action plan shall exist to address the steps to be followed in case capability indices fall outside customer requirements or established ranges.

Conforming
Guidance Objective Evidence Nonconforming
NA
Has an initial product capability study been performed? Yes, and on new part family's and/or by specification. Conforming
Are studies conducted for each surface finishing process for each line in the facility? Yes, per line. Monthly TT and SS completed for each process. Conforming
No relocation or major rebuild of processing equipement. See
Has a new study been completed after relocation of any process equipment, major rebuild of any equipment, or any significant
procedure # PR-200 section 5 for steps to take - Sales and APQP team Conforming
change in process chemistry?
designate requirements by customer.
How does the organization define what constitutes a major change? Procedure # PR-300 Equipment maintenance Conforming

Follow Procedure # PR-301 and see procedure PR-200 if occurance on

What steps are followed when capability indices fall outside specified requirements? Conforming
first time run.
Comments:
Please see attached Documentation

Section 1 - Management Responsibility & Quality Planning

1.8 The organization shall collect, analyze, and react to product and process data over time.

• The analysis of product characteristics and processes parameters over time can yield vital information for defect prevention efforts.
• Methods of analysis shall include ongoing trend or historical data analysis of special product and process parameters.
• The organization shall determine which parameters to include in such analysis.

Conforming
Guidance Objective Evidence Nonconforming
NA

Per Job Router requirments and Supplier Requirements

What product characteristics and process parameters are used? Product= Thickness every contaier and salt spray completed monthly. Conforming

Process= See PRC4-002-007

How is the ongoing trend or historical data reviewed and analyzed? Data is Reviewed Daily by Lab Supervisor. Conforming

Access database to gather and filter data to be analyzed for efficiency,

quality, costs. Data is utilized to drive continuous improvement efforts.
How does the organization use this data to prevent future failures and improve the quality system? Conforming
By using process parameters we continue to ensure we do not hit out of
our control limits.

Comments:
Please see attached Documentation

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Section 1 - Management Responsibility & Quality Planning

1.9 All process control and testing records must be retained for a minimum of one calendar year after the year in which they were created.
Conforming
Guidance Objective Evidence Nonconforming
NA

What is the process to retain these records? Procedure # PR-301 Conforming

What is the process for retention of customer specific documents with longer retention times? Procedure # PR-301 and customer specific requirements Conforming
Comments:
Please see attached Documentation

Section 1 - Management Responsibility & Quality Planning

1.10 There shall be a process in place to review the monitoring systems/logs at specified intervals.

• Management or management designee shall review the monitoring systems/logs at specified intervals.
• In the case of Hydrogen Embrittlement avoidance and relief, review shall occur prior to parts being released for shipment and shall not exceed 24 hours.
• The organization shall have reaction plans for nonconformances to process requirements.

Conforming
Guidance Objective Evidence Nonconforming
NA
Define the process in place to gather and review this information. Daily dashboard / daily and weekly quality meeting PRD3-0001 WI For Bake Ovens Conforming
Tricia McArthur- Plating Quality Manager
Identify the manager or management designee reviewing the process records from the monitoring systems/logs. Conforming
James McFeters - Quality Engineer.
In the case of Hydrogen Embrittlement baking, is the review taking place within the 24 hour period? Yes, Daily Morning Tasks Conforming
Notify customer for disposition, QCT3-0015 and PRD3-0001 WI for Bake
Describe reaction plans for nonconformances to the written process requirements. Conforming
Ovens.
Comments:
Please see attached Documentation

Section 1 - Management Responsibility & Quality Planning

1.11 Internal assessments shall be completed at a minimum once every 12 months using the latest revision of the CQI-11 Plating System Assessment.

Conforming
Guidance Objective Evidence Nonconforming
NA

What is the date of the last AIAG CQI-11 Plating System Assessment? May 19th 2022 Conforming
Comments:

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Section 1 - Management Responsibility & Quality Planning

1.12 There shall be an internal system in place to authorize reprocessing and it shall be documented.

• The quality management system shall include a documented process for reprocessing that shall include authorization from the quality manager or a designated individual.
• The reprocessing procedure shall describe product characteristics for which reprocessing is allowed as well as those characteristics for which reprocessing is not permissible.
• All reprocessing activity shall require a separate rework specific process control sheet or other identification method, issued by qualified technical personnel denoting the necessary surface finishing modifications.
• Records shall clearly indicate when and how any material has been reprocessed.
• The rework of material shall comply with the customer’s specifications and/or requirements.

Conforming
Guidance Objective Evidence Nonconforming
NA
Describe the procedure for authorizing reprocessing of nonconforming material. Yes, QCT4-0025 and PR-205. Conforming
Does the reprocessing procedure describe product characteristics that allow or not allow reprocessing? Yes Conforming
Did the quality manager or manager’s designee authorize the rework and determine the reprocessing procedure? All rework is verified though our MRB review team Pr-205 Conforming
How do you identify that material has been reprocessed? Yes per Rework Routers per PR-205 Conforming
Do the records clearly indicate when and how any material has been reprocessed including the quality manager’s authorization of
Yes, Per our MRP System Controls Per PR-205 Conforming
release?
Provide evidence that the rework complies with your customer's specifications and/or requirements. Yes, Per Elm Plating Certs job router Per PR-205 Conforming
Comments:

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Section 1 - Management Responsibility & Quality Planning

1.13 The Quality Department shall review, address, and document customer and internal concerns.

The quality management system shall include a process for documenting, reviewing, and addressing customer concerns and any other concerns internal to the organization.

Conforming
Guidance Objective Evidence Nonconforming
NA

Describe the procedure for reviewing and addressing external customer and internal concerns. See procedure # PR-102 / daily & Monthly reporting. Conforming

Describe the problem solving approach that is used. 8D, 5-Why and customer supplied formats used as listed in procedure # PR-102 Conforming

Describe the communication process used to respond to the originator. See procedure # PR-102 and communication is done by quality manager Conforming

Provide a recent example of this procedure in use. Please see attached 8D along with email chain Conforming
Comments:

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Section 1 - Management Responsibility & Quality Planning

1.14 The organization shall have a continual improvement process.

• The continual improvement process shall be designed to achieve improvements in quality and productivity.
• Identified actions shall be prioritized and shall include timing (estimated completion dates).
• The organization shall show evidence of program effectiveness.

Conforming
Guidance Objective Evidence Nonconforming
NA

Elm Plating's' KPI's are presented daily to management. Those

indicators include internal and external rejects, on time delivery,
downtime, productivity. Monthly management reviews of KPIs include
Describe the continual improvement process used to achieve improvements in quality and productivity. the preceding and comparison of actual KPIs achieved to established Conforming
goals. Daily and monthly meetings are vehicle through which continual
improvement opportunities are identified, and subsequently pursued.
Presidential focus, Campaigns

During Daily production meetings, completion dates will be assigned

Provide a recent example of how actions are identified, prioritized and completion dates assigned. Conforming
based on the needs available to complete.

Describe how the organization measures the effectiveness. Based on SOP metrics, Verifiying effectivness of actions taken. Conforming
Comments:

Section 1 - Management Responsibility & Quality Planning

1.15 There shall be predefined personnel responsible for management of materials in quarantine area.
Only the quality manager or designee may authorize the disposition of material from quarantine status.
Conforming
Guidance Objective Evidence Nonconforming
NA

The Quality Supervisor documents quarantined material disposition on

an RRF form. An RRF log is maintained on the Elm Plating Business
system for traceability and trend analysis of reprocessing.
Define the process for release of material from quarantine. Quarantined product review and disposition responsibilities are Conforming
identified on EPC plating Facility Responsibility Matrix.
Quarantined product information is reviewed daily with managers.
QCT3-0006

Tricia McArthur- Quality Manager

List the authorized personnel with job titles. Conforming
James McFeters- Quality Engineer

Review evidence that only these persons are releasing materials from the quarantine area. Rework Routers are only made by Quality Team. Conforming
Comments:

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Section 1 - Management Responsibility & Quality Planning

1.16 There shall be documented procedures and/or work instructions for all processes and they shall be available to all of the organization’s personnel.

• There shall be procedures or work instructions available to personnel covering their responsibilities.
• These documents shall include instructions for addressing potential emergencies (such as power failure), equipment start-up, equipment shut-down, product segregation (See 2.3, 2.8), product inspection, and general operating
procedures.

Conforming
Guidance Objective Evidence Nonconforming
NA

Elm Plating Co. utilizes process flowcharts and schematics to identify

process flow through the entire plating operation. Control Plans,
FMEA's, Work Instructions, Check Sheets and calibration systems are in
place and audited to meet requirements of CQI-11 and other
specifications that govern the zinc plating process. The procedures
Review the procedure/work instruction for process start-up and shut-down. Conforming
include methods for (potential) emergencies (such as power failure),
equipment start-up, equipment shut-down, product inspection, and
general operating procedures.
Procedures and Work Instructions are available on the production floor
at point of use.

Work Instructions are written for each process and are available at the
Review the procedure/work instruction for process control during operation. process. Work Instructions, and/or Procedures encompass the entire Conforming
process.

What is the procedure in place to address potential emergencies?

Yes per MNT3-0014 Lockout/Tagout Conforming
(Such as power outage and/or equipment failure).
Review the procedures for inspection of the product, in process or after completion. Yes Conforming
Verify that these procedures/work instructions are accessible to personnel performing the job at all times. Yes, Electronic instruction available Conforming
Comments:

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Section 1 - Management Responsibility & Quality Planning

1.17 The organization and management shall provide employee training.

• The organization shall provide employee training for all 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 employee assessment.
• Management shall define the qualification requirements for each function, and ongoing or follow-up training shall also be addressed.
Conforming
Guidance Objective Evidence Nonconforming
NA

Review the process for initial training of all employees, including backup and temporary. Reviewed training form# HRD4-0003 and training matrix. Conforming

Reviewed ongoing training documented on form # HRD4-0019 and

Review the process for ongoing and/or follow-up training. Conforming
signed by every employee trained.
Provide a recent copy of the training matrix. Training matrix reviewed and verified Conforming

Provide documented evidence that shows how the organization verifies effectiveness of training. Effectiveness is verified on annual performance reviews Conforming

Comments:

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Section 1 - Management Responsibility & Quality Planning

1.18 Essential management and supervisory functions shall be performed by qualified personnel at all times and a matrix of these essential responsibilities shall be available for review.

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

Conforming
Guidance Objective Evidence Nonconforming
NA

Review and provide an example of the most recent matrix. Reviewed responsibilty matrix in BMS manual - page 7 Conforming

Confirmed that responsibilty matrix in BMS manual - page 7 has

Confirm that the matrix includes both primary and secondary persons. Conforming
primary and secondary listed.

Describe how and where this information is made available. In BMS manual - page 7 and avaiable to all personnel Conforming

Comments:

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Section 1 - Management Responsibility & Quality Planning

1.19 There shall be a preventive maintenance program and maintenance data shall be utilized to form a predictive/preventive maintenance program.

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

Conforming
Guidance Objective Evidence Nonconforming
NA

Elm Plating's preventive maintenance program requirements are

identified in Maintenance Work Instruction MNT3-0012, PM'S for
Maintenance. Predictive methods are developed with support from
Show evidence that a documented preventive maintenance program exists. Conforming
suppliers, equipment OEM's, and the fully staffed Maintenance
Department personnel. Any processing equipment downtime is
reported for review in daily management meetings.

Elm Plating has a formal maintenance work order system supported by

work instruction MNT3-0010, Maintenance Work Order Form for
Describe the process for reporting problems. Conforming
scheduled PM. Maintenance work instructions for critical PM activities
are used to ensure PM thoroughness and accuracy.

Maintenance work orders may be requested via the Maintenance Work

Provide a recent example showing that the person reporting the problem received feedback after the problem was resolved. Order Request, MNT3-0010. Work Order Requests are closed loop, Conforming
tracked via this log.

Maintenance requests are reported in daily management meetings, and

during scheduled Management Reviews. During these meeting if it is
Give a recent example of how the program was used to prevent/predict potential equipment failure. Conforming
found to be an ongoing failure mode an adjustment will be made on the
current PM.

How is the data being generated reviewed with management to improve the quality system? Data is review during our Daily Operations meetings. Conforming
Comments:

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Section 1 - Management Responsibility & Quality Planning

1.20 The organization shall develop a critical spare part list and the parts must be available to minimize production disruptions.

• Spare part suppliers, minimum quantity and lead times shall be documented.

Conforming
Guidance Objective Evidence Nonconforming
NA
Provide the critical spare parts list. MNT4-0009 Critical Equipment list Conforming
Does the critical spare parts list include inventory, lead time and suppliers? Yes Conforming
Maintenance manager updated weekly from usage and orders - verified
Describe how and when the organization updates the list. Conforming
monthly for accuracy
What criteria is used to determine whether critical spare parts are kept at the facility or sourced off site. All spare parts that have a long lead time Conforming
Describe the process used to maintain minimum quantities. Monthly inventory / verification of on hand quantitiy Conforming
Comments:

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Section 2 - Floor and Material Handling Responsibility

2.1 The organization shall ensure that customer data entered into the receiving system matches the customer’s shipping documents.

It is critical that all customer requirements and lot identification be correctly transferred to internal 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 evidence of compliance shall exist, e.g., shop travelers, work orders, etc.
• Sometimes the material received does not precisely correspond to customer shipping documents. The facility shall have a detailed procedure in place to resolve receiving discrepancies.
• The requirements stated above apply to captive, in-house, commercial and all involved departments.

Conforming
Guidance Objective Evidence Nonconforming
NA

Receiving inspection matches customer paperwork to orders to

generate routers for production. Receiving inspection signs off on
router to start the process once the customer paperwork is verified.
Describe the receiving process including listing the documentation used. Procedures are in place to record & reply back to customers for Conforming
Shipping / Receiving discrepancies such as weight, damaged parts,
damaged containers, incorrect paperwork, mixed parts, etc...
SHP3-0001 staging and receiving

Plating Requirements are based on customer Part number in out MRP

Describe the process to identify the plating requirements. Conforming
system.

Describe the reaction process when material received does not correspond to the customer’s documents. Notify Customer Place in MRB Hold Area for their disposition. Conforming
Comments:

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Section 2 - Floor and Material Handling Responsibility

2.2 Is product clearly identified and stored throughout the surface finishing process and is lot traceability and integrity maintained?

Procedures are required for part and container identification to avoid incorrect processing or mixing of lots.
• As received, in-process, and finished product or material shall be properly segregated, identified, and stored in a dedicated and clearly defined area.
• Out-going lot(s) shall be traceable to the incoming lot(s).
• The discipline of precisely identifying lots and linking all pertinent information to them enhances the ability to do root cause analysis and continual improvement.

Conforming
Guidance Objective Evidence Nonconforming
NA

Each customer's tub of parts contains a router with a sleeve that

includes customer travelers for product identification through out the
plating process.
The router identifies all customer supplied information, customer, part
Describe the method that ensures the parts and lot numbers are correctly identified and maintained throughout the process. number, part description, order and tub quantity, container serial Conforming
number, lot number, etc. It also shows all of the processes that will be
done to this part. The Final Inspectors are required to verify that the
correct parts are in the tub by matching the picture on the router to
the part.

Verify that received, in-process, and finished product or material is properly segregated, identified, and stored in a dedicated and
Raw and Finished goods are staged in clearly identified staging areas. Conforming
clearly defined area.
Comments:

Section 2 - Floor and Material Handling Responsibility

2.3 Procedures shall be adequate to prevent movement of nonconforming product into and out of the production system.

The control of suspect or nonconforming product 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 authorized personnel, appropriate disposition, product identification and tracking of material flow in and out of hold area.
• Nonconforming hold area shall be clearly designated to ensure segregation of such material.

Conforming
Guidance Objective Evidence Nonconforming
NA
MRB Hold area is located across from our continual bake oven away
Where is the nonconforming holding area, and how is it identified? from all other product. Conforming

Quarantined per work instruction and identified with RRF.

Describe the procedure to prevent the unauthorized movement of nonconforming products. error proof system is in place that if the QI has not tracked out Conforming
shipping will be unable to complete a shipper
Yes per our Isolation log.
Provide evidence that material movement in and out of this area is documented. Procedures and work instruction exist for rejected material and proper Conforming
handling (QCT3-0002 & QCT3-0005)
Comments:

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Section 2 - Floor and Material Handling Responsibility

2.4 For bulk processing there shall be a procedure to identify trap points throughout the entire process to reduce risk of unfinished, improperly coated and mixed parts.

• The organization shall have documented procedures to identify and monitor all trap points for each process/equipment.
• Monitoring of potential trap points shall occur at minimum every part changeover.
• Trap points may include: Plating barrels, part containers, loading and unloading equipment, spin dryers, transfer belts.
Conforming
Guidance Objective Evidence Nonconforming
NA

Work Instructions have been created and are maintained for

inspecting trap point areas (QCT3-0024) and a log (QCT4-0012) to
document occurrences. All trap points must be inspected before any
Describe the procedure to identify and monitor all trap points for each process and/or equipment. Conforming
parts can be loaded into a container.
Trap Point Audit performed on each processing line weekly by quality
inspectors.

Provide the list of trap points. See attached Conforming

Comments:

Section 2 - Floor and Material Handling Responsibility

2.5 The handling, storage and packaging shall be adequate to ensure product quality is maintained throughout the entire process.

• Handling, storage, and packaging shall be adequate to ensure product quality.

• Part cleanliness shall be maintained throughout the process.
• All parts shall be stored in a controlled environment.
Conforming
Guidance Objective Evidence Nonconforming
NA
Which process steps have dedicated in-process containers? Per Router Requirements Conforming
Work Instruction detail how the operator is to clean and inspect
How are containers maintained to preserve part cleanliness? containers.PRD4-0004 Conforming
Container Cleanliness tag
Work Instruction detail how the operator is to clean and inspect
Describe how the containers are inspected to ensure they are free of foreign material. containers.PRD4-0004 Conforming
Container Cleanliness tag
What is used for liner material of customer containers before packing finished goods for shipment? See job router for customer specific req. Plastic liners used unless
Conforming
(Materials like newspapers, used cardboard and bags should be avoided). specified.
Provide a list of dedicated storage areas that avoid exposure to contamination and corrosion. Marked staging areas.
Conforming
(Storage outdoors, near media blasting and corrosive processes such as acid tanks should be avoided).
Comments:

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Section 2 - Floor and Material Handling Responsibility

2.6 Each process step shall be documented and traceable.

How does the operator verify that all process steps have been completed in specified order and in within specified time limits?
Conforming
Guidance Objective Evidence Nonconforming
NA

Do you have a document (shop travelers, job sheet, etc.) that specifies all the processes for each part number/part family? Yes, Elm Job Routers Conforming

Define the procedure that ensures that all processes have been completed in the specified order. error proof bar code tracking for each step. Conforming
Describe how time sensitive processes are completed in the specified time limits (e.g., hydrogen embrittlement baking). Barcode tracking with monitoring. Conforming
Provide documentation that this process has been followed. See attached Conforming
Comments:

Section 2 - Floor and Material Handling Responsibility

2.7 Part loading shall be specified, documented and controlled.

• Loading parameters shall be specified, documented and controlled.
• Examples include: parts per rack, part position and orientation, weight per barrel or masking.
Conforming
Guidance Objective Evidence Nonconforming
NA
Describe how the loading parameters are communicated to the operator. Per job router requirments Conforming
Identify how the loading weight or rack quantity is recorded for each load or rack. Per Exit Data and 3pc check sheets Conforming
Comments:

Section 2 - Floor and Material Handling Responsibility

2.8 There shall be a procedure for material handling, containment action and product segregation in the event of an unplanned process interruption.

Unplanned downtime greatly increases the risk of improper processing.

• Work instructions specifically addressing potential types of unplanned process interruptions shall be accessible to operators.
• Specific instructions shall address containment/reaction plans for each step of the process. Where processes are time critical, immediate actions are required. Examples include process steps exposing parts to: acidic solutions,
current, bake or curing processes.
• Evidence shall exist showing disposition and traceability of affected product.

Conforming
Guidance Objective Evidence Nonconforming
NA
What procedure is used to address each step of the process? Control Plans and Job routers. Conforming
Provide all work instructions that address unplanned process interruptions. Control Plans and Specified work instructions Example ZB33-0008 Conforming
How is the affected product traced, dispositioned and documented? Per PR-205 Conforming
Comments:

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Section 2 - Floor and Material Handling Responsibility

2.9 Plant cleanliness, environment, and working conditions shall be conducive to ensure product quality.
• Plant cleanliness, housekeeping, environmental, and working conditions shall be adequate to preserve product quality.
• A housekeeping policy shall be clearly defined and executed.
Conforming
Guidance Objective Evidence Nonconforming
NA
Provide a copy of the housekeeping procedure. MNT4-0012 Cleanliness policy Conforming
Provide a copy of the procedure used to handle dropped or spilled parts. PR-205 Conforming
Describe what is done with loose parts found on the floor of the plant. Scrapped per PR-205 Conforming
Define the process used to review the facility for conditions that are detrimental to quality processing such as chemical spills and
PR-113 Monitoring and measuring Conforming
inadequate ventilation.
Comments:

Section 2 - Floor and Material Handling Responsibility

2.10 Plant lighting shall be adequate in all inspection areas.

Lighting in the part and/or process inspection areas must be adequate for the intended operation.
Conforming
Guidance Objective Evidence Nonconforming
NA
How do you ensure the lighting in the part and/or process inspection areas, including loading and unloading areas, is adequate for
Per lumen readings that are veified bi-annually. Conforming
the intended operation?
Lighting is adjust to lumen reading additionally magnifying light rings
For part inspection, how do you arrange the lighting to avoid spot lighting, glare, shadows and distracting reflections? Conforming
are available at inspection areas.
Comments:

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Section 4 - Plating System Assessment Job Audit - Finished Product Review

Job Identity:
Customer: Shannon
Shop Order Number:870166
Part Number: 29558860
Part Description: Bolt
Material Substrate: Various
Plating Requirements: 120 Hr. WC / 240 Hr. RR / 8µm-16µm

Specifica on Number and Revision: GMW3044 8K240/120N

Conforming
Question Identify Relevant Documents & Actual Condition
Inspection Element Nonconforming
Number (Provide Data or Values & Embed or Attach Documents)
NA

Attach evidence that the documentation for the specific part conforms
to the requirements including: PR-203 - APQP Product Realization.
4.1 • Advanced quality planning process Process Flow Diagram, FMEA's & Control Plans Conforming
• FMEA available for each processing line.
• Process Control Plan

What customer specifications or requirements are used for this part? 120 Hr. To WC 240 Hr. To RR 8µm-16µm
4.2 Conforming
• List the specification(s) and revision(s) Product must be baked within 1 Hr.

MRP error proofing inclusive that the order can not

be processed until 'Incoming Inspection' is
4.3 Provide evidence of receiving inspection. Conforming
completed and entered into the tracking system
(The part router must be signed and scanned).

Provide the job traveler or attach a copy of this traveler showing:

• Customer name
• Lot number
4.4 See attached Conforming
• Weight/quantity
• Process instructions
• Inspection requirements

If the lot is divided how is the traceability maintained throughout the

4.5 Lot was not Divided Conforming
process?

Describe the method used to document each operation as being

See Tracking completed and sign off on Job Router.
4.6 completed. Is there a sign-off with time stamp, bar code or scan, etc., Conforming
(attached)
after each operation?

Attach work instructions applicable to this part indicating proper

barrel/basket mesh size or perforation (hole size), load size,
4.7 ZB43-0003 Panel Operator Conforming
appropriate rack configuration, appropriate part orientation on rack,
etc.

Identify each process table pertaining to this job audit. Populate the
applicable process tables with the actual process results/conditions at
4.8 See process tables Conforming
the time this part was processed (Columns H and I in Process Tables A
through H).

Were appropriate process steps on the job router/traveler signed off?

4.9 Yes Conforming
For electronic systems, a screen print is acceptable.

Were all inspection steps, as documented in the control plan

4.10 Yes Conforming
performed?

Were steps/operations performed that were not documented in the

4.11 No Conforming
control plan?

4.12 If additional steps were performed, were they authorized? N/A N/A

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Conforming
Question Identify Relevant Documents & Actual Condition
Inspection Element Nonconforming
Number (Provide Data or Values & Embed or Attach Documents)
NA

If the order was certified, did the certification accurately reflect the
4.13 Yes Conforming
process performed?

4.14 Was the certification signed by an authorized individual? Yes Conforming

4.15 Are the parts and containers free of foreign objects or contamination? Yes Conforming

4.16 Are packaging requirements identified? Yes per router requirements Conforming

Are parts packaged to prevent mixing or damage to parts (parts packed

4.17 Yes Conforming
over height of container)?

Are storage condition sufficient to maintain part quality. e.g., parts are
4.18 Yes Conforming
stored indoors in a clean, dry environment.

4.19 Were the parts properly identified and/or labeled before shipping? Yes Conforming

Each part may have one or more requirements determined by the plating
For the finished part, list each test and inspection requirement per
4.20 specification. Parts must meet each requirement.
customer specification.
Add additional sections as needed.

Conforming
Below is an example of how to fill out sections in 4.20.x Inspection Requirement Nonconforming
NA

Test Description: Corrosion Resistance

Test Method: ASTM B117
Example Test frequency or quantity: daily, 2 parts Conforming
only
Test Requirement: 240 hrs. no white / 1000 hours no red
Result: White corrosion at 168 hours, no red
Nonconforming
Attach evidence: LAB Report 12

Insert audit data below this line. Add additional sections as needed.

Test Description: Corrosion Resistance Conforming

Test Method: Conforming
Internal Salt Spray Monthly Testing requirement
Test frequency or quantity: Form QCT4-0019. Monthly surrogate process Conforming
verification per 120 WC / 240RR.
4.20.1
Monthly surrogate process verification 120 Hr. To
Test Requirement: WC 240 Hr. To RR Conforming
QCT4-0019 Surrogate Testing

Result:
See attached Surrogate Samples Conforming
Attach evidence:

Test Description: Plating Thickness Verification and Certification Conforming

Production and Final Inspection: Eddy current

Test Method: Conforming
measurement by CMI units.
4.20.2
3 pieces each barrel at plating line
Test frequency or quantity: Cornforming
20 pcs at final inspection

Test Requirement: 8µm-16µm Conforming

Result:
Visual Shop Certification sent to customer Via ASN Conforming
Attach evidence:

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PROCESS TABLE H - Hydrogen Embrittlement Relief Process

All requirements given below are subordinate to applicable customer/OEM specific requirements.

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

This table shall be completed separately for each hydrogen embrittlement relief oven.

Definitions:

Time from the end of the plating tank: This is the time at which the parts exit the electrolytic plating step and before entering any rinses, passivates, etc.
Process Line Identification: Oven

Type of Oven: Batch or Continuous- Continuous oven for 4 hour bake requirements, Batch oven for various required times exceeding 4 hours.

Observation/
Category/Process Steps Type of Control Monitoring Frequency Job Audit Measurements
Comments

Conforming Actual Measurements

ITEM # Minimum Requirement Actual Condition Minimum Requirement Actual Condition Nonconforming Range supporting time of Job
NA Audit

1.0

9 min 40 seconds
Process must be in place that limits the acid immersion time in No more than ten minutes. If more than ten minutes, parts need 9 minutes 40 seconds, verified.
H1.1 Automatic Automatic Conforming 9 minutes 40 sec per program
the plating process. to be quarantined, and follow customer reaction plan. during cycle time verification.
controls

1. Time from parts exiting plating tank to exiting plating line.

2. Time required for sufficient amount of parts to be loaded into
All parts for hydrogen embrittlement relief must reach bake Verified with thermocouple,
the de-embrittlement oven. The amount of parts shall represent Yes per barcode
temperature within two hours after exiting the electroplating thermal profile to show results
H1.2 Automatic/Manual Automatic the maximum load size/rate into the oven. Conforming Under 2hrs tracking and exit
tank. at various points in ovens and
3. Time to temperature per TUS for a maximum load. data.
Refer to Pyrometry Section for probe placement. baskets.
The total accumulated time for items 1-3 shall be under 2 hours.

Automatic
Oven temperature set point(s) and limits are verified and Part went into Bake at 8:00 am
H1.3 Max SAT difference allowed Automatic Start of bake cycle and every batch change. Conforming 405°F-445°F 425°F
documented. o o came out of Bake at 1 pm
+/- 5 C (10 F)

Digital recorder Data stored on

A continuous data recorder must be used with a temperature
H1.4 Oven temperature is monitored and recorded. Automatic Automatic Via Monarch System Conforming with temperature shared drive as well
control alarm.
control alarms. on the recorder

Uniformity surveys completed

Uniformity survey must show that ovens were tested with a full
For hydrogen embrittlement relief ovens, are temperature annually at max load condition Uniformity Certification Date :
production load. The applicator shall demonstrate that the time
H1.5 uniformity surveys performed as defined by Pyrometry Section Manual Manual which include total cycle time Conforming survery done 05/26/2022
from plating to baking temperature can be reached within the
3. (ramp-up and ramp down annually.
time limit set by customer requirements.
temps).

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For hydrogen embrittlement relief ovens, are thermocouples

Plater shall have preventive maintenance system that is Thermocouples checked or Yes, Per MNT3-
H1.6 checked and/or replaced as defined by Pyrometry Sections 3, Manual Manual Conforming Pms up to date
documented and implemented. replaced on quarterly schedule. 0012
3.1 and 3.3.

Electronic or mechanical records (not hand-written) must be Each order is bar scanned in
For every oven batch the applicator shall record:
kept for the following: and out of the plating and bake Yes, Per visual Yes , per Visual
- Time out of plating line
H1.7 - Time out of plating line Automatic/Manual Automatic/Manual process and a bake log is also Conforming shop tracking shop tracking
- Time at start of bake cycle
- Time at start of bake cycle maintained for ease of system system
- Time at end of bake cycle
- Time at end of bake cycle maintaining orders.

H1.8 Air filter (if used) change as scheduled. Manual Manual Per oven manufacturer, filter supplier recommendation No Filter Required Conforming Per MNT3-0012 Per MNT3-0012

Before shipment of each batch, an independent inspector (other

than operator) shall verify:
- Time out of plating line
Yes, tracking
- Time at the start of bake cycle Reviewed Daily by Quality Tracking through
H1.9 Bake oven logs for each oven batch are reviewed and verified. Manual Manual Conforming completed at and
- Time at end of bake cycle Supervisor or Quality Manager. Visual Shop
verified.
Additionally verify the following meet process specifications:
- Time to temperature
- Length of bake cycle at temperature

Yes, All rework is

The rework documents must include: Quality Department provides
tracked and
Hydrogen embrittlement relief must be performed per customer - Time out of plating line disposition to include bake Verified By MRB
H1.10 Manual Conforming maintained
requirements before rework. - Time at the start of bake cycle cycle within 1 hour of plating Team.
through Rework
- Time at end of bake cycle prior to reprocessing.
routers

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PROCESS TABLE A - Zinc & Zinc Alloy Plating

All requirements given below are subordinate to applicable customer/OEM specific requirements.

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

*If minimum requirements are not met, provide supporting records to justify actual conditions. To justify reduced monitoring frequencies, a minimum of 30 consecutive measurements (data points) at stated frequencies must be documented.
If any data points at reduced monitoring frequencies are outside of control limits, then revert back to the frequencies stated under the minimum requirements.

For multiple tanks that serve the same purpose copy and paste sections as needed.

Columns H and I are used for the Job Audit (Section 4).
Regularly scheduled measurements (e.g., temperature, concentrations, pH) are to be entered in the appropriate row.

For sections that are not applicable mark NA in the Comments column.

Process Line Identification: Plating lines B3, B4 and B5, Chromate Line 3, Bake Ovens- Barrel Plating B5, Continuous Bake Oven #1, Osolating Basket Chromate line C3, Wax.

Type of Line: Rack or Barrel- Barrel Plating.

Observation/
Category/Process Steps Type of Control Monitoring Frequency Job Audit Measurements
Comments
Actual
Conforming
Measurements
ITEM # Minimum Requirement Actual Condition Minimum Requirement Actual Condition Nonconforming Range
supporting time of
NA
Job Audit
1.0 Alkaline Cleaning
Type
- Spray
Caustic Base
- Soak
- Electro (anodic or cathodic)

Size, volume: 1,150 Gal

Chemical supplier: Kimya

Continuous
Automatic
monitoring by
A1.1 Temperature (Thermocouple) Max SAT difference allowed Automatic Continuous monitoring by controller. Manually verify daily. Conforming 130-200° F 173°
controller, verified
+/- 5oC (10oF). 11/Day

A1.2 Concentration Manual Manual Once per day. 10/Shift Conforming 3-10% 5.3%

After any program

A1.3 Time Automatic Automatic After any program changes. Conforming Set per Program 12 Min 21 Seconds
Changes and 1/Day

A1.4 Agitation (if applicable) Automatic Automatic Once every 8 hours. Per Process Sheet Conforming On or Off On

A1.5 Amperage or Voltage Control (if applicable) Automatic Automatic Once every 8 hours*. 1x per shift Conforming N/A N/A

Continuous monitoring by controller. Manually verify daily for

Solution Level
A1.6 Automatic or Manual Manual automatic controls, every 8 hours for systems without 4x per shift Conforming Yes or No Yes
- Parts, heaters, and transducers are completely submerged.
controllers.
Impurity Content Check
Per chemical supplier recommendation such as:
A1.7 Manual Manual Once per week* N/A N/A N/A N/A
- acid split (oil contamination)
- alkalinity ratio
Tank and solution maintenance schedule documented and
A1.8 Manual Manual Per preventive maintenance program. Per PRC-4-2005 Conforming Per PRC4-2008 Conforming
followed.
A1.9 Ultrasonic (if applicable functionality check) Manual Manual Once every 8 hours. N/A N/A N/A N/A

2.0 Acid Pickling

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Observation/
Category/Process Steps Type of Control Monitoring Frequency Job Audit Measurements
Comments
Actual
Conforming
Measurements
ITEM # Minimum Requirement Actual Condition Minimum Requirement Actual Condition Nonconforming Range
supporting time of
NA
Job Audit

Type: Hydrochloric Acid

Size, volume: 1,110 Gal.

Chemical supplier: Haviland Products

Automatic
A2.1 Temperature (Thermocouple) (if applicable) Max SAT difference allowed Automatic Continuous monitoring by controller. Manually verify daily. Verified 12x's Per day Conforming Automatic Automatic
+/- 3oC (5oF).

A2.2 Concentration Manual Manual Once every 8 hours* 10x's per shift Conforming 30%-40% 35%

N/A
Metallic impurity concentration. Obtain metallic impurity limits
A2.3 Manual Manual Once per month. 1x per Month Conforming Supplier as N/A
from chemical supplier with required corrective actions.
requested

Per program
After any program
A2.4 Time (Less than 10 Minutes or Customer Specific) Automatic Automatic After any program changes. Conforming Controls not to 9 Min
changes
exceed 10 min

A2.5 Inhibitor Manual Manual Per Control Plan. Per Tech Data Sheet Conforming Yes Per KI16 Yes

A2.6 Solution Level Manual Manual Once every 8 hours. 4x's per shift Conforming Verified every 8 Hrs Yes

A2.7 Flowing Rinse Automatic Automatic Once every 8 hours. 1x per Shift Conforming Verified every 8 Hrs Yes

Tank and solution maintenance schedule documented and

A2.8 Manual Per preventive maintenance program. Per PRC-4-2005 Conforming Per PRC4-2005 Conforming
followed.

3.0 Acid Plating Bath

Type: Chloride Acid Zinc

Size, volume: 5,410 Gal (2 Tanks)

Chemical supplier: Dipsol

Automatic
A3.1 Temperature (Thermocouple) Max SAT difference allowed Automatic Continuous monitoring by controller. Manually verify daily. 4x per shift Conforming 85-115°F 101°F
+/- 3oC (5oF).
After any program
A3.2 Time Automatic Automatic After any program changes. Conforming Set per Program 83 Min
changes
Continuous monitoring by controller. Manually verify daily for
Solution Level Continuous
A3.3 Automatic or Manual Automatic automatic controls, every 8 hours for systems without Conforming Verified every 8 Hrs Confirmed
- Parts, heaters, and transducers are completely submerged. Monitoring
controllers.

A3.4 Current/Voltage Automatic or Manual Automatic Once every 8 hours. Per Job Conforming 0-1500 AMPS 1213 AMPS

A3.5 Chloride Concentration Manual Manual Once per day. 1x per day Conforming 17.5-22.5 19.8

A3.6 pH Manual Manual Once every 8 hours. 4x per shift Conforming 5.4-5.7 5.49

A3.7 Plating Test Cell (Hull Cell) Manual Manual Once per day. 1x Daily Conforming Yes or No Yes

A3.8 Plating Metal Concentration(s) Manual Manual Once per day*. 4x Daily Conforming 2.5-8 o/g 3.6

Alloying Element Concentration

A3.9 Manual N/A Once per day. N/A N/A N/A N/A
(e.g., Ni, Co, Sn; if applicable)

Metallic impurity concentration. Obtain metallic impurity limits

A3.10 Manual N/A Once per month. N/A N/A N/A N/A
from chemical supplier with required corrective actions.

A3.11 Buffer (Ammonia / Boric Acid/Acetate per TDS) Manual N/A Once per month. N/A N/A N/A N/A

A3.12 Filtration Pressure Continuous N/A Once every 8 hours. N/A N/A N/A N/A

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Observation/
Category/Process Steps Type of Control Monitoring Frequency Job Audit Measurements
Comments
Actual
Conforming
Measurements
ITEM # Minimum Requirement Actual Condition Minimum Requirement Actual Condition Nonconforming Range
supporting time of
NA
Job Audit

A3.13 Agitation (Rack only - others optional) Continuous N/A Once every 8 hours. N/A N/A N/A N/A

Proprietary chemical additives concentration (e.g., wetter,

A3.14 Manual N/A Once per month by Supplier. N/A N/A N/A N/A
carrier, brightener)

A3.15 Chemical feeders Automatic N/A Once per week. N/A N/A N/A N/A

A3.16 Fallen part removal Manual N/A As per preventive maintenance schedule. N/A N/A N/A N/A

Tank and solution maintenance schedule documented and

A3.17 Manual N/A Per preventive maintenance program. N/A N/A N/A N/A
followed.

4.0 Alkaline Plating Bath

Type: N/A N/A N/A N/A N/A

Size, volume: N/A N/A N/A N/A N/A

Chemical supplier: N/A N/A N/A N/A N/A

Automatic
A4.1 Temperature (Thermocouple) Max SAT difference allowed N/A Continuous monitoring by controller. Manually verify daily. N/A N/A N/A N/A
+/- 3oC (5oF).

A4.2 Time Automatic or Manual N/A Automatic - After any program changes. Manual - every load.* N/A N/A N/A N/A

Continuous monitoring by controller. Manually verify daily for

Solution Level
A4.3 Automatic or Manual N/A automatic controls, every 8 hours for systems without N/A N/A N/A N/A
- Parts, heaters, and transducers are completely submerged.
controllers.

A4.4 Current/Voltage Automatic or Manual N/A Once every 8 hours. N/A N/A N/A N/A

A4.5 Plating Test Cell (Hull Cell) Manual N/A Once per day. N/A N/A N/A N/A

Zinc Generator Tank (if applicable)

A4.6 -Caustic Concentration Automatic or Manual N/A Once every 8 hours. N/A N/A N/A N/A
-Zinc Concentration

A4.7 Caustic Concentration Manual N/A Once per day. N/A N/A N/A N/A

A4.8 Zinc Concentration Manual N/A Once per day. N/A N/A N/A N/A

Alloying Element Concentration

A4.9 Manual N/A Once per day. N/A N/A N/A N/A
(e.g., Fe, Ni, Co; if applicable)

A4.10 Complexor Concentration (for alloy baths) Manual N/A Once per month by Supplier. N/A N/A N/A N/A

Metallic impurity concentration. Obtain metallic impurity limits

A4.11 Manual N/A Once per month. N/A N/A N/A N/A
from chemical supplier with required corrective actions.

A4.12 Carbonate (CO3) concentration Manual N/A Once per month (Twice per month for alloy plating). N/A N/A N/A N/A

Proprietary chemical additives concentration

A4.13 Manual N/A Once per month by Supplier. N/A N/A N/A N/A
(e.g., carrier, brightener)

A4.14 Chemical feeders Automatic N/A Once per week. N/A N/A N/A N/A

A4.15 Agitation (Rack only - others optional) Continuous N/A Once every 8 hours. N/A N/A N/A N/A

A4.16 Cathode Rod Agitation (if applicable) Automatic N/A Once every 8 hours. N/A N/A N/A N/A

A4.17 Filtration Pressure Continuous N/A Once every 8 hours. N/A N/A N/A N/A

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Observation/
Category/Process Steps Type of Control Monitoring Frequency Job Audit Measurements
Comments
Actual
Conforming
Measurements
ITEM # Minimum Requirement Actual Condition Minimum Requirement Actual Condition Nonconforming Range
supporting time of
NA
Job Audit
Rack: Once every 24 hours.
A4.18 Fallen part removal Manual N/A N/A N/A N/A N/A
Barrel: Once per week and after any lost load.

Tank and solution maintenance schedule documented and

A4.19 Manual N/A Per preventive maintenance program. N/A N/A N/A N/A
followed.

Pre-bake acid treatment if baking is required (i.e., nitric,

5.0
sulfuric, chromate, etc.)

A5.1 pH/concentration Manual N/A Once every 8 hours. 4x's per shift Conforming 0.5-2.2 1.6
After any Program
A5.2 Time Automatic Automatic After any program changes. Conforming Per Part Program 16 Seconds
Changes
Tank and solution maintenance schedule documented and
A5.3 Manual Per preventive maintenance program. Per PRC4-2005 Conforming Per PRC4-2005 Conforming
followed.

6.0 Hydrogen Embrittlement Relief

Per Customer Per Customer
A6.1 Refer to PT Embrittlement Bake as required Conforming Conforming Conforming
Requirements Requirements
7.0 Acid Activation (i.e., nitric, sulfuric, etc.)

A7.1 pH/concentration Manual Manual Once every 8 hours. 1x every 8 hours Conforming 1.0-2.0 1.6
After any program
A7.2 Time Automatic* Automatic After any program changes. Conforming Per Part Program Exit Data results
Changes
A7.3 Fallen part removal Manual Manual Once every 24 hours for rack line. At Tank Cleaning Conforming Conforming At tank Cleaning
Tank and solution maintenance schedule documented and
A7.4 Manual Per preventive maintenance program. Per PRC-4-2005 Conforming Per PRC4-2008 Conforming
followed.

Rinse (This section is to be repeated as necessary to document all individual rinse steps in the entire
8.0
process line. In cases of sequential rinses this section covers the final rinse of the sequence)

Rinse Type - Identify in comment section

A8.1 e.g., Flowing, Counter Flowing, Spray, Stagnant, Drag-in/out, NA NA NA NA NA NA NA
etc.

Water Type- Identify in comment section

A8.2 NA NA NA NA NA NA NA
e.g., Municipal, Deionized (DI),Reverse Osmosis (RO), etc.

Agitation type - Identify in comment section (if applicable)

A8.3 NA NA NA NA NA NA NA
e.g., Mechanical (Describe), Air, Ultrasonic, etc.

Continuous monitoring by controller. Manually verify daily for

Solution Level
A8.4 Automatic or Manual Manual automatic controls, every 8 hours for systems without NA NA NA NA
- Parts, heaters, and transducers are completely submerged.
controllers.
Automatic
A8.5 Temperature (Thermocouple) (if applicable) Max SAT difference allowed Once every 8 hours. NA NA NA NA
+/- 3ºC (5ºF).
Rinse Quality - Identify in comment section
A8.6 Manual Once every 8 hours.* NA NA NA NA
e.g., pH, Impurity Check, Conductivity

A8.7 Flow rate (if applicable) Manual Once every 8 hours. NA NA NA NA

A8.8 Spray nozzle condition (if applicable) Manual Once every 8 hours. NA NA NA NA

Verify position of incoming water feed is near the bottom (if

A8.9 Manual Per preventive maintenance program. NA NA NA NA
immersion tank).
Tank and solution maintenance schedule documented and
A8.10 Manual Per preventive maintenance program. NA NA NA NA
followed.
9.0 Passivates

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Special Process: Plating System Assessment
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Observation/
Category/Process Steps Type of Control Monitoring Frequency Job Audit Measurements
Comments
Actual
Conforming
Measurements
ITEM # Minimum Requirement Actual Condition Minimum Requirement Actual Condition Nonconforming Range
supporting time of
NA
Job Audit

Type: Chromax ELV

Size, volume: 650 Gal

Chemical supplier: MacDermid

Prior to production start-up.

A9.1 Concentration Automatic or Manual Automatic If automatic control, once per day. 3x's per shift Conforming 8.0-12% 9.20%
If manual, once every 8 hours.

Automatic
Verified via HMI
A9.2 Temperature (Thermocouple) Max SAT difference allowed Automatic Continuous monitoring by controller. Manually verify daily. 4x's per shift Conforming Conforming
Display
+/- 1oC (2oF).

Automatic - After any program changes.

A9.3 Time Automatic or Manual Automatic 1/cycle Load Conforming 50-60 55 Seconds
Manual - every load.*
Continuous monitoring by controller. Manually verify daily for
Solution Level
A9.4 Automatic or Manual Manual automatic controls, every 8 hours for systems without Every 2hrs Conforming Conforming Conforming
- Parts, heaters, and transducers are completely submerged.
controllers.
Prior to production start-up.
A9.5 pH Automatic* Automatic If automatic control, once per day. 12x's per shift Conforming 1.4-3.0% 2.15%
If manual, once every 8 hours.

A9.6 Agitation Automatic Automatic Once every 8 hours. 1x Per Shift Conforming Yes Yes

A9.7 Metallic Impurity level(s) (e.g., Fe, Zn) Manual Manual Once per week. 1x Daily Conforming 0-25000PP 18,860 PP

A9.8 Filtration if applicable Automatic Once every 8 hours. N/A N/A N/A N/A

A9.9 Fallen part removal Manual Manual Once every 24 hours for rack line. At Tank Cleaning Conforming At tank PM Conforming

Tank and solution maintenance schedule documented and

A9.10 Manual Per preventive maintenance program. Per PRC-4-2005 Conforming Per PRC4-2005 Conforming
followed.

10.0 Supplemental Treatments - Topcoats, Sealants and Friction Modifiers

Type: Top Coat / Friction Modifiers

Size, volume: 400 Gal

Chemical supplier: Mac Dermid/Castrol/Dipsol

Prior to production start-up.

A10.1 Concentration Manual Manual If automatic control, once per day. 4x per shift N/A N/A N/A
If manual, once every 8 hours.

Automatic
A10.2 Temperature (Thermocouple) (if applicable) Max SAT difference allowed Automatic Continuous monitoring by controller. Manually verify daily. Verified Daily N/A N/A N/A
+/- 1oC (2oF).

Prior to production start-up.

A10.3 pH (if applicable) Automatic or Manual Manual If automatic control, once per day. 4x per shift N/A N/A N/A
If manual, once every 8 hours.
After any program
A10.4 Time Automatic* Automatic After any program changes if automatic. N/A N/A N/A
Changes
Continuous monitoring by controller. Manually verify daily for
Solution Level
A10.5 Automatic or Manual N/A automatic controls, every 8 hours for systems without N/A N/A N/A N/A
- Parts, heaters, and transducers are completely submerged.
controllers.
A10.6 Filtration Pressure (if applicable) Automatic N/A Once every 8 hours. N/A N/A N/A N/A

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Special Process: Plating System Assessment
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Observation/
Category/Process Steps Type of Control Monitoring Frequency Job Audit Measurements
Comments
Actual
Conforming
Measurements
ITEM # Minimum Requirement Actual Condition Minimum Requirement Actual Condition Nonconforming Range
supporting time of
NA
Job Audit
Tank and solution maintenance schedule documented and
A10.7 Manual N/A Per preventive maintenance program. N/A N/A N/A N/A
followed.

11.0 Drying

A11.1 Drying Time Automatic Automatic Per Process Sheet and TDS. 1x Per Month Conforming 8-9 Min 8 Min 30 Seconds

Automatic
A11.2 Drying Temperature (Thermocouple) Max SAT difference allowed Automatic Per Process Sheet and TDS. 5x Daily Conforming 150°F Min 187°F
+/- 5oC (10oF).
Verified Every
A11.3 Verify operation of blowers and/or rotation of dryer. Manual Manual Once per 8 hours. 1x Per Shift Conforming Verified every 4 Hrs
5x/Day
Every container and
rack. Parts exiting
A11.4 There is a procedure to ensure dryness of parts. Manual Manual Every container and rack. Conforming Yes per ZB43-0016 Conforming
dryer temp checked
per ZB43-0016
12.0 Process Equipment

Process equipment shall be verified and calibrated per Process Table I.

Calibrations shall be certified, posted and up to date.
A12.1
A system shall be used to track calibration dates of equipment.
Complete the audit for these identified elements in Process Table I.
Conforming
Guidance Objective Evidence / Comments Nonconforming
NA
What is the internal system used for conducting and managing calibration of all relevant equipment
Per EMS PR-113 Monitoring and Measuring Procedure Conforming
identified in Table I?

Provide the document that lists all relevant equipment identified in Process Table I. See PT Table I Conforming

How do you ensure calibrations are up to date? Monthly email reminder to verify calibrations, Operators to ensure calibration is valid before using instruments. Conforming
How do you ensure new equipment has been added to the calibration list, and inactive equipment
Per EMS PR-113 Monitoring and Measuring Procedure Conforming
has been removed?

Are calibration labels present and up to date for listed equipment? Yes Conforming

What is the reaction plan to any failed verification? Per EMS PR-113 Monitoring and Measuring Procedure Conforming

Barrels, baskets, and drive mechanism shall be maintained.

A12.2
Verifications shall be performed against a certified standard and data recorded.

Conforming
Guidance Objective Evidence / Comments Nonconforming
NA

How do you inspect for the integrity of the barrels, baskets, and drive mechanism?
(i.e., perforations, trap points, warpage, plugged holes, door gaps, other damage) Per PR-300 and ZB53-0001 Operator instructions Conforming
Where are the inspection results documented?

Describe your preventive maintenance program for barrels, baskets and drive mechanism. Per PM Maintenance schedule and procedure MNT3-0012 Conforming

How is each barrel and basket uniquely identified for tracking purposes? All barrel drives and Barrels have their own unique number 1-42 for barrels Conforming

Racks and fixtures shall be maintained.

A12.3
Organization shall have preventive maintenance system that is documented and implemented.

Conforming
Guidance Objective Evidence / Comments Nonconforming
NA

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Special Process: Plating System Assessment
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Observation/
Category/Process Steps Type of Control Monitoring Frequency Job Audit Measurements
Comments
Actual
Conforming
Measurements
ITEM # Minimum Requirement Actual Condition Minimum Requirement Actual Condition Nonconforming Range
supporting time of
NA
Job Audit
How do you inspect for the integrity of the racks and fixtures?
(i.e., broken electrical contacts, plating build up, plastisol rack coating and other damage) N/A N/A
Where are the inspection results documented?

Describe your preventive maintenance program for racks and fixtures. N/A N/A

How is each rack or fixture identified for tracking purposes? N/A N/A

Rectifiers shall be maintained.

A12.4
The Plater shall have a preventive maintenance system that is documented and implemented.

Conforming
Guidance Objective Evidence / Comments Nonconforming
NA
Describe the preventive maintenance program for rectifiers used in production and in the laboratory
Per MNT3-0012 and yearly calibrations Conforming
(i.e., voltage, amperage and ripple).

Is the ripple reading within the maximum allowable limit recommended by the chemical supplier? Yes Conforming

All Anodes, Contacts and Bussing shall be maintained.

A12.5
Organization shall have preventive maintenance system that is documented and implemented.

Conforming
Guidance Objective Evidence / Comments Nonconforming
NA

Describe the preventive maintenance program for anodes of all types including inert, consumable,
Per MNT3-0012 Conforming
bags, baskets and auxiliary.
Describe the preventive maintenance program for contacts and electrical bussing including
Per MNT3-0012 Conforming
cleanliness, high electrical resistance, electrical shorts.

All filters shall be maintained.

A12.6
The organization shall have a preventive maintenance system that is documented and implemented.
Conforming
Guidance Objective Evidence / Comments Nonconforming
NA
Describe the preventive maintenance program for all plating solution filters to include plate, filter bag
Per PRC3-0045 Conforming
and cartridge.

Describe the preventive maintenance program for all air filters used on ovens, dryers, chillers,
Per MNT3-0012 Conforming
blowers and fans etc.

All process and equipment alarms shall be tested on a quarterly basis at a minimum.
A12.7
The organization shall have a preventive maintenance system that is documented and implemented.
Conforming
Guidance Objective Evidence / Comments Nonconforming
NA
Describe the preventive maintenance program where alarms are used for amperage, voltage,
Per Program controls, Exit Data, Audits Conforming
heating, cooling, level control, air circulation and air agitation etc.

Provide a list of all the alarms that are tested and the test frequency. Barrel Rotation sensors. Bake oven Temp audit, HMI display audits Conforming

A12.8 All process equipment including the tanks have a maintenance schedule that is documented and followed.

Conforming
Guidance Objective Evidence / Comments Nonconforming
NA

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Special Process: Plating System Assessment
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Observation/
Category/Process Steps Type of Control Monitoring Frequency Job Audit Measurements
Comments
Actual
Conforming
Measurements
ITEM # Minimum Requirement Actual Condition Minimum Requirement Actual Condition Nonconforming Range
supporting time of
NA
Job Audit

The preventive maintenance schedule should include a list of equipment that is in use with the
associated process.
Yes per MNT3-0012 Conforming
(i.e., Tanks, liners pumps, plumbing, heaters, ventilation, coalescer, rectifier, heating, cooling, level
control, air circulation and air agitation etc.)

Describe the method used to develop and document the maintenance schedule.
MNT4-0011 Barrel checksheet MNT4-0025 PM Bake Ovens, MNT4-0023 PM Annual Log Conforming
(i.e., printed, electronic)

Provide an example of a completed sign off record. Conforming Conforming

13.0 Test Equipment

Test Equipment shall be verified and calibrated per Process Table I.

Calibrations shall be certified, posted and up to date.
A13.1
A system shall be used to track calibration dates of equipment.
Complete the audit for these identified elements in Process Table I.
Conforming
Guidance Objective Evidence / Comments Nonconforming
NA
Wet Analysis:
See PT Table I Conforming
Before use, chemicals must be checked for shelf life and/or expiration date.

pH / Conductivity Meter See PT Table I Conforming

pH / Conductivity Probes See PT Table I Conforming

Ion Selective probes are optional. See PT Table I Conforming

Dedicated probes must be used for chromates / passivates. See PT Table I Conforming

Laboratory Balance (Weight Scale) (Optional) See PT Table I Conforming

Atomic Absorption (AA) or Inductively Coupled Plasma (ICP) See PT Table I Conforming

X-Ray Fluorescence (XRF) - Optional for Zinc Plating, Required for Zinc Alloy Plating See PT Table I Conforming

Lab Rectifier See PT Table I Conforming

Hand held thermometer See PT Table I Conforming

Pipettes - Before use, pipettes must be checked for broken tips See PT Table I Conforming

Salt Spray Cabinet See PT Table I Conforming

Thickness Tester See PT Table I Conforming

Lab Oven See PT Table I Conforming

Torque-tension/Friction Tester - Required for fastener plating only. See PT Table I Conforming

Proceed to PT - H Embrittlement Bake (if required)

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PROCESS TABLE I - Process Control and Testing Equipment Verification and Calibration
All requirements given below are subordinate to applicable customer/OEM specific requirements.

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

*If minimum requirements are not met, provide supporting records to justify actual conditions. To justify reduced monitoring frequencies, a minimum of 30 consecutive measurements (data
points) at stated frequencies must be documented. If any data points at reduced monitoring frequencies are outside of control limits, then revert back to the frequencies stated under the
minimum requirements.

For multiple tanks that serve the same purpose copy and paste sections as needed.

Conforming Calibration / Conforming Observation /

ITEM # EQUIPMENT TYPE Verification Frequency Nonconforming Certification Nonconforming Comments
NA Frequency NA
1.0
Before use, chemicals must be checked for shelf
I1.1 Daily Conforming NA Conforming
life and/or expiration date.

I1.2 Temperature Controller Per Section 3 Pyrometry Conforming Annually Conforming

Per Section 3
I1.3 Thermocouple Per Section 3 Pyrometry Conforming Conforming
Pyrometry

I1.4 pH Meter Per equipment manufacturer's specifications Conforming Annually Conforming

Once every 4 hours, using a minimum of 2 buffer solutions

I1.5 pH Probe Conforming NA Conforming
near the min and max of the chemical control range.

I1.6 Conductivity Meter Per equipment manufacturer's specifications Conforming Annually Conforming

Once every 4 hours, using a minimum of 2 reference

I1.7 Conductivity Probe Comforming NA Conforming
solutions near the min and max of the chemical control range.

Once every 4 hours, using a minimum of 2 reference

I1.8 Ion Selective (ISE ) Probe N/A NA N/A
solutions near the min and max of the chemical control range.

I1.9 Laboratory Balance Monthly using a minimum of 2 reference mass standards. Conforming Annually Conforming

I1.10 Atomic Absorption (AA) Before each use. Conforming Annually Conforming

I1.11 Inductively Coupled Plasma (ICP) Before each use. N/A Annually N/A

I1.12 Ion Chromatography (IC) Before each use. N/A Annually N/A

Daily.
I1.13 X-Ray Fluorescence (XRF) Thickness and alloy for each combination of plating and Conforming Annually Conforming
substrate.

I1.14 Hardness Tester Daily Conforming Annually Conforming

I1.15 Profilometer Daily N/A Annually N/A

I1.16 Lab Rectifier NA Conforming Annually Conforming

I1.17 Hand held digital thermometer NA N/A Annually N/A

I1.18 Glass thermometer Visual inspection before each use. N/A Annually N/A

Pipettes - Before use, pipettes must be checked

I1.19 Before each use N/A NA N/A
for broken tips

I1.20 Salt Spray Cabinet Daily Conforming Annually Conforming

I1.21 Thickness Tester Every 8 hours Conforming Annually Conforming

I1.22 CASS Cabinet Daily N/A Annually N/A

Microscope (Min 100X) with calibrated grid

I1.23 Daily N/A Annually N/A
reticle for Pore/Crack Count

I1.24 Lab Oven Per Section 3 Pyrometry N/A Annually N/A

I1.25 Torque-tension/Friction Tester NA Conforming Annually Conforming

I1.26 Refractometer Monthly Conforming/ Weekly NA N/A

I1.27 Spectrophotometer Monthly N/A Annually N/A

I1.28 Color Meter Daily N/A Annually N/A

I1.29 Gloss Meter Monthly N/A Annually N/A

I1.30 Digital Temperature Recorder (i.e., DataPaq) NA Conforming Annually Conforming

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