[KEN 4] CQI-11 Audit Element (Paragraph 4: Materials)

CQI-11 Plating System Assessment (3rd Edition) – Audit Element (Paragraph 4: Materials)

Objective:Ensure that all materials (chemicals, pretreatment solutions, plating baths, etc.) used in the plating process are properly controlled to maintain consistent quality, prevent contamination, and meet specifications.

4. Materials (Paragraph 4)

Key Requirements:

4.1 – Material Specifications & Approval

• All plating chemicals, additives, and pretreatment materials must meet approved specifications (internal/customer/industry standards).

• Supplier certifications (e.g., COA, RoHS/REACH compliance) must be maintained.

4.2 – Incoming Material Verification

• Incoming materials must be inspected/tested per a defined procedure (e.g., chemical concentration, purity checks).

• Records of inspections must be retained.

4.3 – Storage & Handling

• Materials must be stored under proper conditions (e.g., temperature, segregation, shelf life control).

• Hazardous chemicals must follow OSHA/SDS safety requirements.

4.4 – Bath Maintenance & Control

• Plating bath chemistry must be monitored and adjusted per control plans (e.g., titration, Hull cell tests).

• Contamination prevention measures must be in place (e.g., filtration, purification).

4.5 – Waste Material Disposal

• Procedures must exist for safe disposal/recycling of spent solutions, sludge, and hazardous waste (per EPA/local regulations).

  
  

Evidence to Review:

✅ Approved Chemical Specifications – Supplier COAs, SDS sheets, customer approvals.

✅ Incoming Inspection Records – Lab test reports, acceptance logs.

✅ Storage Conditions – Temperature logs, segregation practices, expiration checks.

✅ Bath Maintenance Logs – Titration records, chemical additions, filtration schedules.

✅ Waste Disposal Documentation – Hazardous waste manifests, recycling certificates.

Audit Approach:

1. Check Material Certifications – Are all chemicals from approved suppliers with valid COAs?

2. Verify Incoming Tests – Are materials tested before use (e.g., pH, concentration)?

3. Inspect Storage Areas – Are chemicals labeled, segregated, and stored safely?

4. Review Bath Control Records – Are adjustments documented, and contamination prevented?

5. Confirm Waste Compliance – Is disposal documented per environmental regulations?

Scoring Guidance (CQI-11 Rating Scale):

• Fully Meets (5) – All requirements met with robust documentation.

• Partially Meets (3) – Minor gaps (e.g., missing COAs, incomplete bath logs).

• Does Not Meet (1) – Major risks (e.g., unapproved chemicals, improper disposal).

  
  

More.. further details on sub-elements like bath analysis methods or supplier qualification criteria...