[KEN3] CQI-Audit Elements (Paragraphs 1-2)

CQI-11 Plating System Assessment (3rd Edition) – Audit Elements (Paragraphs 1-2)

1. Management Responsibility (Paragraph 1)

Objective: Ensure that top management demonstrates commitment to quality, customer requirements, and process effectiveness in the plating system.

Key Requirements:

• 1.1 Management must define and communicate quality policies, objectives, and performance metrics relevant to plating processes.

• 1.2 Adequate resources (personnel, equipment, training) must be provided to maintain plating system requirements.

• 1.3 Management must review plating process performance (e.g., KPIs, customer complaints, audit results) at defined intervals.

• 1.4 A documented organizational structure with clear roles and responsibilities for plating operations must be established.

Evidence to Review:

• Quality policy and objectives documentation

• Management review meeting records

• Resource allocation (training records, equipment maintenance logs)

• Organizational charts and job descriptions

2. Continuous Improvement (Paragraph 2)

Objective: Verify that the organization has a structured approach to identifying and implementing improvements in plating processes.

Key Requirements:

• 2.1 A documented continuous improvement process must be in place, including methods for identifying improvement opportunities (e.g., scrap reduction, efficiency gains).

• 2.2 Corrective and preventive actions (CAPA) must be implemented for nonconformities related to plating processes.

• 2.3 Improvement projects should be tracked for effectiveness (e.g., cost savings, defect reduction).

• 2.4 Employee involvement in improvement activities (e.g., suggestions, team-based problem-solving) should be encouraged.

Evidence to Review:

• Continuous improvement program documentation

• CAPA records (8D, 5Why, etc.)

• Improvement project tracking logs

• Employee training/engagement in problem-solving methods

Audit Approach for Paragraphs 1-2:

• Interview management to assess their understanding of plating system requirements.

• Review documented processes for compliance with CQI-11.

• Check records (meeting minutes, training logs) for evidence of implementation.

• Verify effectiveness through performance metrics (e.g., defect rates, on-time delivery).

Would you like additional details on scoring (e.g., "Fully Meets," "Partially Meets," "Does Not Meet") or examples of nonconformities in these sections?

Audit Elements Paragraph 3 for CQI-11 Plating System Assessment 3rd edition

CQI-11 Plating System Assessment (3rd Edition) – Audit Element (Paragraph 3: Process Control and Monitoring)

Objective:Ensure that the plating process is controlled and monitored effectively to meet customer and specification requirements, including process stability, consistency, and defect prevention.

3. Process Control and Monitoring (Paragraph 3)

Key Requirements:

3.1 – Process Documentation & Work Instructions

• Documented process control plans, work instructions, and operating procedures must be available for all plating processes.

• Includes critical parameters (e.g., bath chemistry, temperature, time, current density).

• Work instructions must be accessible to operators and kept up to date.

3.2 – Process Monitoring & Records

• Key process variables (e.g., pH, temperature, thickness, adhesion) must be monitored at defined frequencies.

• Records of process monitoring (logs, charts, SPC data) must be maintained.

• Out-of-control conditions must trigger corrective actions.

3.3 – Control of Process Changes

• Changes to plating processes (e.g., chemical adjustments, equipment modifications) must be reviewed and approved before implementation.

• Customer approval may be required for significant changes (per customer-specific requirements).

3.4 – Process Validation & Verification

• Initial process validation (e.g., PPAP, process capability studies) must be conducted.

• Periodic revalidation is required if changes occur or if process instability is detected.

3.5 – Handling of Nonconforming Product

• Procedures must exist to identify, segregate, and disposition nonconforming plated parts.

• Root cause analysis and corrective actions must be implemented for recurring issues.

Evidence to Review:

✅ Process Control Plans & Work Instructions – Verify they include critical parameters and are up to date.

✅ Process Monitoring Records – Check logs, SPC charts, and calibration records.

✅ Change Management Documentation – Review approvals for process changes.

✅ Validation Reports (PPAP, Cp/Cpk studies) – Ensure processes are validated.

✅ Nonconformance Reports (NCRs) & Corrective Actions – Verify proper handling of defects.

Audit Approach:

1. Interview Operators – Do they understand work instructions and critical controls?

2. Review Real-Time Process Data – Are key parameters within limits?

3. Check Calibration & Maintenance Logs – Are monitoring instruments properly maintained?

4. Verify Nonconforming Material Controls – Is there a clear containment and corrective action process?

Scoring Guidance (Based on CQI-11 Rating Scale):

• Fully Meets (5) – All requirements are met with strong evidence.

• Partially Meets (3) – Minor gaps exist (e.g., missing records, outdated instructions).

• Does Not Meet (1) – Major nonconformities (e.g., no process controls, unchecked deviations).

More...Additional details on specific sub-elements (e.g., chemical controls, tank maintenance) within Paragraph 3...