I have seen quality scares in heavy parts. I fixed them with a strict checklist. I share my checklist here, step by step, so you avoid costly mistakes.
I look for ISO 9001 1 as a base, then ISO 14001 2 and ISO 45001 3 for plant discipline. I add IATF 16949 4 or proven APQP/PPAP, ISO 3834 5 for welding, ISO 9712 6 NDT, CQI-9 7 heat treat control, EN 10204 8 3.1/3.2 traceability, and ISO/IEC 17025 9 testing.
I will keep this simple and practical. I will explain what to ask for, how to verify it, and how to spot red flags fast. Then you can qualify a factory with confidence.
Is ISO 9001 certification a minimum requirement I should set for my suppliers?
I have learned that good systems prevent bad parts. ISO 9001 sets the floor. Without it, risk goes up fast.
I set ISO 9001:2015 as a minimum for all suppliers. I also prefer ISO 14001 and ISO 45001 for casting, forging, machining, and heat treatment plants. For OEM-grade work, I add IATF 16949 or a documented APQP/PPAP system.
What ISO 9001 should cover
I ask the factory to show ISO 9001 that covers design and manufacture of undercarriage components. I check that the scope includes track chains, rollers, idlers, sprockets, and welded assemblies. I confirm the site address on the certificate matches the real plant. I read issue and expiry dates. I look for the accreditation mark on the certificate from a body under IAF.
Environmental and safety discipline
I prefer ISO 14001 for environmental control. Foundries and heat treatment lines create emissions, waste, and noise. ISO 14001 keeps them within rules and stable. I also want ISO 45001. Heavy shops need safe layouts, clear PPE rules, crane checks, and lockout-tagout. These systems keep people safe and lines running.
OEM-grade quality flow
If the parts will go into OEM channels, I ask for IATF 16949. If they do not have it, I look for proven APQP and PPAP. I want a control plan, PFMEA, and a process flow chart for rollers, chains, and sprockets. I want MSA studies and SPC charts for key sizes and hardness.
| Certification level | Scope I expect | Why it matters | Proof I request |
|---|---|---|---|
| Minimum | ISO 9001:2015 (design and manufacture of undercarriage parts) | Stable processes and traceability | Valid certificate with IAF-accredited CB, site address, scope |
| Strong baseline | ISO 14001, ISO 45001 | Environmental and safety control | Valid certificates covering the same site |
| OEM-grade | IATF 16949 or APQP/PPAP system | Serial production discipline | PPAP pack, control plan, PFMEA, MSA, SPC samples |
Extra practical checks I always add
I ask for the business license. I check the scope includes “工程机械零部件制造” and “货物进出口.” I ask for the last six months of export declarations for my HS codes. I check that the exporter name matches the legal entity. These simple steps cut risk.
Besides ISO, are there any industry-specific certifications I should be aware of?
I saw many failures come from welding, heat treatment, and testing gaps. Industry-specific standards close those gaps.
I ask for ISO 3834 for welding quality, qualified WPS/PQR, and certified welders. I require NDT with ISO 9712-certified staff. I want CQI-9 for heat treat control, EN 10204 3.1/3.2 for materials, and ISO/IEC 17025 testing. For rubber, I check REACH 10.
Welding quality for track frames and assemblies
I ask for ISO 3834 (Part 2 or Part 3) to control welding quality. I also accept AWS procedures when the project or buyer requires it. I ask for WPS and PQR for each joint type on frames, guards, and shoes. I ask for welder qualification records (ISO 9606 or AWS), and I check validity dates. I review visual inspection records, fillet size gauges, and NDT reports for welds if required.
NDT for critical parts
I ask for NDT procedures. I check that NDT staff are certified to ISO 9712 for UT, MT, or PT. I need written procedures, equipment calibration, and sample reports with defect maps. For sprocket rims and roller shells, MT and UT help catch cracks and inclusions. For cast track shoes, MT helps catch surface defects before machining.
Heat treatment control for wear life
Heat treatment drives wear life. I ask for CQI-9 Heat Treat System Assessment. If they do not have a formal CQI-9 report, I still ask to see the exact recipes, quench media specs, and control charts. I want hardness profiles (HRC/HB), case depth maps, and microstructure photos. I ask for induction hardening power, frequency, coil design notes, and calibration routines.
Materials and traceability
I require EN 10204 3.1 material test certificates. For high-risk jobs, I ask for 3.2 with third-party witnessing. I need heat numbers marked on parts or labels. I want a trace map from raw steel to finished part. I like batch ID labels on cartons.
Testing and labs
I ask for ISO/IEC 17025 accreditation for the in-house lab. If not in-house, I ask for 17025-accredited third-party lab reports. I need tensile, hardness, case depth, and metallography records for the first article and for each batch per the control plan.
Rubber and elastomers
For rubber tracks and seals, I ask for REACH compliance. I need PAH limits and SVHC screening reports. I also confirm aging and abrasion tests. I ask for compound batch records and cure charts.
A short field tip
I ask for sample records. One hardness map, one NDT report, one WPS/PQR, one 3.1 cert, and one lab report. Real factories can send these in a day. Traders cannot.
How can I confirm that a supplier's ISO 9001 certificate is authentic and still valid?
I do not trust a PDF alone. I verify every certificate in public tools and with the issuing body. It takes minutes.
I use IAF CertSearch 11 or the certification body’s directory. I confirm the certificate number, legal name, scope, sites, and expiry. I check the accreditation mark (CNAS/IAF). I call the certification body if anything looks off.
The checks that never fail me
I start with IAF CertSearch to find the company by legal name. If it is not listed, I go to the certification body’s website. I search by certificate number. I match the legal Chinese name, the site address, the scope, and the validity dates. I check surveillance schedule. I confirm the accreditation mark. In China, CNAS accredits many certification bodies. I look for the CNAS mark and the IAF mark on the certificate. I scan the QR code if present.
I match the scope to our product. It must cover design and manufacture of undercarriage parts, or at least machining, heat treatment, forging, and assembly. I check if the certificate lists multiple sites. I confirm that our production site is named. I watch for fake or non-accredited marks. If the logo is from a non-IAF body, I treat it as weak. I keep a screenshot of every check.
I add a simple cross-check. I verify the business license name and USCC against the ISO certificate name. I match the address. I ask the factory for the last audit report cover page. Many will share it. If they refuse all checks, I walk away.
| Check step | Tool or source | What I match | Red flags I avoid |
|---|---|---|---|
| Find the certificate | IAF CertSearch or CB directory | Legal name, certificate number | Not found in any official directory |
| Confirm accreditation | CNAS/IAF marks, CB scope | Accredited CB and IAF MLA | No accreditation marks, odd logos |
| Match scope and site | Certificate text and annex | Product scope and exact site address | Scope too generic, wrong site |
| Check validity | Issue/expiry, surveillance dates | Dates align with today | Expired or no surveillance info |
| Call to confirm | Certification body hotline/email | CB confirms status | CB cannot confirm or different data |
Small extras that help a lot
I ask for the CB name and office that audits them. I ask for the last two surveillance months. I add this to my calendar. I check again before a big order. It is easy and it saves pain.
What kind of internal quality control documentation should I expect a reliable factory to provide?
I ask for real documents that show how they control risk. Good factories share them fast. Traders struggle or delay.
I expect a quality manual, process flow, control plan, PFMEA, work instructions, MSA and SPC, heat treat records, NDT procedures, WPS/PQR, material certs (EN 10204 3.1), traceability logs, calibration lists, and final inspection reports.
The core pack I request every time
I ask for a simple but complete PPAP-like pack. I need a process flow chart for each part type. I want a control plan with checks and frequencies. I need PFMEA pages that list failure modes and actions. I also want work instructions with photos at each station. I ask for MSA studies (gage R&R) for hardness and key sizes. I ask for SPC charts on journal diameters, bore sizes, and hardness.
I ask for heat treatment records. I want furnace charts, quench media checks, and hardness maps. I ask for case depth profiles. I ask for induction power, frequency, and coil setup sheets. I ask for NDT procedures and qualification records for UT/MT/PT. I check that NDT staff are ISO 9712 certified. For welding, I ask for ISO 3834, WPS/PQR, and welder cards (ISO 9606 or AWS). I ask for material certs to EN 10204 3.1 with heat numbers. I ask for traceability logs. I check if the heat number flows to the part and carton label.
I ask for a calibration list. I need ISO/IEC 17025 calibration certificates for master gauges, hardness testers, and probes. I ask for incoming inspection records. I ask for final inspection reports. I want packing specs with torque values, rust protection, skid design, and weight control. I ask for warranty terms in writing. I want the timeline and the remedy spelled out. Six months on undercarriage is common in the aftermarket. I confirm who pays freight if there is a defect.
| Document | What it shows | Typical format | What I look for |
|---|---|---|---|
| Quality manual, process flow, control plan | System, flow, controls | PDF with version control | Clear checks and frequencies |
| PFMEA and work instructions | Risk thinking and execution | PFMEA sheets, photo SOPs | Actions tied to risks |
| MSA and SPC | Measurement and stability | Gage R&R, control charts | Stable Cpk, low gage error |
| Heat treat and hardness | Wear life control | Furnace charts, maps | Case depth and hardness range |
| NDT procedures and records | Defect detection | UT/MT/PT SOPs, reports | ISO 9712 operator proof |
| Welding WPS/PQR and quals | Weld quality | WPS/PQR, welder cards | Valid tests and renewals |
| Material and traceability | Right steel, full trace | EN 10204 3.1, logs | Heat numbers on labels |
| Calibration and inspection | Accuracy | 17025 cal certs, reports | In-date and complete |
| Packing and warranty | Shipment and risk cover | Specs and policy | Clear torque, VCI, remedy |
Two extra proofs that cut doubt
- I ask for the last six months of export declarations for my HS codes. I confirm real shipments. I match exporter name and port logic.
- I ask for two references in my country. I make a short call. I ask about batch stability and response speed.
Conclusion
I set ISO 9001 as the floor. I add process-specific standards. I verify every certificate. I demand real QC documents. Then I place samples with clear criteria.
Footnotes
1. ISO 9001 quality management certification ensures standardized processes. ↩︎
2. Discover ISO 14001 benefits for environmental management. ↩︎
3. Explore ISO 45001 for occupational health and safety management. ↩︎
4. IATF 16949 standard for automotive quality management systems. ↩︎
5. ISO 3834 welding quality standards for metal working industries. ↩︎
6. Learn about ISO 9712 certification for non-destructive testing. ↩︎
7. Understand CQI-9 heat treat assessment systems. ↩︎
8. EN 10204 provides traceability of material quality. ↩︎
9. ISO/IEC 17025 accreditation for testing laboratories. ↩︎
10. REACH regulation impacts on chemical use and safety. ↩︎
11. Search global ISO certification validity via IAF CertSearch. ↩︎