Special Process: Heat Treat System Assessment: 2 Edition

CQI-9
Special Process: Heat Treat System Assessment

2nd Edition
CQI-9
Version 2, Issued 8/07
ABOUT AIAG
Purpose Statement
Founded in 1982, AIAG is a globally recognized organization where OEMs and suppliers unite to address
and resolve issues affecting the worldwide automotive supply chain. AIAG’s goals are to reduce cost and
complexity through collaboration; improve product quality, health, safety and the environment; and
optimize speed to market throughout the supply chain.
AIAG Organization
AIAG is made up of a board of directors, an executive director, executives on loan from member
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companies, associate directors, a full-time staff, and volunteers serving on project teams. Directors,
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department managers, and program managers plan, direct and coordinate the association’s activities
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under the direction of the executive director.
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AIAG Projects
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Volunteer committees focus on business processes or supporting technologies and methodologies. They
conduct research and develop, publish, and provide training on standards, conventions, standard
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business practices, white papers, and guidelines in the areas of automatic identification, CAD/CAM,
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EDI/electronic commerce, continuous quality improvement, health focus, materials and project
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management, occupational health & safety, returnable containers and packaging systems,
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transportation/customs and truck & heavy equipment.

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AIAG PUBLICATIONS
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An AIAG publication reflects a consensus of those substantially concerned with its scope and provisions. An
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AIAG publication is intended as a guide to aid the manufacturer, the consumer and the general public. The
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existence of an AIAG publication does not in any respect preclude anyone from manufacturing, marketing,
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purchasing, or using products, processes, or procedures not conforming to the publication.

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CAUTIONARY NOTICE
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AIAG publications are subject to periodic review and users are cautioned to obtain the latest editions.
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MAINTENANCE PROCEDURE
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Recognizing that this AIAG publication may not cover all circumstances, AIAG has established a maintenance
procedure. Please refer to the Maintenance Request Form at the back of this document to submit a request.
Published by:
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Automotive Industry Action Group

26200 Lahser Road, Suite 200
Southfield, Michigan 48033
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Phone: (248) 358-3570 • Fax: (248) 358-3253

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APPROVAL STATUS
The AIAG Quality Steering Committee and designated stakeholders approved this document for publication on
August 1, 2007.
AIAG COPYRIGHT AND TRADEMARK NOTICE:

The contents of all published materials are copyrighted by the Automotive Industry Action Group unless otherwise indicated.
Copyright is not claimed as to any part of an original work prepared by a U.S. or state government officer or employee as part of the
person’s official duties. All rights are preserved by AIAG, and content may not be altered or disseminated, published, or transferred
in part of such content. The information is not to be sold in part or whole to anyone within your organization or to another company.
Copyright infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action
Group are registered service marks of the Automotive Industry Action Group.
© 2007 Automotive Industry Action Group
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CQI-9
FOREWORD
Automotive Industry Action Group (AIAG) committees are made up of volunteers from member
companies in the automotive industry. The work of preparing process audits is done by AIAG technical
committees.
The main task of technical committees is to prepare Automotive Standards and System Requirements.
Draft documents adopted by the technical committees are circulated to the Steering Committee for review
and consensus approval. Publication of the documents requires approval by the Quality Steering
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Committee.
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The Quality Steering Committee would like to acknowledge and thank the following individuals and their
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companies who have contributed time and effort to the development of this document.
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CQI-9
ACKNOWLEDGEMENTS
Core Members:
Pete Batche – Robert Bosch LLC
Mel Dilley – DaimlerChrysler Corp.
Curt Holmes – Commercial Steel Treating Corp.
Ed Jamieson – Bodycote Thermal Processing
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Medina Kaknjo – Ford Motor Company
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Brett Lenhausen – General Motors Corporation
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Philip Mikula – TRW Automotive, Inc.
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Murli Prasad – General Motors Corporation
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Supporting Members:
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Todd Bensinger – DaimlerChrysler Corp.
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Scott Brodersen – DaimlerChrysler Corp.
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Dave Calkins – DaimlerChrysler Corp.

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Leonard Gadzinski – Acument Global Technologies North America

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Tim Green – BSI Americas, Inc.

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Dave Hernacki – Commercial Steel Treating, Corp.

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Dean Higdon – Acument Global Technologies North America

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Jeff Martin – ZF Friedrichshafen, AG

Mike Oberg – Induction Services, Inc.
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Mike Wiezbowski – DaimlerChrysler Corp..

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CQI-9
TABLE OF CONTENTS
ABOUT AIAG ........................................................................................................................................................... 1
FORWORD................................................................................................................................................................ 3
ACKNOWLEDGEMENTS ...................................................................................................................................... 4
INTRODUCTION ..................................................................................................................................................... 6
1 SCOPE..................................................................................................................................................................... 8
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1.1 GENERAL .................................................................................................................................................. 8
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1.2 APPLICATION........................................................................................................................................... 8
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1.3 REFERENCE .............................................................................................................................................. 9
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2 THE HEAT TREAT SYSTEM ASSESSMENT PROCEDURE ...................................................................... 10
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3 SPECIAL PROCESS: HEAT TREAT SYSTEM ASSMENT PROCEDURE............................................... 11
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INSTRUCTIONS FOR COMPLETING THE COVER SHEET ....................................................................... 12
SPECIAL PROCESS: HEAT TREAT ASSESSMENT FORMS ...................................................................... 18
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INSTRUCTIONS FOR COMPLETING THE JOB AUDIT ............................................................................... 37
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JOB AUDIT FORMS ......................................................................................................................................... 38
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APPENDIX A – PROCESS TABLES.................................................................................................................... 42

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APPENDIX B – GLOSSARY ................................................................................................................................. 66

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MAINTENANCE REQUEST................................................................................................................................. 69
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CQI-9
INTRODUCTION
General
The work of preparing CQI 9: Special Process: Heat Treat System Assessment (HTSA), Second Edition,
was carried out through the AIAG Heat Treat Work Group. These heat treat requirements are
complementary to customer and product standards.
The HTSA can be used to assess an organization’s ability to meet the requirements in this assessment, as
well as customer, regulatory, and the organization’s own requirements. The HTSA can also be used
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between an organization and its suppliers.
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In the HTSA, the word “shall” indicates a requirement for purposes of the self assessment. Failure to
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meet the requirements results in an assessment that is either “Not Satisfactory” or “Needs Immediate
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Action”. The word “should” indicates a recommendation. Where the term “such as” is used, any
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suggestions given are for guidance only.
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Process Approach
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The HTSA supports the automotive process approach as described in ISO/TS 16949:2002.
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Heat Treat System Assessment Goals

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The goal of the HTSA is the development of a heat treat management system that provides for continual
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improvement, emphasizing defect prevention and the reduction of variation and waste in the supply chain.
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The HTSA, coupled with an internationally recognized quality management system and applicable
customer-specific requirements, defines the fundamental requirements for heat treat management systems.
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The HTSA is intended to provide a common approach to a heat treat management system for automotive
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production and service part organizations.

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Assessment Process
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Ongoing assessments shall be conducted annually, unless otherwise specified by the customer, to re-
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examine the continuing compliance with the HTSA. Each assessment shall include a review of the
organization’s systems using the HTSA. Successive Job Audits (Section 4.0 of this document) shall
sample parts from different automotive component manufacturers that require compliance to the HTSA
document.
The assessment shall use the process approach to auditing as identified by the requirements of ISO/TS
16949:2002.
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CQI-9
Assessor Qualifications
Assessor(s) shall have the following specific experience to conduct the HEAT TREAT SYSTEM
ASSESSMENT:
1. Be an experienced quality management system (QMS) internal auditor (for example,
ISO/TS 16949:2002, ISO 9001:2000,)
2. Assessor shall possess heat treating knowledge. Evidence shall include a minimum of 5
years experience in heat treating or a combination of formal metallurgical education and
heat treating experience totaling a minimum of 5 years.
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3. Assessor shall possess knowledge of and be familiar with the application of automotive
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quality core tools including statistical process control, measurement systems analysis,
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part approval, failure mode and effects analysis, and advanced quality planning.
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Note: If more than one assessor is required to meet the above qualifications, the lead
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assessor shall be the person meeting the requirements in item #1.
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Other Requirements io
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The organization shall keep records as evidence of compliance to the requirements identified in the HTSA,
as well as all appropriate action plans to address any unsatisfactory ratings. These records shall be readily
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available for review by any customer requiring compliance to the requirements within this document.
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CQI-9
1 SCOPE
1.1 General
This document specifies process requirements for an organization or its suppliers performing applicable
heat treating, who need to:
• demonstrate ability to consistently provide product that meets customer and applicable
regulatory requirements, and
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• enhance customer satisfaction through the effective application of the system, including
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processes for continual improvement of the system.
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The Heat Treat System Assessment is applicable to sites where customer-specified parts for production
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and/or service are processed throughout the automotive supply chain.
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1.2 Application
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All requirements of the HTSA are generic and are intended to be applicable to all organizations
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performing the heat treat operations addressed in this document, regardless of type, size, and product.
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Note: Process Table E is only applicable to processes affecting the final characteristics of the part.
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Five Process Tables have been developed and the appropriate table(s) is to be referenced during the
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assessment. The Process Tables are specific to heat treat processes as noted below:
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Process Table A – Ferrous

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Carbonitriding
• Carbon Restoration or Correction

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• Neutral Hardening (Quench and Temper)

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• Austempering
• Martempering
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• Tempering
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Precipitation Hardening – Aging

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Process Table B – Ferrous

• Nitriding (Gas)
• Ferritic Nitrocarburizing (Gas or Salt)
Process Table C – Aluminum Heat Treating
Process Table D – Induction Heat Treating – Ferrous
Process Table E - Annealing, Normalizing, and Stress Relieving
• Conformance to CQI-9 is required for all organizations that perform annealing,
normalizing, or stress-relieving to achieve desired final characteristics of the part.
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CQI-9
Note:
Material producers of primary or raw materials, or any intermediate thermal treating
process step(s) that do not affect the final characteristics of the part are exempt from
conforming to the requirements in CQI-9.
These Process Tables contain requirements for:

1. Process and Test Equipment
2. Pyrometry
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3. Process Monitor Frequencies
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4. In-Process/Final Test Frequencies
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5. Quenchant and Solution Test Frequencies
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The Process Tables specify the tolerances of process parameters and the frequencies for checking process
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control parameters and parts. The Requirements and Guidance in the HTSA form will notify the assessor
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when to refer to the Process Tables.
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1.3 Reference
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The following standards are referenced in this document. The applicability is limited to the subject matter
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Standard Number Title Standard’s Organization

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AMS 2750D Pyrometry SAE Aerospace

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SAE J415 Definition of Heat Treating SAE International
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Terms www.sae.org
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SAE J864 Surface Hardness Testing With SAE International

Files www.sae.org
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CQI-9
2 THE HEAT TREAT SYSTEM ASSESSMENT PROCEDURE

1. Obtain current copy of CQI-9 Special Process: Heat Treat System Assessment, 2nd edition
from AIAG.
2. Identify all heat treat processes to which CQI-9 Special Process: Heat Treat System
Assessment, 2nd edition applies (see CQI-9, 1.2). Record these processes on the HTSA, Page
1.
3. Complete the HTSA, determining the level of compliance. A minimum of one job audit
(Section 4) shall be performed during each assessment.
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4. Address each “Not Satisfactory” item and determine corrective action, including root cause
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analysis and implementation of the corresponding corrective action(s). The corrective
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action(s) shall be completed within 90 days. Records of the corrective action, including
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verification, shall be maintained.
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5. “Needs Immediate Action” requires immediate containment of suspect product. Address
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each “Needs Immediate Action” item and determine corrective action(s), including root cause
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analysis and implementation of the corresponding corrective action(s). The corrective
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action(s) shall be completed within 90 days. Records of the corrective action, including
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verification, shall be maintained.

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6. Assessments shall be conducted annually unless otherwise specified by the customer.
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CQI-9
3 SPECIAL PROCESS: HEAT TREAT ASSESSMENT

INSTRUCTION FOR COMPLETING THE COVER SHEET .......................................................................... 12
COVER SHEET FORM.............................................................................................................................. 14
INSTRUCTIONS FOR COMPLETING SECTIONS 1-3 ................................................................................... 15
SECTION 1: MANAGEMENT RESPONSIBILITY & QUALITY PLANNING .................................... 18
SECTION 2: FLOOR AND MATERIAL HANDLING RESPONSIBILITY ........................................... 25
SECTION 3: EQUIPMENT....................................................................................................................... 31
INSTRUCTIONS FOR COMPLETING THE JOB AUDIT ............................................................................... 37
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SECTION 4: JOB AUDIT ......................................................................................................................... 38
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CQI-9
Instructions for completing the Cover Sheet

1. Facility Name: Name of the facility being assessed.
One form shall be used for each facility. The facility may have several buildings or physical
locations in the same general area. If there is a separate management team (Quality Manager and
Metallurgist) or different management system, then these locations shall be considered as
separate facilities.
2. Address: The street address of the facility being assessed; P.O. Box numbers may be given as
additional information.
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3. Phone Number: The phone number of the facility.
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If there is no common phone number for the facility, the phone number of the Operations
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Manager or Quality Manager shall be used.
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4. Fax Number: The fax number of the facility.
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5. Number of Heat Treat Employees at this Facility: The number of employees, salaried and
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hourly, associated with the heat treat operation at this facility.
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6. Captive Heat Treater (Y/N): Enter “Y” if this facility heat treats components for their own
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company. Enter “N” if the company does not heat treat any components for their own company.
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7. Commercial Heat Treater (Y/N): Enter “Y” if this facility heat treats components for
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companies other than their own company. Enter “N” if this facility does not heat treat any
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components for other companies.
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8. Date of Assessment: Enter the date(s) of the assessment. An alphanumeric format shall be used
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to avoid confusion with different numeric formats.

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Example: May 3 – 4, 2006

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9. Date of Previous Assessment: List the date of the previous CQI-9 Special Process: Heat Treat
System Assessment of this facility.
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10. Type(s) of Thermal Processing at this Facility: Place a checkmark to designate all thermal
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process(es) performed at this facility. This information determines the appropriate Process Table
that shall be used during the assessment. Processes not listed on the cover sheet are not part of
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the Heat Treat System Assessment.

11. Current Quality Certification(s): The heat treater shall list their current quality certifications,
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e.g., ISO/TS 16949:2002, ISO 9001:2000. Certifications may be from 3rd party sources or
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customer quality certifications. If customer quality certification is given, then the year of the last
assessment by the customer shall also be given.
12. Date of Re-assessment (if necessary): If “Not Satisfactory” findings were observed from the
original assessment, then the heat treater shall address each item and determine correct action,
including root cause analysis and implementation of the corresponding corrective action(s).
The date of the re-assessment shall be given here, and the appropriate Question(s) from Sections
1 – 4, in the original assessment, shall be modified to reflect that the evidence, relating to the
implementation of the corrective action(s), has been observed. Also, the “Number of Not
Satisfactory Findings” shall be modified as appropriate.
13. Personnel Contacted: List the name(s), title(s), phone number(s), and email address(es), if
available, of the principal participants from the heat treater’s organization.
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CQI-9
14. Auditors/Assessors: List the name(s), Company(ies), phone number(s) and email address(es), if
available, of the auditor/assessor(s).
15. Number of “Not Satisfactory” Findings: Enter the number of “Not Satisfactory” findings
observed during the assessment.
16. Number of “Needs Immediate Action” Findings: Enter the number of “Needs Immediate
Action” findings observed during the assessment.
17. Number of “Fail” Findings in the Job Audit(s): Enter the number of “Fail” findings observed
from the job audit.
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CQI-9
Version 2, Issue 8/07
Facility Name:
Address:
Phone Number: Type(s) of Thermal Processing at this Facility:

Fax Number: Process Table A - Ferrous
Carburizing
Number of Heat Treat Employees at this Facility: Carbonitriding
Carbon Correction
Captive Heat Treater (Y/N): Neutral Hardening
Quench & Temper
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Commercial Heat Treater (Y/N): Austempering / Martempering
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Tempering
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Date of Assessment: Precipitation Hardening / Aging
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Date of Previous Assessment:
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Process Table B - Ferrous
Nitriding (Gas)
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Ferritic-Nitrocarburizing (Gas or
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Salt)
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Process Table C - Aluminum
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Aluminum Heat Treatment

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Process Table D - Ferrous
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Induction Heat Treating
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Process Table E
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Annealing
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Stress-Relieving
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Current Quality Certification(s):

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Date of Re-assessment (if necessary):

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Personnel Contacted:
Name: Title: Phone: Email:
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Auditors/Assessors:
Name: Company: Phone: Email:
Number of "Not Satisfactory" Findings:
Number of "Needs Immediate Action" Findings:
Number of "Fail" Findings in the Job Audit(s):
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CQI-9
Instructions for completing Sections 1 – 3

Sections 1 - 3 contain questions and the requirements and guidance for each question. The Sections are:
• Section 1 – Management Responsibility & Quality Planning
• Section 2 – Floor and Material Handling Responsibility
• Section 3 – Equipment
The assessor shall assess the heat treater’s compliance to Sections 1 – 3 by comparing the evidence
presented by the heat treater to the requirements listed in the “Requirements and Guidance” column.
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NOTE 1: In the “Requirements and Guidance” column, the word “shall” indicates
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a requirement and the term “such as” indicates that any suggestions
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given are for guidance only.
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NOTE 2: The “Requirements and Guidance” column will indicate to the assessor
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when the Process Tables are pertinent to the Questions. When the
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Process Tables are pertinent to the Question, the assessor shall assess the
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heat treater’s compliance to the specified section(s) in the Process
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NOTE 3: If the question is not applicable to the heat treater, then the assessor shall
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place a checkmark in the “N/A” Assessment column. If the observed
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evidence is in compliance to the question, the assessor shall note the

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evidence in the “Objective Evidence” column and place a check mark in

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the “Satisfactory” column. If the observed evidence is not in compliance

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to the question, then the assessor shall note the non-compliance in the
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“Objective Evidence” column and place a check mark in the “Not

Satisfactory” column.
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NOTE 4: Where nonconforming product is identified in the assessment of a given

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question the assessor shall place a check mark in the “Needs Immediate
Action” (NIA) column. NIA requires immediate containment of suspect
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CQI-9
General Notes for AMS 2750D

AMS 2750D is referenced in the Pyrometry Section (Section 2.0) of the Process Tables. Organizations
and suppliers shall comply with the sections of AMS 2750D that reference thermocouples, the calibration
of thermocouples and instrumentation, and the procedure for conducting furnace temperature uniformity
surveys (TUS) see below.
Exceptions to this requirement are listed below in the respective sections.
Thermocouples and Instrumentation
− Section 3.1 – Temperature Sensors (Thermocouples)
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− Section 3.2 – Instrumentation – Note: Frequency reductions per AMS 2750D are
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not allowed by CQI-9
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Exceptions (Compliance to the following sections are not required by CQI-9)
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Section Number Explanation
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3.2.5.1 & 2 Temperature controlling instruments purchased prior to
6
ro tom 3/2
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1 year after the release of AMS 2750D are exempt of
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3.2.5.1 and 3.2.5.2.
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3.2.5.3.1 io One point sensor input is acceptable.

to
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3.2.5.5 Sensitivity checks during calibration are not required.
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System Accuracy Test (SAT) Procedure (Section 3.4)
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− SAT shall be performed by one of the two methods listed below.

co is ed E
rm ro e it 06 en
− CQI-9 requires either a (1) comparative check of the control temperature sensor
se
y. gh
(CTS) to a calibrated test temperature sensor (CTTS) or (2) resident thermocouple

d an ow en
(R-T/C), per AMS 2750D.

(1) The CTS shall be +/- 5C (or +/- 10F) of the CTTS at a typical operating
n
Ac is cum um en
temperature range; this check shall be performed monthly. The procedure

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shall follow AMS 2750D Section 3.4.

Th Do r N um
(2) The relationship between the CTS and R-T/C at the operating
E- rde doc
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temperature range shall be within +/- 1C (or +/- 2F) of their relationship
determined at the time of the most recent temperature uniformity survey; this
O is
check shall be performed weekly. SAT per AMS 2750D Section 3.4 is not
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required with this method.

− Any actions to correct a failing reading or validate a test result shall be
documented.
− Type K and N thermocouples shall be checked monthly for equipment operating
at or above 760C (1400F) and changed annually at a minimum.
− Type K and N thermocouples shall be checked quarterly for equipment operating
below 760C (1400F) and changed every two years at a minimum.
− Type R and S thermocouples shall be checked monthly for equipment operating at
or above 760C (1400F) and changed every two years at a minimum.
Furnace Temperature Uniformity Survey (TUS)
− Section 3.5.2 – Multiple Qualified Operating Temperature Ranges
− Section 3.5.3 – Furnace Modifications
− Section 3.5.4 – Furnace Repairs
16
CQI-9
− Section 3.5.5 – Initial TUS

▪ Minimum and maximum temperature ranges shall be tested per
AMS 2750D. Exception: If the operating range of the Qualified
Work Zone is equal to or less than 85C (153F) then only one
temperature is required to be tested. The temperature shall be
within the operating range of the Qualified Work Zone.
− Section 3.5.6 – Periodic TUS (For CQI-9, a minimum of once per year periodic
TUS is required)
n
▪ Minimum and maximum temperature ranges shall be tested per
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AMS 2750D. Exception: If the operating range of the Qualified
at
en
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Work Zone is equal to or less than 85C (153F) then only one
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temperature is required to be tested. The temperature shall be
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within the operating range of the Qualified Work Zone.
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− Section 3.5.8 – Furnace Parameters During TUS
6
− Section 3.5.9 – Furnace Temperature at Insertion of TUS Sensors
ro tom 3/2
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(Thermocouples)
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− Section 3.5.10 – Load Condition
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− Section 3.5.11 – Furnace Atmosphere During TUS

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− Section 3.5.13 – Batch Furnaces, Salt Baths, Controlled Temperature Liquid
to
gl ri he at
Baths, and Fluidized Bed Furnaces EXCEPT:
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▪ 3.5.13.3.2: CQI-9 requires that data from the TUS sensors is

co is ed E
automatically recorded.
rm ro e it 06 en
se
− Section 3.5.14 – Continuous and Semi-Continuous Furnaces

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− Section 3.5.15 – Alternative Testing Methods for Continuous and Semi-

d an ow en
Continuous Furnaces or Furnaces with Retorts or Muffles

− Section 3.5.16 – Temperature Uniformity Survey Sensor Failures
n
Ac is cum um en
− Section 3.5.18 – Relocation of Hot or Cold Recording Sensors for Class A or C

c
Th Do r N um
Instrumentation
− Section 3.5.20 – Temperature Uniformity Survey Instrumentation
E- rde doc
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− Section 3.5.21 – Temperature Uniformity Survey Report

O is
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17
CQI-9
Assessment
n
io
Question Not Needs Immediate
Question Requirements and Guidance Objective Evidence N/A Satisfactory
at
Number Satisfactory Action
en
s y
ha ustr
or
an Ind 1
Section 1 - Management Responsibility & Quality Planning
be
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To ensure readily available expertise, there shall
Co
be a dedicated and qualified heat treat person on
6
site. This individual shall be a full-time employee
ro tom /2
on
and the position shall be reflected in the
d
Is there a dedicated and organization chart. A job description shall exist
3
at
1.1 qualified heat treat person on- identifying the qualifications for the position
o
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site? including metallurgical and heat treat knowledge.
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The qualifications shall include a minimum of 5
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years experience in heat treat operations or a
to
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combination of a minimum of 5 years of formal
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metallurgical education and heat treat experience.
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rm ro e it 06 en
The organization shall incorporate a documented
advance quality planning procedure. A feasibility
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study shall be performed and internally approved
for each part. Similar parts can be grouped into
d an ow en
part families for this effort as defined by the
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Does the heat treater perform organization. After the part approval process is
1.2
n
advanced quality planning? approved by the customer, no process changes
Ac is cum um en
are allowed unless approved by the customer. The
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heat treater shall contact the customer when
Th Do r N um
clarification of process changes is required. This

clarification of process changes shall be
E- rde doc
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documented.
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The organization shall incorporate the use of a

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documented Failure Mode and Effects Analysis

(FMEA) procedure and ensure the FMEA's are
updated to reflect current part quality status.
The FMEA shall be written for each part or part
family or they may be process-specific and written
Are heat treat FMEA's up to
for each process. In any case, they shall address
1.3 date and reflecting current
all process steps from part receipt to part shipment
processing?
and all key heat treat process parameters as
defined by the organization. A cross-functional
team shall be used in the development of the
FMEA. All special characteristics, as defined by
the organization and its customers, shall be
identified, defined, and addressed in the FMEA.
18
CQI-9
n
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Co
6
Assessment
ro tom /2
on
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3
at
o
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:E
io
to
gl ri the irat
The organization shall incorporate the use of a
documented Control Plan procedure and ensure
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the Control Plans are updated to reflect current
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controls.
The Control Plans shall be written for each part or
co is ed E
rm ro e it 06 en
part family or they may be process-specific and
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written for each process. In any case, they shall
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address all process steps from part receipt to part
d an ow en
shipment and identify all equipment used and all
key heat treat process parameters as defined by
in py
the organization.
Are heat treat process control
n
Ac is cum um en
A cross-functional team, including a production

1.4 plans up to date and reflecting
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operator, shall be used in the development of
current processing?
Th Do r N um
Control Plans, which shall be consistent with all

associated documentation such as work
E- rde doc
ac d
instructions, shop travelers, and FMEA's. All
special characteristics, as defined by the
organization and its customers, shall be identified,
defined, and addressed in the Control Plans.
O is
Sample sizes and frequencies for evaluation of

Th
process and product characteristics shall also be

addressed consistent with the minimum
requirements listed in the Process Tables,
Sections 3.0 and 4.0.
19
CQI-9
Assessment
n
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at
en
s y
ha ustr
or
an Ind 1
be
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To ensure all customer requirements are both
Co
understood and satisfied, the organization shall
6
have all related heat treat and customer referenced
ro tom /2
on
standards and specifications available for use and
d
a method to ensure that they are current. Such
3
at
standards and specifications include, but are not
o
tp u :
limited to, those relevant documents published by
n
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SAE, AIAG, ASTM, General Motors, Ford, and
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DaimlerChrysler. The organization shall have a
to
gl ri the irat
Are all heat treat related and process to ensure the timely review, distribution,
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referenced specifications and implementation of all customer and industry
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current and available? For engineering standards / specifications and
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1.5
example: SAE, AIAG, ASTM, changes based on customer-required schedule.
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DaimlerChrysler.
rm ro e it 06 en
General Motors, Ford, and Timely review should be as soon as possible and
shall not exceed two working weeks. The
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organization shall document this process of review
and implementation, and it shall address how
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customer and industry documents are obtained,
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how they are maintained within the organization,
n
how the current status is established, and how the
Ac is cum um en
relevant information is cascaded to the shop floor
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within the two-week period. The organization shall
Th Do r N um
identify who is responsible for performing these

tasks.
E- rde doc
ac d
O is
The heat treater shall have written process

Th
specifications for all active processes and identify

all steps of the process including relevant
operating parameters. Examples of operating
parameters include process temperatures, cycle
times, load rates, atmosphere or gas flow settings,
Is there a written process belt speeds, quench agitation speeds, etc. Such
1.6 specification for all active parameters shall not only be defined, they shall
processes? have operating tolerances as defined by the
organization in order to maintain process control.
All active processes should have a written process
specification.
These process specifications may take the form of
work instructions, job card, computer-based
recipes, or other similar documents.
20
CQI-9
n
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en
Assessment
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be
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Co
6
ro tom /2
on
To demonstrate each process is capable of
d
yielding acceptable product the organization shall
3
at
perform product capability studies for the initial
o
tp u :
validation of each process, after relocation of any
n
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process equipment, & after a major rebuild of any
io
equipment. The organization shall define what
to
gl ri the irat
constitutes a major rebuild. Initial product capability
te
studies shall be conducted for all heat treat
ke , is ic 0 d
A
rd o b xp
processes per furnace line defined in scope of
ar up nt e L 25 se
work & in accordance with customer requirements.
Has a valid product capability
co is ed E
rm ro e it 06 en
study been performed initially
A furnace line may include a combination of
equipment that is integrated in the performance of
se
1.7 and after process equipment
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a heat treatment process, e.g., hardening,
has been relocated, or had a
quenching, and tempering. Capability study
d an ow en
major rebuild?
techniques shall be appropriate for the heat treat
in py
product characteristics, e.g., tensile strength, case
n
depth, hardness. Any specific customer
Ac is cum um en
requirements shall be met, in the absence of
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customer requirements, the organization shall
Th Do r N um
establish acceptable ranges for measures of

capability. An action plan shall exist to address the
E- rde doc
ac d
steps to followed in case capability indices fall

outside customer requirements or
established ranges.
O is
Th
The analysis of products and processes over time

can yield vital information for defect prevention
efforts. The organization shall have a system to
Does the heat treater collect
collect, analyze, and react to product or process
and analyze data over time,
1.8 data over time.
and react to this data?
Methods of analysis shall include ongoing trend or
historical data analysis of product or process
parameters. The organization shall determine
which parameters to include in such analysis.
21
CQI-9
n
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Assessment
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Management shall review the furnace monitoring
6
systems at intervals not to exceed 24 hours. The
ro tom /2
on
heat treat monitoring system includes but is not
d
limited to temperature strip charts, atmosphere
3
Is management reviewing the
at
strip charts, computer data logs, furnace and
heat treat monitoring system
o
tp u :
1.9 operator logs, etc.
n
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every 24 hours?
The management review shall include efforts to
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detect out-of-control conditions or alarm conditions.
to
gl ri the irat
The process of reviewing the furnace data shall be
documented and this requirement also applies to
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computerized data.
ar up nt e L 25 se
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rm ro e it 06 en
Are internal assessments
The organization shall conduct internal
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being completed on an annual
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1.10 assessments on an annual basis, at a minimum,
basis, at a minimum, using
using the AIAG HTSA.
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AIAG HTSA?
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n
Ac is cum um en
The quality management system shall include a
c
documented process for reprocessing that shall
Th Do r N um
include authorization from a designated individual.

The reprocessing procedure shall describe product
E- rde doc
ac d
characteristics for which reprocessing is allowed as
well as those characteristics for which
Is there a system in place to
reprocessing is not permissible.
1.11 authorize reprocessing and is
Any reprocessing activity shall require a new
O is
it documented?
processing control sheet issued by qualified
Th
technical personnel denoting the necessary heat

treat modifications. Records shall clearly indicate
when and how any material has been reprocessed.
The Quality Manager or a designee shall authorize
the release of reprocessed product.
The quality management system shall include a

Does the Quality Department
process for documenting, reviewing, and
review, address, and
1.12 addressing customer concerns and any other
document customer and
concerns internal to the organization. A disciplined
internal concerns?
problem-solving approach shall be used.
22
CQI-9
n
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Assessment
at
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ha ustr
or
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Co
The heat treater shall define a process for
6
continual improvement for each heat treat process
ro tom /2
on
Is there a continual identified in the scope of the HTSA. The process
d
improvement plan applicable shall be designed to bring about continual
3
1.13
at
to each process defined in the improvement in quality and productivity. Identified
o
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scope of the assessment? actions shall be prioritized and shall include timing
n
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(estimated completion dates). The organization
shall show evidence of program effectiveness.
to
gl ri the irat
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A
rd o b xp
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Does the Quality Manager or
The Quality Manager is responsible for authorizing
designee authorize the
co is ed E
1.14 rm ro e it 06 en
disposition of material from
and documenting appropriate personnel to
disposition quarantine material.
se
quarantine status?
y
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d an ow en
in py
There shall be procedures or work instructions
n
Ac is cum um en
available to heat treat personnel covering the heat

treating process. These procedures or work
c
Are there procedures or work
Th Do r N um
instructions shall include methods of addressing

instructions available to the
potential emergencies (such as power failure),
1.15 heat treat personnel that
equipment start-up, equipment shut-down, product
E- rde doc
ac d
define the heat treating
segregation (See 2.8), product inspection, and
process?
general operating procedures. These procedures
or work instructions shall be accessible to shop
O is
floor personnel.
Th
The organization shall provide employee training

for all heat treating operations. All employees,
including backup and temporary employees, shall
be trained. Documented evidence shall be
Is management providing
maintained showing the employees trained and the
1.16 employee training for heat
evidence shall include an assessment of the
treating?
effectiveness of the training. Management shall
define the qualification requirements for each
function, and ongoing or follow-up training shall
also be addressed.
23
CQI-9
n
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Assessment
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6
The organization shall maintain a responsibility
ro tom /2
on
matrix identifying all key management and
d
Is there a responsibility matrix
supervisory functions and the qualified personnel
3
to ensure that all key
at
who may perform such functions. It shall identify
o
tp u :
1.17 management and supervisory
n
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both primary and secondary (backup) personnel for
functions are performed by
io
the key functions (as defined by the organization).
qualified personnel?
This matrix shall be readily available to
to
gl ri the irat
management at all times.
te
ke , is ic 0 d
A
rd o b xp
ar up nt e L 25 se
co is ed E
The organization shall have a documented
rm ro e it 06 en preventive maintenance program for key process
se
y
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equipment (as identified by the organization). The
program shall be a closed-loop process that tracks
d an ow en
maintenance efforts from request to completion to
in py
assessment of effectiveness. Equipment operators
shall have the opportunity to report problems, and
n
Ac is cum um en
Is there a preventive problems shall also be handled in a closed-loop
c
maintenance program? Is manner.
Th Do r N um
maintenance data being Company data, e.g., downtime, quality rejects, first-
1.18
utilized to form a predictive time-through capability, recurring maintenance
E- rde doc
ac d
maintenance program? work orders, and operator-reported problems, shall
be used to improve the preventive maintenance
program. Furnaces and generators shall be
O is
scheduled for burn-out at frequencies determined

by the organization (see Section 1 of the Process
Th
Tables).
Maintenance data shall be collected and analyzed
as part of a predictive maintenance program.
Has the Heat Treater

The heat treater shall develop and maintain a
developed a critical spare part
critical spare parts list and shall ensure the
1.19 list and are the parts available
availability of such parts to minimize production
to minimize production
disruptions.
disruptions?
24
CQI-9
n
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en
Assessment
s y
ha ustr
or
an Ind 1
be
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Co
Section 2 - Floor and Material Handling Responsibility
6
ro tom /2
on
It is critical that all customer requirements and lot
d
identification be adequately transferred to internal
3
at
heat treat documents. The facility shall ensure that
o
tp u :
the data entered in the receiving system match the
n
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information on the customer's shipping documents.
io
Documented processes and evidence of
to
gl ri the irat
Does the facility ensure that compliance shall exist, e.g., shop travelers, work
the data entered in the orders, etc. Sometimes the material received does
te
ke , is ic 0 d
A
rd o b xp
2.1 receiving system matches the not precisely correspond to customer shipping
ar up nt e L 25 se
information on the customer's documents. The facility shall have a detailed
co is ed E
shipping documents? process in place to resolve receiving
rm ro e it 06 en
discrepancies.
se
y
y. gh
The requirements stated above also apply to
captive heat treat departments. This process
d an ow en
refers to receiving and shipping the parts in and
in py
out of the heat treat department.
n
Ac is cum um en
c
Th Do r N um
Procedures for part and container identification

help to avoid incorrect processing or mixing of lots.
E- rde doc
ac d
Appropriate location and staging within the facility
also help to ensure that orders are not shipped
Is product clearly identified until all required operations are performed.
2.2 and staged throughout the Customer product shall be clearly identified and
O is
heat treat process? staged throughout the heat treat process. Non-
Th
heat treated, in-process, and finished product shall

be properly segregated and identified. All material
shall be staged in a dedicated and clearly defined
area.
Out-going lot(s) shall be traceable to the incoming

lot(s).
Is lot traceability and integrity The discipline of precisely identifying lots and
2.3 maintained throughout all linking all pertinent information to them enhances
processes? the ability to do root cause analysis and continual
improvement.
25
CQI-9
n
io
Assessment
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Co
The control of suspect or non-conforming product
is necessary to prevent inadvertent shipment or
6
contamination of other lots. Procedures shall be
ro tom /2
on
d
Are procedures adequate to adequate to prevent movement of non-conforming
3
prevent movement of non- product into the production system. Procedures
at
2.4
o
conforming product into the shall exist addressing proper disposition, product
tp u : n
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production system? identification, and tracking of material flow in and
io
out of the hold area. A non-conforming hold area
to
gl ri the irat
shall be clearly designated to maintain segregation
of such material.
te
ke , is ic 0 d
A
rd o b xp
ar up nt e L 25 se
co is ed E
rm ro e it 06 enHeat-treating furnaces and other processing
se
equipment contain areas that have a risk of
y
y. gh
trapping or holding parts. Such trapping of parts
d an ow en
Is there a system to identify can lead to damage, improperly processed parts or
trap points in the entire heat lot mixing/contamination. A system shall exist to
in py
treat process to reduce risk of identify trap points in the entire heat treat process
2.5
n
Ac is cum um en
mixed parts (inappropriate, to reduce risk of mixed parts (inappropriate, non-

non-heat treated, or heat treated, or improperly heat treated parts). The
c
Th Do r N um
improperly heat treated parts)? heat treater shall have documented procedures to
identify and monitor trap points for each
process/equipment. Monitoring of potential trap
E- rde doc
ac d
points shall occur for every part changeover.

O is
Th
Containers handling customer product shall be free

of inappropriate material. After emptying and
before re-using containers, containers shall be
inspected to ensure that all parts and inappropriate
Are containers free of
2.6 material have been removed. The source of
inappropriate material?
inappropriate material shall be identified and
addressed. This is to ensure that no
nonconforming heat treated parts or inappropriate
material contaminate the finished lot.
26
CQI-9
n
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en
s y
ha ustr
or
an Ind 1
be
ed e 1
Assessment
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Co
6
ro tom /2
on
d
3
Furnace loading parameters shall be specified,
at
o
tp u :
documented, and controlled. Examples include
n
:E
Is furnace loading specified,
2.7 feed rate, belt speed, number of parts per fixture,
io
documented and controlled?
and load weight. Refer to Process Tables, Section
to
gl ri the irat
3.0, for frequency of checks.
te
ke , is ic 0 d
A
rd o b xp
ar up nt e L 25 se
Unplanned or emergency downtime greatly raises
co is ed E
the risk of improper processing. Operators shall be
rm ro e it 06 en
trained in material handling, containment action,
se
y
y. gh
and product segregation in the event of an
Are operators trained in
equipment emergency including power failure.
d an ow en
material handling, containment
Training shall be documented. Work instructions
action and product
in py
2.8 specifically addressing potential types of
segregation in the event of an
equipment emergencies and failures shall be
n
Ac is cum um en
equipment emergency
accessible to and understood by equipment
including power failure?
c
operators. These instructions shall address
Th Do r N um
containment actions related to all elements of the

heat-treating process, e.g., loading, austentizing,
E- rde doc
ac d
quenching, tempering.
Handling, storage, and packaging shall be

O is
adequate to preserve product quality. The heat

Th
treater’s furnace loading system, in-process

handling, and shipping process shall be assessed
Is the handling, storage and
for risk of part damage or other quality concerns.
2.9 packaging adequate to
Some equipment includes conveyors and other
preserve product quality?
moving components that may not be able to handle
all part configurations. Other practices such as
stacking of overloaded containers can also
increase the risk of part damage.
27
CQI-9
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Assessment
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6
ro tom /2
on
d
Plant cleanliness, housekeeping, environmental,
3
at
and working conditions shall be conducive to
o
tp u :
controlling and improving quality. The heat treater
n
:E
Are plant cleanliness,
should evaluate such conditions and their effect on
io
housekeeping, environmental
quality. A housekeeping policy shall be clearly
to
2.10 and working conditions
gl ri the irat
defined and executed. The facility shall be
conducive to control and
reviewed for conditions that are detrimental to
te
ke , is ic 0 d
A
improved quality?
rd o b xp
quality processing such as loose parts on floor, oil
ar up nt e L 25 se
around quench tanks, inadequate plant lighting,
co is ed E
rm ro e it 06 en
smoke, etc.
se
y
y. gh
d an ow en
Many heat-treated parts are subjected to surface
in py
finish or appearance operations such as plating or
n
Ac is cum um en
coating after heat treatment. Parts shall be free
c
from contaminants that are detrimental to
Th Do r N um
subsequent processes or the product. Pre-wash (if

applicable) and post-wash parameters shall be
E- rde doc
ac d
monitored and documented. Oils and other
contaminants or residues can be difficult to remove
Are parts free from
once subjected to the heat treatment process.
contaminants that would be
2.11 Review the chemical supplier’s recommendation
O is
detrimental to the heat

for cleaning the system. Parts shall be free of rust,
Th
treatment of the product?

burrs, chips, detrimental amounts of drawing
compound, cutting fluids, rust preventing oils,
lubricants, etc., prior to heat treat.
Note: Refer to the appropriate heat treater's
requirements and specifications to determine
acceptability. Refer to Process Table, Section 5.0,
for frequency of checking washer solutions.
28
CQI-9
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en
Assessment
s y
ha ustr
or
an Ind 1
be
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The quenching system shall be monitored,
6
ro tom /2
documented, and controlled. The temperature,
on
d
agitation, level, concentration (if applicable), time in
3
at
the quenchant, and additions shall be controlled to
o
tp u :
the heat treater's specifications. Refer to Process
n
:E
Tables, Sections 3.0 and 5.0, for frequency of
io
Is the quenching system
checks. Computer-monitoring equipment, with
to
2.12 monitored, documented, and
gl ri the irat
alarms and alarm logs, satisfy the verification
controlled?
requirement. Quench delay tolerance and alarm is
te
ke , is ic 0 d
A
required for furnaces with integral quench tanks.
rd o b xp
ar up nt e L 25 se
Temper delay time shall be specified by the heat
co is ed E
treater for parts that are quenched and tempered,
rm ro e it 06 en
e.g., carburizing, carbonitriding, neutral hardening,
se
y
solution treating and aging.
y. gh
d an ow en
Parts are often dipped in or sprayed with rust
in py
preventive solutions immediately after the heat
n
Ac is cum um en
treating process. Soluble oil solutions or other rust

Is soluble oil or other rust
c
preventive solutions shall be monitored and
Th Do r N um
2.13 preventive monitored and

controlled, if applicable. The heat treater shall
controlled if applicable?
have and maintain documented tolerances for the
E- rde doc
ac d
solutions. Refer to Process Tables, Section 5.0,
for frequency of checks.
O is
Process control parameters shall be monitored per

Th
frequencies specified in Process Tables. Refer to

Are process control Process Tables, Section 3.0. Computer monitoring
parameters monitored per equipment with alarms and alarm logs satisfy the
2.14
frequencies specified in verification requirement. A designated floor person
Process Tables? shall verify the process parameters, e.g., by
initialing a strip chart or data log. Management
review is required per Question 1.9.
Are In-Process / Final Test In-Process / Final Test Frequencies shall be

2.15 Frequencies performed as performed as specified in Process Tables. Refer
specified in Process Tables? to Process Tables, Section 4.0.
29
CQI-9
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6
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on
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3
at
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:E
io
to
gl ri the irat
te
ke , is ic 0 d
A
Assessment
rd o b xp
ar up nt e L 25 se
co is ed E
Number rm ro e it 06 en
Satisfactory Action
se
y
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Product test equipment shall be verified. Test
d an ow en
equipment shall be verified/calibrated per
in py
applicable customer-specific standard or per an
n
applicable consensus standard such as those
Ac is cum um en
Is product test equipment

2.16 published by ASTM, DIN, EN, ISO, JIS, NIST, SAE
c
verified?
etc. Verification/calibration results shall be
Th Do r N um
internally reviewed, approved, and documented.

Refer to Process Tables, Section 1.0, for frequency
E- rde doc
ac d
of checks.
O is
Th
30
CQI-9
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Assessment
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Section 3 - Equipment
6
The heat-treat furnaces, generators, and quench
ro tom /2
on
systems shall have proper process controls and
d
Do furnaces, generators, and related equipment. Examples include temperature,
3
at
3.1 quench systems have proper carbon potential/dew point, gas flows, quench
o
tp u : n
:E
process control equipment? monitoring system including agitation, temperature
io
control and quenching oil analysis, etc. as listed in
the applicable Process Tables, Section 1.0.
to
gl ri the irat
te
ke , is ic 0 d
A
The calibration and certification of the process
rd o b xp
ar up nt e L 25 se
Are process equipment equipment shall be checked at regular specified
3.2 calibrations and/or verification intervals. Refer to the applicable Process Tables,
co is ed E
rm ro e it 06 en
certified, posted, and current? Sections 1.0 and 2.0, for equipment calibration or
se
certification time tables.
y
y. gh
d an ow en
The thermocouples and protection tubes shall be
Are thermocouples &
in py
checked or replaced in compliance to a preventive
3.3 protection tubes checked or
maintenance schedule. Refer to the applicable
n
Ac is cum um en
replaced per Process Tables?

Process Tables, Section 2.0.
c
Th Do r N um
Temperature uniformity surveys shall be conducted

E- rde doc
ac d
per the requirements in the applicable Process
Tables, Section 2.0. The frequency reductions
Are temperature uniformity
allowed in AMS 2750D are not allowed under this
surveys performed per
O is
3.4 document. Certain furnace designs, e.g., rotary

requirements in Process
retorts preclude direct temperature profiles.
Th
Tables?
Alternate test methods per AMS 2750D 3.5.15 are
acceptable for furnaces where temperature
uniformity studies are not possible.
Is the variation of the furnace The variation between the furnace-control

controlled thermocouple from thermocouple and the set point temperature shall
3.5 set point within the be within the limits defined in the applicable
requirements in the Process Process Tables, Section 2.0. This does not apply
Table? to the first zone of a multi-zone continuous furnace.
31
CQI-9
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io
Assessment
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The heat treater shall have a list of heat treat
Are the process & equipment
process and equipment alarms. These alarms shall
6
alarm checks being tested
3.6 be independently tested quarterly at a minimum,
ro tom /2
on
quarterly or after any repair or
d
and after any repair or rebuild. These checks shall
rebuild?
3
be documented.
at
o
tp u :
Generator and furnace atmosphere carbon
n
:E
potential/dew point shall be continuously
io
monitored, automatically controlled, and
to
gl ri the irat
documented. This requirement is specific to
te
Process Table 1, Sections 1.0 and 3.0, for
ke , is ic 0 d
A
rd o b xp
carburizing, carbonitriding, and neutral hardening.
ar up nt e L 25 se
Continuous monitoring and automatic control of the
co is ed E
rm ro e it 06 en
carbon potential/dew point is required for all
generators and atmosphere furnaces except rotary
se
y
y. gh
Are generators and furnace retort and shaker furnaces that preclude in situ
atmospheres continuously control and monitoring. For rotary retort and shaker
d an ow en
3.7
monitored, automatically
furnaces, the method described in AMS 2750D
in py
controlled, and documented? 3.5.15..2 "Property Surveys" shall be used to
n
ensure adequate control of the furnace
Ac is cum um en
atmosphere. If generators are not used, the flow
c
rates of the supplied atmosphere gases shall be
Th Do r N um
monitored and controlled. The assessor shall verify

the effectiveness of the atmosphere control system
E- rde doc
ac d
per customer requirements, the heat treater’s

control plan, and internal procedures.
O is
Th
The atmosphere control system shall maintain the

atmosphere dew point/carbon potential set point
within the parameters specified in the control plan
or internal procedures. The heat treater shall have
a back-up method of checking the carbon
potential/dew point. Examples are dew point,
electrical wire resistance, gas analysis, shim stock,
carbon bar, etc. The automatic and continuous
atmosphere control system shall consist of sensors
such as oxygen probes or on-line Infrared (IR) gas
analysis. See Process Table A, Sect. 3.0 for
verification frequencies.
32
CQI-9
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Assessment
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6
ro tom /2
on
d
3
at
o
tp u :
This issue is specific to Process Table 1,
n
:E
carburizing, carbonitriding, and neutral hardening.
io
When the back-up verification check of the
to
gl ri the irat
atmosphere does not agree or correlate within pre-
te
established limits with the primary control method
ke , is ic 0 d
A
rd o b xp
(carbon potential/dew point reading), the heat
ar up nt e L 25 se
treater shall resolve the out-of-limit discrepancy.
co is ed E
rm ro e it 06 en The back-up atmosphere monitoring system
reading and the automatically controlled
se
y
y. gh
atmosphere dew point/carbon potential reading
When the back-up verification
shall be maintained within the correlation limits
d an ow en
check of the atmosphere does
specified in the control plan or internal procedures.

not agree or correlate within
in py
These range tolerances vary with the specific heat
pre-established limits with the
n
treat process and the equipment used.
Ac is cum um en
primary control method

3.8 The heat treater shall make appropriate technical
c
(carbon potential/dew point
adjustments and corrections and then re-
Th Do r N um
reading), is correlation of the

establish/demonstrate the correlation of the actual
carbon-bearing atmosphere to
atmosphere carbon potential/dew point reading to
E- rde doc
ac d
the primary control method re-
the primary control and back-up atmosphere
established?
reading. The range tolerances for correlation
between the two readings shall be in the control
O is
plan or internal procedures. The back-up carbon

Th
potential/dew point reading shall be established usin

• Carbon bar or slug
• Shim stock
• 3-gas analyzer
• Dew point
• Hot wire resistance
33
CQI-9
n
Assessment
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All ammonia lines to furnaces shall be equipped
with quick disconnects or a three-valve fail-safe
6
vent system. Normal valves may allow ammonia
ro tom /2
on
d
to leak through even when they are closed. This
3
can be undesirable and detrimental in heat treat
at
o
processes not specifying/requiring ammonia.
tp u : n
:E
• A quick disconnect shall be present in any
io
ammonia line going to a furnace. This line shall be
Are all ammonia lines
to
gl ri the irat
disconnected after carbonitriding (or any other
equipped with quick
3.9 process using ammonia) before another heat
te
disconnects or a three valve
ke , is ic 0 d
A
treating operation not specifying/using ammonia
rd o b xp
fail safe vent system?
ar up nt e L 25 se
begins.
• An alternative three-valve ammonia "fail-safe"
co is ed E
rm ro e it 06 en
vent system is permitted. See the definition “Three
se
Valve Fail-Safe Vent” and diagram in the glossary.
y
y. gh
• Documentation shall show when ammonia lines
d an ow en
are disconnected for non-ammonia bearing
atmosphere processes.
in py
n
Ac is cum um en
c
Th Do r N um
This is applicable to fasteners and small metal

parts. The heat treater shall perform a minimum 3
E- rde doc
ac d
hours oxidizing burn-out prior to processing
product not requiring ammonia as an addition.
For fasteners and small metal
Ammonia pick-up can be undesirable in parts and
parts, is a minimum of 3 hours
O is
heat treat processes not specifying/requiring

3.10 allocated for an oxidizing burn-
ammonia as an addition. Log book, data logger, or
Th
out prior to processing product

other records shall document the actual oxidizing
not requiring ammonia?
burn-out time and that sufficient time has been
allocated to remove ammonia from the furnace
prior to processing parts in heat treat processes
not specifying ammonia.
All atmosphere furnaces and generators (output

trim/adjustment gas) shall have flow scopes or flow
Do all atmosphere furnaces
meters for all gases. Flow scopes and meters
and generators have flow
3.11 shall be periodically serviced per the heat treater's
scopes or flow meters for all
preventive maintenance program. Cleaning and
gases?
proper re-assembly procedures shall be
documented.
34
CQI-9
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6
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on
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3
at
o
Infrared temperature pyrometers are required at
tp u : n
:E
the exit end of continuous belt furnaces running
io
For threaded fasteners, are all threaded fasteners to monitor for under
to
gl ri the irat
continuous belt furnaces temperature parts. The temperature alarm shall be
equipped with sight glass within 28C (50F) of the furnace set point
te
3.12
ke , is ic 0 d
A
inspection ports and infrared temperature. Results shall be strip charted or
rd o b xp
ar up nt e L 25 se
pyrometers at discharge end continuously data logged. Infrared (IR) units shall
of the hardening furnace? be calibrated annually at a minimum and certified.
co is ed E
rm ro e it 06 enAll sight glasses shall be cleaned per the
se
preventive maintenance schedule.
y
y. gh
d an ow en
Applicable to ferritic-nitrocarburizing,
in py
austempering, and neutral hardening in salt.
n
Ac is cum um en
Is salt chemistry in the The heat treater shall check the salt chemistry in
3.13 austenitizing salt bath the austentizing salt bath, or part decarburization,
c
Th Do r N um
monitored? daily. Refer to the applicable Process Tables,

Section 3.0, for frequency of checks.
E- rde doc
ac d
The heat treater shall periodically have the

quenching medium analyzed for specific quenching
O is
characteristics, e.g., cooling curve, water content,

Th
salt concentration, as specified in the applicable

Process Tables, Section 5.0.
Is the quenching medium
3.14 • The quench media characteristic tolerances shall
analyzed?
be specified by the quench medium supplier or the
heat treater.
• Analysis shall be reviewed for conformance by
the heat treater. This review shall be documented.
35
CQI-9
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FOR INDUCTION HEAT TREATING
6
ro tom /2
on
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A method to detect proper part position, such as
Is the positioning of each part
3
3.15 the use of proximity switches, optical sensors,
at
being controlled?
o
mechanical probes, etc., is required for each part.
tp u : n
:E
io
The heat treater shall control the energy or power
to
gl ri the irat
for each part.
• A signature monitor for each machine is
te
ke , is ic 0 d
A
preferred. A signature monitor gives the energy
rd o b xp
ar up nt e L 25 se
Does the heat treater control
unit (voltage, kilowatt, etc.) vs. time or distance (for
3.16 the energy or power for each
co is ed E
scanning systems).
part? rm ro e it 06 en• An energy monitor or equivalent is acceptable if
se
y
approved by the authorized customer
y. gh
representative.
d an ow en
in py
The heat treater shall have a coil management
n
Ac is cum um en
system. Coil refers to the heating coil and the

quench plenum.
c
Th Do r N um
Does the supplier have a coil • Spare coils for each part shall be available on-
management system? Coil site.
3.17
refers to the heating coil and • Coils shall conform to the approved original
E- rde doc
ac d
the quench plenum. design.

• Engineering change approval from the customer
is required whenever the coil design is changed.
O is
Th
The quench system shall be an automatic

operation. No manual quenching is allowed unless
3.18 Is quench system automatic? specifically approved by the authorized customer
representative. Quenching shall be automatically
initiated and controlled.
Does each lot of parts have The heat treater shall perform first piece set-up for
3.19
first piece set-up? each lot of parts
36
CQI-9
Instructions for completing the Job Audit
The organization is to complete a minimum of one heat treat part job audit during each assessment. This
should be done preferably on a part identified for one of the customers requiring compliance to this
document. More part job audits may be done if time permits. Preferably, safety or critical parts should be
audited. This may not be easily determined with fasteners, especially if the fastener manufacturer does not
identify the end customer (auto manufacturer, tier one, etc.). It is recommended that the job audit be
performed at the end of the heat treat system assessment.
n
The job audit is not the only or main focus of the HTSA. The other three sections on Management
io
Responsibility and Quality Planning, Floor and Material Handling Responsibility, and Equipment are
at
en
s y
equally if not even more important. The job audit of one part, one heat process, and one furnace is not
ha ustr
or
an Ind 1
be
sufficient to use as a basis to complete the other sections of the complete HTSA.
ed e 1
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The job audit is a compliance type audit/review of a specific part and its related paperwork and
processing, including heat treat equipment and processing records for that job from the beginning receipt
6
ro tom 3/2
on
of a part through processing in the heat treat operation and inspection to packaging. Parts shall be taken
d
from the shipping area at the dock or the end of the heat treat operation. If an automotive manufacturer’s
at
part is not available or identifiable, then parts from other customers requiring compliance with this
tp u : n
:E
document shall be used for the assessment.

io
to
gl ri he at
The part or lot checked shall represent a major heat treat operation such as quench and tempering,
in py y t ir
te
ke , is ic 0 d
A
carburizing and tempering, induction hardening for steel, solution treating and aging of aluminum, etc. In
rd o b xp
ar up nt e L 25 se
subsequent heat treat system assessments, different parts and heat treat processes shall be checked.
co is ed E
rm ro e it 06 en
The specific heat treat processing parameters (applies to 4.7 in the Job Audit) that are required in the job
se
y. gh
audit shall be added to the job audit form. This can be done by reviewing the customer specification(s),
d an ow en
the Control Plan, the FMEA, and the floor work/job order. Each processing step shall be reviewed for
proper production records/compliance/inspection. These steps can be compared to those in the Heat Treat
n
Ac is cum um en
System Assessment for the actual job/heat treat process being reviewed for compliance. The heat treat and
c
furnace records for the actual time frame/shift etc. that the job was processed shall also be checked. The
Th Do r N um
actual furnace equipment and instrumentation certification shall be verified as being in compliance to the
appropriate equipment requirements in the equipment section.
E- rde doc
ac d
O is
Th
37
CQI-9
Section 4 - Job Audit
n
io
Job Identity:
at
en
Customer:
s y
ha ustr
or
Shop Order Number:
an Ind 1
be
Part Number:
ed e 1
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Part Description:
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Material:
Heat Treat Requirements:
6
ro tom /2
on
d
Related Customer or Internal Job (Shop) Order or Reference Actual Condition Pass / Fail
3
Question # Job Audit Question
at
HTSA Question # Requirement Documentation Requirement (Objective Evidence) / N/A
o
tp u : n
:E
4.1 Are contract review, advance quality 1.2
io
planning, FMEA, control plans, etc., 1.3
to
N/A
gl ri the irat
performed by qualified individuals? 1.4
1.17
te
ke , is ic 0 d
A
rd o b xp
ar up nt e L 25 se
4.2 1.5 N/A
Does the heat treat facility have the
co is ed E
rm ro e it 06 en
customer specifications for the part?
se
y
y. gh
4.3 Is a shop traveler created to meet 1.6
d an ow en
customer requirements? 2.1
Is material identification (part
in py
4.4 2.2
numbers, lot numbers, heat 2.3
n
Ac is cum um en
numbers, contract numbers, etc.) 2.4
c
maintained throughout the heat
Th Do r N um
treat process?
4.5 Is there documented evidence of 2.1
E- rde doc
ac d
Receiving Inspection?
4.6 1.6
Are the Loading / Racking 2.7
O is
requirements identified? 2.9

Th
4.7 Is the proper recipe or process 1.5

specification (cycle times, 1.6
temperature, atmosphere, etc.) 2.1
used? Refer to Process Tables, 2.14
Section 3.0, for specific parameters. 2.15
List parameters that were verified in
this audit in the spaces provided
below.
38
CQI-9

Job Identity:
Customer:
n
Shop Order Number:
io
Part Number:
at
Part Description:
en
s y
Material:
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at
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to
gl ri the irat
te
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A
rd o b xp
ar up nt e L 25 se
co is ed E
rm ro e it 06 en
se
y
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d an ow en
4.8 What are the product inspection 2.15
in py
requirements?
n
Ac is cum um en
4.8.1 Requirement: (1)

Test Method:
c
Th Do r N um
Test frequency or quantity:

Selection of samples:
E- rde doc
ac d
Specification:
Test Method:
O is

Th
Specification:
Test Method:
Specification:
Test Method:
Specification:
39
CQI-9
n
Job Identity:
io
Customer:
Shop Order Number:
at
en
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Part Number:
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Part Description:
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Material:
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3
at
Operator or Inspector Responsibilities
o
tp u :
4.9 Were appropriate process steps 1.4
n
:E
signed off? 2.2
io
2.3
to
gl ri the irat
2.14
te
ke , is ic 0 d
A
4.10 Were all inspection steps, as 1.2
rd o b xp
ar up nt e L 25 se
documented in the control plan 1.4
performed?
co is ed E
4.11
rm ro e it 06 en 1.2
se
y
1.4
y. gh
Were steps/operations performed
1.6
d an ow en
that were not documented in the
control plan?
in py
n
Ac is cum um en
4.12 If additional steps were performed, 1.2
c
Th Do r N um
were they authorized? 1.4

1.6
E- rde doc
ac d
1.11
1.17
4.13 Does the governing specification 1.11
O is
allow reprocessing or rework?

Th
4.14 If the order was certified, did the 2.14

certification accurately reflect the 2.15
process performed?
4.15 Was the certification signed by an 1.17
authorized individual?
4.16 Are the parts and containers free of 2.6
inappropriate objects or 2.11
contamination?
40
CQI-9
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6
Job Identity:
ro tom /2
on
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Customer:
3
at
Shop Order Number:
o
tp u :
Part Number:
n
:E
Part Description:
io
Material:
to
gl ri the irat
te
ke , is ic 0 d
A
rd o b xp
ar up nt e L 25 se
co is ed E
rm ro e it 06 en
se
Packaging Requirements
y
y. gh
4.17 Are packaging requirements 2.9
d an ow en
identified?
in py
4.18 2.9
Are parts packaged to minimize
n
Ac is cum um en
mixed parts (for example, parts
c
Th Do r N um
packed over height of container)?
Shipping Requirements
E- rde doc
ac d
4.19 Were the parts properly identified? 2.3

2.9
O is
Were the containers properly 2.3

Th
4.20 labeled? 2.9
41
CQI-9
APPENDIX A – PROCESS TABLES

PROCESS TABLE A:
CARBURIZING / CARBONITRIDING / CARBON CORRECTION / NEUTRAL HARDENING /
AUSTEMPERING / MARTEMPERING / TEMPERING /
PRECIPITATION HARDENING – AGING ...................................................................................................43
PROCESS TABLE B:
NITRIDING (GAS) AND FERRITIC-NITROCARBURIZING (GAS OR SALT) ........................................48
n
PROCESS TABLE C:
io
ALUMINUM HEAT TREATMENT ...............................................................................................................54
at
en
s y
ha ustr
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PROCESS TABLE D:
an Ind 1
be
INDUCTION HEAT TREATING....................................................................................................................58
ed e 1
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PROCESS TABLE E:
ANNEALING / NORMALIZING / STRESS-RELIEVING ............................................................................62
6
ro tom 3/2
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at
tp u : n
:E
io
to
gl ri he at
in py y t ir
te
ke , is ic 0 d
A
rd o b xp
ar up nt e L 25 se
co is ed E
rm ro e it 06 en
se
y. gh
d an ow en
n
Ac is cum um en
c
Th Do r N um
E- rde doc
ac d
O is
Th
42
CQI-9
PROCESS TABLE A - Carburizing / Carbonitriding / Carbon Correction / Neutral Hardening /

Austempering / Martempering / Tempering / Precipitation Hardening - Aging
All requirements given below are subordinate to customer specific requirements.
n
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the auditor
io
shall verify heat treater is conforming to the customer's requirements.
at
en
s y
* Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
ha ustr
or
an Ind 1
** Does not apply to furnaces operating below 760C (1400F).
be
ed e 1
----- indicate "not applicable".
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Item # Related HTSA Category/Process Steps Batch Continuous Generators
6
Question # Furnace Furnace *
ro tom 3/2
1.0
on
PROCESS AND TEST EQUIPMENT REQUIREMENTS
d
A1.1 3.1 All furnaces, generators and quench systems shall have Yes Yes Yes
at
3.7 temperature indicating instruments.
tp u : n
:E
A1.2 3.1 Continuous strip charts and/or data loggers are required for
io Yes Yes Yes
3.7 temperature and carbon monitoring unit, e.g., dew point,
to
oxygen probe, IR gas analyzer, etc.

gl ri he at
in py y t ir
te
ke , is ic 0 d
A
A1.3 1.18 A program for furnace and generator burnout is required Yes Yes Yes
rd o b xp
ar up nt e L 25 se
(applies to carbon bearing atmospheres).

co is ed E
rm ro e it 06 en
A1.4 3.2 Furnace weigh scales shall be verified quarterly and calibrated Yes Yes -----
se
y. gh
annually at a minimum.
d an ow en
A1.5 3.2 Dew pointers, 3-gas analyzers, spectrometers, and carbon IR ----- ----- -----
combustion analyzers (shim stock analysis), used to verify

carbon potential in furnaces, shall be calibrated annually at a
n
minimum.
Ac is cum um en
c
Th Do r N um
A1.6 3.2 Verification of calibration of spectrometers, and carbon IR ----- ----- -----
combustion analyzers, shall be checked daily or prior to use.
E- rde doc
ac d
A1.7 3.2 Verification of calibration of 3-gas analyzers with zero gas and ----- ----- -----
span gas shall be performed weekly at a minimum.
O is
Th
A1.8 3.2 Oxygen probe controllers shall be calibrated quarterly at a Yes Yes Yes
minimum.
A1.9 2.16 All hardness test equipment (for each scale used) shall be ----- ----- -----
calibrated semi-annually minimum, and verified daily minimum
per the applicable ASTM standard.
A1.10 2.16 Files shall be verified daily (or prior to use) with provers per ----- ----- -----
SAE J864.
A1.11 3.2 Refractometers (typically used to check polymer quenchants ----- ----- -----
and washer solutions) shall be verified daily (with distilled
water) and calibrated annually (per manufacturer's
requirements) at a minimum.
43
CQI-9

n
io
2.0 PYROMETRY
at
en
s y
A2.1 3.2 Thermocouples and calibration of thermocouples shall conform Yes Yes Yes
ha ustr
or
3.3 to AMS 2750D.
an Ind 1
be
ed e 1
rp
A2.2 3.2 Instrument Calibration per AMS 2750D shall be quarterly at a Yes Yes Yes
ct otiv /20
3.3 minimum.
Co
Frequency reductions per AMS 2750D are not allowed.
6
ro tom 3/2
on
d
A2.3 3.2 CQI-9 requires a comparative check of the control temperature Yes Yes Yes
at
3.3 sensor (CTS) in the Qualified Work Zone to a (1) calibrated
tp u :
test temperature sensor (CTTS) or, (2) resident thermocouple
n
:E
(R-T/C). (1) The CTS shall be within an operating temperature

io
range of +/- 5C (or +/-10F) of the CTTS. This check shall be
to
gl ri he at
performed monthly. (2) Within the operating temperature
range the difference between the CTS and R-T/C readings
in py y t ir
te
ke , is ic 0 d
A
shall be no more than +/- 1C (or +/-2F) as determined at the
rd o b xp
ar up nt e L 25 se
time of the most recent temperature uniformity survey. This

check shall be performed weekly. Any actions to correct a
co is ed E
rm ro e it 06 en
failing reading or validate a test result shall be documented.

se
Additionally, Type K and N thermocouples shall be checked

y. gh
monthly for equipment operating at or above 760C (1400F)

d an ow en
and changed annually at a minimum. Type K and N

thermocouples shall be checked quarterly for equipment

operating below 760C (1400F) and changed every two years at
n
a minimum.
Ac is cum um en
c
Th Do r N um
Type R and S thermocouples shall be checked monthly for

equipment operating at or above 760C (1400F) and changed
every two years at a minimum. Protection Tubes shall be
E- rde doc
ac d
visually checked at the same frequency as thermocouples.
A2.4 3.4 Temperature Uniformity Survey (TUS): refer to AMS 2750D for Yes Yes - In Qualified Work -----
O is
procedures. TUS frequency shall be annual and after major Zone

Th
rebuild.
Temperature uniformity tolerance for hardening furnaces shall

be +/- 14 C (or +/- 25 F). Temperature uniformity tolerance for
tempering furnaces shall be +/- 11 C (or +/- 20 F).
Minimum and maximum temperature ranges shall be tested

per AMS 2750D. Exception: If the operating range of the
Qualified Work Zone is equal to or less than 85 C (153 F) then
only one temperature is required to be tested. The
temperature shall be within the operating range of the Qualified
Work Zone.
A2.5 3.5 Recorded temperature(s) for austentizing processes shall be Yes Yes - In Qualified Work -----
controlled within +/- 9C (or +/- 15F) of the set point as Zone
evidenced by continuous recording pyrometers. Furnace
temperature shall be controlled with soak times starting at the
lower tolerance limit (as defined above).
44
CQI-9
n
io
at
en
s y
ha ustr
or
an Ind 1
be
ed e 1
rp
ct otiv /20
Co
6
ro tom 3/2
on
d
at
tp u : n
:E

io
to
gl ri he at
in py y t ir
te
ke , is ic 0 d
A
rd o b xp
ar up nt e L 25 se
co is ed E
rm ro e it 06 en

se
y. gh

d an ow en

A2.6 3.5 Recorded temperature(s) for tempering and precipitation Yes Yes - In Qualified Work -----
hardening processes shall be controlled within +/- 6C (or +/- Zone
n
Ac is cum um en
10F) of the set point as evidenced by continuous recording

pyrometers. Furnace temperature shall be controlled with
c
Th Do r N um
soak times starting at the lower tolerance limit (as defined

above).
E- rde doc
ac d
A2.7 3.2 Infrared pyrometers shall be calibrated to a black body furnace -----
annually.
O is
Th
45
CQI-9

n
io
at
en
s y
ha ustr
or
an Ind 1
be
ed e 1
3.0 PROCESS MONITOR FREQUENCIES
rp
ct otiv /20
A3.1 1.4 Monitor primary temperature control instrument(s). Each batch or Each lot or continuous Each Shift
Co
2.14 continuous recording recording with sign-off
with sign-off every 2 every 2 hours. Alarm
6
hours. Alarm systems systems satisfy the sign-
ro tom 3/2
on satisfy the sign-off off requirement
d
requirement.
at
A3.2 1.4 Monitor generator atmospheres. ----- ----- Continuous
tp u : n
:E
2.14 io
3.7
to
gl ri he at
A3.3 1.4 Monitor primary furnace atmosphere control(s)**. Continuous recording Continuous recording -----
2.14 with sign-off every 2 with sign-off every 2
in py y t ir
te
ke , is ic 0 d
A
3.7 hours. Alarm systems hours. Alarm systems
rd o b xp
ar up nt e L 25 se
satisfy the sign-off satisfy the sign-off

requirement. requirement
co is ed E
rm ro e it 06 en
se
A3.4 1.4 Verify primary atmosphere control method by back-up Daily Daily Daily
y. gh
2.14 method**.
d an ow en
3.7
A3.5 1.4 For austentizing salt baths: Salt chemistry (soluble oxides) or Daily Daily -----
2.14 decarburization on the parts shall be checked daily.
n
Ac is cum um en
3.13
A3.6 1.4 Quench Media Process Parameters
c
Th Do r N um
2.12 - Temperature Each batch or Each lot or continuous -----

continuous recording recording with sign-off
E- rde doc
ac d
hours. Alarm systems systems satisfy the sign-

satisfy the sign-off off requirement.
requirement.
O is
- Quench Level Daily Daily -----

Th
- Agitation - Daily visual check is - Daily visual check is -----

required. required.
- Monitor each load in - Monitor every 2 hours

the absence of an in the absence of an
alarm system. alarm system.
A3.7 1.4 Monitor time in furnace, cycle time or belt speed. Each batch Twice/shift & after any -----
2.14 change in the belt speed.
A3.8 1.4 Monitor load size or fixturing or loading rate as applicable. Each batch Twice/shift & after any -----
2.7 change in loading rate.
A3.9 1.4 Quench Delay Time - Each batch Each basket for pusher- -----
2.12 Alarm system shall be based on the time that the load exits the type continuous
furnace to the time the load is at the bottom of the quench furnaces. Not applicable
tank. for belt furnaces.
46
CQI-9

n
io
at
en
s y
ha ustr
or
an Ind 1
be
ed e 1
rp
ct otiv /20
Co
6
ro tom 3/2
on
d
at
4.0 IN-PROCESS/FINAL TEST FREQUENCIES
tp u : n
:E
A4.1 1.4
io
Microstructure Daily per furnace Daily per furnace -----
to
gl ri he at
2.15
A4.2 1.4 Surface hardness Each batch Every 2 hours minimum -----
in py y t ir
te
ke , is ic 0 d
A
2.15
rd o b xp
ar up nt e L 25 se
A4.3 1.4 Core hardness (when specified) Each batch Every 4 hours -----
2.15
co is ed E
rm ro e it 06 en
A4.4 1.4 Case depth (when specified) Each batch Every 4 hours -----
se
2.15
y. gh
5.0 QUENCHANT AND SOLUTION TEST FREQUENCIES

d an ow en
A5.1 2.12 Polymer Quench Media

3.14 - Concentration Daily Daily -----

- Quenchability Check; e.g., cooling curve, viscosity, or titration Every six months Every six months -----
n
Ac is cum um en
A5.2 2.12 Water Quench Media

c
Th Do r N um
3.14 - Suspended solids Every six months Every six months -----
A5.3 2.12 Salt Quench Media
3.14 - Analysis & Contaminants Every six months Every six months -----
E- rde doc
ac d
A5.4 2.12 Brine or Caustic Quench Media

3.14 - Concentration and/or Specific Daily Daily -----
Gravity.
O is
- Suspended solids Every six months Every six months -----

Th
A5.5 2.12 Oil Quench Media

3.14 - Water content, suspended solids, Quarterly Quarterly -----
viscosity, cooling curve, total acid,
and flash point.
A5.6 2.13 Rust Preventive - Soluble Oil
- Concentration 2x / week 2x / week -----
A5.7 2.11 Washers
- Concentration of cleaner Daily Daily -----
- Temperature of solution (required if temperature is specified Each shift Each shift -----
to be above ambient temperature).
47
CQI-9
PROCESS TABLE B - Nitriding (Gas) and Ferritic-Nitrocarburizing (Gas or Salt)
n
io
at
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the
en
s y
auditor shall verify heat treater is conforming to the customer's requirements.
ha ustr
or
an Ind 1
be
ed e 1
rp
ct otiv /20
Co
Item # Related HTSA Category/Process Steps Batch Continuous Generators Salt Bath
6
Question # Furnace Furnace*
ro tom 3/2
on
d
1.0 PROCESS AND TEST EQUIPMENT
at
REQUIREMENTS
tp u : n
:E
B1.1 3.1 All furnaces, generators and quench systems shall

io Yes Yes Yes Yes
3.7 have temperature indicating instruments.
to
B1.2 3.1 Continuous strip charts and/or data loggers are Yes Yes Yes Yes -
gl ri he at
3.7 required for temperature and carbon monitoring unit, For
in py y t ir
te
ke , is ic 0 d
A
e.g., dew point, oxygen probe, IR gas analyzer, etc. temperature
rd o b xp
ar up nt e L 25 se
only
co is ed E
rm ro e it 06 en
B1.3 1.18 A program for furnace and generator burnout is Yes Yes Yes -----
se
required. Not required for retort gas nitriding.

y. gh
d an ow en
B1.4 3.12 For austentizing salt baths: Salt chemistry (soluble ----- ----- ----- Yes
3.13 oxides) or decarburization on the parts shall be

checked daily.
n
Ac is cum um en
B1.5 3.2 Furnace weigh scales shall be verified quarterly and Yes Yes ----- -----
calibrated annually at a minimum.
c
Th Do r N um
B1.6 3.2 Dew pointers and gas analyzers, used to verify proper ----- ----- ----- -----
atmosphere in furnaces, shall be calibrated annually at
E- rde doc
ac d
a minimum.
B1.7 2.16 All hardness test equipment (for each scale used) ----- ----- ----- -----
O is
shall be calibrated semi-annually minimum, and

Th
verified daily minimum per the applicable ASTM

standard.
B1.8 2.16 Files shall be verified daily (or prior to use) with ----- ----- ----- -----
provers per SAE J864.
B1.9 3.2 Refractometers (typically used to check polymer ----- ----- ----- -----
quenchants and washer solutions) shall be verified
daily (with distilled water) and calibrated annually (per
manufacturer's requirements) at a minimum.
48
CQI-9

n
io
at
en
s y
ha ustr
or
an Ind 1
be
ed e 1
rp
ct otiv /20
Co
2.0 PYROMETRY
6
B2.1 3.2 Thermocouples and calibration of thermocouples shall Yes Yes Yes Yes
ro tom 3/2
on
d
3.3 conform to AMS 2750D.
B2.2 3.2 Instrument Calibration per AMS 2750D shall be Yes Yes Yes Yes
at
3.3 quarterly at a minimum.
tp u : n
:E
io
Frequency reductions per AMS 2750D are not
allowed.
to
gl ri he at
B2.3 3.2 CQI-9 requires a comparative check of the control Yes Yes Yes Yes
in py y t ir
te
3.3 temperature sensor (CTS) in the Qualified Work Zone
ke , is ic 0 d
A
rd o b xp
to a (1) calibrated test temperature sensor (CTTS) or,

ar up nt e L 25 se
(2) resident thermocouple (R-T/C).

co is ed E
rm ro e it 06 en
(1) The CTS shall be +/- 5C (or +/- 10F) of a CTTS at

se
y. gh
the operating temperature range; this checked shall

be performed monthly.
d an ow en
(2) The relationship between the CTS and R-T/C at

the operating temperature range shall be within +/- 1C
n
Ac is cum um en
(or +/- 2F) of their relationship determined at the time

c
of the most recent temperature uniformity survey; this

Th Do r N um
checked shall be performed weekly.
Any actions to correct a failing reading or validate a

E- rde doc
ac d
test result shall be documented.
Additionally, Type K and N thermocouples shall be

O is
checked monthly for equipment operating at or above

Th
760C (1400F) and changed annually at a minimum.

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

monthly for equipment operating at or above 760C
(1400F) and changed every two years at a minimum.
Protection Tubes shall be visually checked at

same frequency as thermocouples.
49
CQI-9
n
io
at
en
s y
ha ustr
or
an Ind 1
be
ed e 1
rp
ct otiv /20
Co
6
ro tom 3/2
on
d
at
tp u :
n
:E
Question # io Furnace Furnace*

to
gl ri he at
B2.4 3.4 Temperature Uniformity Survey (TUS): refer to AMS Yes Yes - In Qualified ----- Yes
2750D for procedures. TUS frequency shall be annual Work Zone
in py y t ir
te
ke , is ic 0 d
A
and after major rebuild.
rd o b xp
ar up nt e L 25 se
Temperature uniformity tolerance shall be +/- 9 C (15

co is ed E
rm ro e it 06 en
F).
se
y. gh
Minimum and maximum temperature ranges shall be

d an ow en
tested per AMS 2750D. Exception: If the operating

range of the Qualified Work Zone is equal to or less

than 85 C (153 F) then only one temperature is
n
required to be tested. The temperature shall be within

Ac is cum um en
the operating range of the Qualified Work Zone.

c
Th Do r N um
Frequency reductions per AMS 2750D are not

allowed.
E- rde doc
ac d
B2.5 3.5 Recorded temperature(s) shall be controlled within +/- Yes Yes - In Qualified ----- Yes
9C (or +/- 15F) of the set point as evidenced by Work Zone
O is
continuous recording pyrometers. Furnace

temperature shall be controlled with soak times
Th
starting at the lower tolerance limit (as defined above).
B2.6 3.2 Infrared pyrometers shall be calibrated to a black body

furnace annually .
50
CQI-9

n
io
at
en
s y
ha ustr
or
an Ind 1
be
ed e 1
rp
ct otiv /20
Co
6
ro tom 3/2
on
d
B3.1 1.4 Monitor primary temperature control instrument(s). Each batch or Each lot or Each Shift Every 2 hours
2.14 continuous continuous & after any
at
recording with recording with change
tp u : n
:E
io sign-off every sign-off every 2

2 hours. hours. Alarm
Alarm systems satisfy
to
gl ri he at
systems the sign-off
in py y t ir
te
satisfy the requirement
ke , is ic 0 d
A
rd o b xp
sign-off
ar up nt e L 25 se
requirement
co is ed E
rm ro e it 06 en
se
B3.2 1.4 Monitor generator atmospheres, if applicable. ----- ----- Continuous -----
y. gh
2.14
d an ow en
3.7
B3.3 1.4 Monitor primary furnace atmosphere control(s). Each batch Continuous ----- Daily
2.14 (rotary recording with
n
Ac is cum um en
3.7 furnaces only) sign-off every 2

or continuous hours. Alarm
c
Th Do r N um
recording with systems satisfy

sign-off every the sign-off
2 hours. requirement
E- rde doc
ac d
Alarm
systems
satisfy the
O is
sign-off
Th
requirement
B3.4 1.4 Dissociation of ammonia shall be checked in gas Each batch Every 4 hours Daily N/A
3.7 nitriding. and every 4
hours
minimum
B3.5 1.4 Gas ratios for ferritic nitrocarburizing shall be checked. Each batch Every 2 hours
3.7 minimum
B3.6 1.4 Check salt chemistry (soluble oxides) in salt baths ----- ----- ----- Daily
2.14 used for austenitizing, or decarburization on the parts.
3.13
51
CQI-9

n
io
at
en
s y
ha ustr
or
an Ind 1
be
ed e 1
rp
ct otiv /20
Co
B3.7 1.4 Quench Media Process Parameters
6
2.12
ro tom 3/2
- Temperature
on Each batch or Each lot or ----- Each batch or
d
continuous continuous continuous
at
recording with recording with recording with
sign-off every
tp u :
sign-off every 2 sign-off every
n
:E
io 2 hours. hours. Alarm 2 hours.

Alarm systems satisfy Alarm systems
to
gl ri he at
systems the sign-off satisfy the sign-
satisfy the requirement. off
in py y t ir
te
ke , is ic 0 d
A
sign-off requirement.
rd o b xp
ar up nt e L 25 se
requirement.
co is ed E
rm ro e it 06 en
- Quench Level Daily Daily ----- Daily

se
y. gh
- Agitation - Daily - Daily ----- Daily

- Monitor each - Monitor every 2
d an ow en
load in the hours in the

absence of an absence of an
alarm system. alarm system.
n
Ac is cum um en
B3.8 1.4 Monitor time in furnace, cycle time or belt speed. Each batch Twice/shift & ----- Each batch
Th Do r N um
2.14 after any change

in the belt speed.
E- rde doc
ac d
B3.9 1.4 Monitor load size or fixturing or loading rate as Each batch Twice/shift & ----- Each batch
2.7 applicable. after any change
in loading rate.
O is
Th
B3.10 1.4 Quench Delay Time if applicable - Each batch Each basket if ----- Each batch
2.12 Alarm system shall be based on the time that the load applicable.
exits the furnace to the time the load is at the bottom
of the quench tank.
B4.1 1.4 Microstructure Daily per Daily per furnace ----- Daily per
2.15 furnace furnace
B4.2 1.4 Surface hardness Each batch Every 2 hours ----- Each batch
2.15 minimum
B4.3 1.4 Core hardness (when specified) Each batch Every 4 hours ----- Each batch
2.15
B4.4 1.4 Case depth (when specified) Each batch Every 4 hours ----- Each batch
2.15
52
CQI-9
n
io
at
en
s y
ha ustr
or
an Ind 1
be
ed e 1
rp
ct otiv /20
Co
6
ro tom 3/2
on
d
at
tp u : n
:E
5.0
io
QUENCHANT AND SOLUTION TEST
to
FREQUENCIES
gl ri he at
Quench Media Controls If Applicable
in py y t ir
te
ke , is ic 0 d
B5.1 2.12 Polymer Quench Media

A
rd o b xp
ar up nt e L 25 se
3.14 - Concentration Daily Daily ----- -----

- Quenchability Check; e.g., cooling Every six Every six months ----- -----
co is ed E
rm ro e it 06 en
curve, viscosity, or titration. months

B5.2 2.12 Water Quench Media
se
y. gh
3.14 - Suspended solids Every six Every six months ----- -----
months
d an ow en
B5.3 2.12 Salt Quench Media

3.14 - Analysis & Contaminants Every six Every six months ----- Every six
months months
n
Ac is cum um en
B5.4 2.12 Brine or Caustic Quench Media

Th Do r N um
3.14 - Concentration and/or Specific Daily Daily ----- -----

Gravity
E- rde doc
ac d
- Suspended solids Every six Every six months ----- -----

months
B5.5 2.12 Oil Quench Media
3.14 - Water content, suspended solids, Quarterly Quarterly ----- -----
O is
viscosity, cooling curve, total acid,

Th
and flash point.

B5.6 2.13 Rust Preventive - Soluble Oil
- Concentration 2x / week 2x / week ----- 2x / week
B5.7 2.11 Washers
- Concentration of cleaner Daily Daily ----- Daily
- Temperature of solution (required if temperature is Each shift Each shift ----- Each shift
specified to be above ambient temperature).
53
CQI-9
n
io
at
en
s y
ha ustr
or
an Ind 1
be
ed e 1
rp
PROCESS TABLE C - Aluminum Heat Treating
ct otiv /20
Co
6
ro tom 3/2
on
d
at
tp u :
*Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
n
:E

io
to
gl ri he at
Item # Related Category/Process Steps Batch Solution Treating Continuous Solution Annealing
in py y t ir
te
HTSA and Aging Furnaces Treating and Aging Furnace
ke , is ic 0 d
A
rd o b xp
Question # Furnaces
ar up nt e L 25 se

co is ed E
rm ro e it 06 en
REQUIREMENTS
C1.1 3.1 All furnaces and quench systems shall have Yes Yes Yes
se
y. gh
3.7 temperature indicating instruments.

C1.2 3.1 Continuous strip charts and/or data loggers are Yes Yes Yes
d an ow en
3.7 required for temperature sensors.

C1.3 2.16 All hardness test equipment (for each scale used) shall ----- ----- -----
be calibrated semi-annually minimum, and verified daily
n
Ac is cum um en
minimum per the applicable ASTM standard.

c
Th Do r N um
C1.4 3.2 Furnace weigh scales shall be verified quarterly and Yes Yes Yes
E- rde doc
ac d
C1.5 3.2 Refractometers (typically used to check polymer ----- ----- -----
quenchants and washer solutions) shall be verified
daily (with distilled water) and calibrated annually (per
O is
manufacturer's requirements) at a minimum.

Th
54
CQI-9
n
io
at
en
s y
ha ustr
or
an Ind 1
be
ed e 1
rp
ct otiv /20
Question # Furnaces
Co
2.0 PYROMETRY
6
C2.1 3.2 Thermocouples and calibration of thermocouples shall Yes Yes Yes
ro tom 3/2
3.3
on
conform to AMS 2750D.
d
at
C2.2 3.2 Instrument Calibration per AMS 2750D shall be Yes Yes Yes
tp u : n
:E
3.3 quarterly at a minimum.

io
to
gl ri he at
in py y t ir
te
C2.3 3.2 CQI-9 requires a comparative check of the control Yes Yes Yes
ke , is ic 0 d
A
rd o b xp
3.3 temperature sensor (CTS) in the Qualified Work Zone

ar up nt e L 25 se
to a (1) calibrated test temperature sensor (CTTS) or,

co is ed E
rm ro e it 06 en
(2) resident thermocouple (R-T/C).

se
y. gh
(1) The CTS shall be +/- 5C (or +/- 10F) of a CTTS at

the operating temperature range; this checked shall be
d an ow en
performed monthly.
(2) The relationship between the CTS and R-T/C at the

n
Ac is cum um en
operating temperature range shall be within +/- 1C (or

c
+/- 2F) of their relationship determined at the time of

Th Do r N um
the last temperature uniformity survey; this checked

shall be performed weekly.
E- rde doc
ac d
Any actions to correct a failing reading or validate a test

result shall be documented.
O is

Th

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

for equipment operating at or above 760C (1400F) and
changed bi-annually every two years at a minimum.

55
CQI-9
n
io
at
en
s y
ha ustr
or
an Ind 1
be
ed e 1
rp
ct otiv /20
Co
6
ro tom 3/2
Question #
on Furnaces
d
C2.4 3.4 Temperature Uniformity Survey (TUS): refer to AMS Yes Yes - In Qualified Work Yes
at
2750D for procedures. TUS frequency shall be Zone
tp u :
quarterly and after major rebuild.
n
:E
io
Temperature uniformity tolerance for solution treating
to
gl ri he at
and aging furnaces shall be +/- 6 C (or +/- 10 F).
Temperature uniformity tolerance for annealing
in py y t ir
te
ke , is ic 0 d
A
furnaces shall be +/- 14 C (or +/- 25 F).
rd o b xp
ar up nt e L 25 se

co is ed E
rm ro e it 06 en
tested per AMS 2750D. Exception: If the operating

range of the Qualified Work Zone is equal to or less
se
y. gh
than 85 C (153 F) then only one temperature is required

d an ow en
to be tested. The temperature shall be within the

operating range of the Qualified Work Zone.

n

Ac is cum um en
c
Th Do r N um
C2.5 3.5 Recorded temperature(s) shall be controlled within +/- Yes Yes - In Qualified Work -----
6C (or +/- 10F) of the set point as evidenced by Zone
E- rde doc
ac d

temperature shall be controlled with soak times starting
at the lower tolerance limit (as defined above).
O is
Th
C2.6 3.5 Recorded temperature(s) shall be controlled within +/- ----- ----- Yes
9C (or +/- 15F) of the set point as evidenced by
temperature shall be controlled with soak times starting
at the lower tolerance limit (as defined above).
C2.7 3.2 Infrared pyrometers shall be calibrated to a black body

furnace annually.
56
CQI-9
n
io
Question # Furnaces
at
en
s y
ha ustr
or
C3.1 1.4 Monitor primary temperature control instrument(s). Each batch or continuous Each lot or continuous Each batch or
an Ind 1
be
2.14 recording with sign-off recording with sign-off continuous
ed e 1
rp
every 2 hours. Alarm every 2 hours. Alarm recording with
ct otiv /20
systems satisfy the sign-off systems satisfy the sign- sign-off every
Co
requirement. off requirement. 2 hours.
6
Alarm systems
ro tom 3/2
on satisfy the sign
d
off
requirement.
at
tp u : n
:E
C3.2 1.4 Quench Media Process Parameters

io
2.12 - Heat treater shall specify temperature range based on Each batch or continuous Each lot or continuous -----
to
gl ri he at
product form and material. Temperature shall be recording with sign-off recording with sign-off
monitored as noted. every 2 hours. Alarm every 2 hours. Alarm
in py y t ir
te
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A
systems satisfy the sign-off systems satisfy the sign-
rd o b xp
ar up nt e L 25 se
requirement. off requirement.

- Quench Level Daily Daily -----
co is ed E
rm ro e it 06 en
- Agitation - Daily visual check is - Daily visual check is -----

required. required.
se
y. gh
d an ow en
- Monitor each load in the - Monitor every 2 hours in

absence of an alarm the absence of an alarm

system. system.
n
C3.3 1.4 Monitor process cycle time Each batch Twice/shift & after any Each batch
Ac is cum um en
2.14 change in the indexing

c
speed.
Th Do r N um
C3.4 1.4 Monitor load size or fixturing as applicable. Each batch Twice/shift & after any Each batch
2.7 change in loading rate.
E- rde doc
ac d
C3.5 1.4 Quench Delay Time - Each batch Each load -----
2.12 Quench delay time shall be based on the time that the
load exits the furnace to the time the load is at the
bottom of the quench tank.
O is

Th
C4.1 1.4 Hardness or tensile testing (post aging). Each batch Every 4 hours Each batch or
2.15 every 4 hours
for continuous
furnaces
5.0 QUENCHANT AND SOLUTION TEST

FREQUENCIES
C5.1 2.12 Polymer Quench Media
3.14 - Concentration Daily Daily -----
- Suspended solids Every six months Every six months -----
- Quenchability Check; e.g., cooling Every six months Every six months -----
curve, viscosity, or titration.
C5.2 2.12 Water Quench Media
3.14 - Suspended solids Every six months Every six months -----
C5.3 2.11 Washers
- Concentration of cleaner Daily Daily Daily
- Temperature of solution (required if temperature is Each shift Each shift Each shift
57
CQI-9
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io
at
en
s y
ha ustr
or
PROCESS TABLE D - Induction Heat Treating
an Ind 1
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6
ro tom 3/2
on
d
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When
performing the job audit, the auditor shall verify heat treater is conforming to the customer's
at
tp u :
requirements.
n
:E

io
to
gl ri he at
Item # Related HTSA Category/Process Steps Per Coil

in py y t ir
te
ke , is ic 0 d
A
rd o b xp
Question #
ar up nt e L 25 se

co is ed E
rm ro e it 06 en
REQUIREMENTS
se
D1.1 --- Per customer requirement

y. gh
D1.2 2.16 All hardness test equipment (for each scale -----
d an ow en
used) shall be calibrated semi-annually

minimum, and verified daily minimum per
n
Ac is cum um en
the applicable ASTM standard.

c
Th Do r N um
D1.3 2.16 Files shall be verified daily (or prior to use) -----
with provers per SAE J864.
E- rde doc
ac d
D1.4 3.2 Refractometers (typically used to check -----

polymer quenchants and washer solutions)
shall be verified each shift (with distilled
O is
water) and calibrated annually (per

Th
manufacturer's requirements) at a
minimum.
58
CQI-9
n
io
at
en
s y
ha ustr
or
requirements.
an Ind 1
be
ed e 1
rp
ct otiv /20
Co
6
Question #
ro tom 3/2
on
d
2.0 PYROMETRY
at
D2.1 3.2 Infrared pyrometers shall be calibrated to a -----
tp u : n
:E
black body furnace annually.

io
3.0 PROCESS MONITORING FREQUENCIES
to
gl ri he at
All process parameters shall be checked the beginning of every shift, tool change, or any equipment
in py y t ir
te
ke , is ic 0 d
A
rd o b xp
repair. In absence of process parameter alarms, also check process parameters at end of shift or lot
ar up nt e L 25 se
(whichever is the greater frequency).

co is ed E
rm ro e it 06 en
se
D3.1 1.4 Quench Media Process Parameters

y. gh
2.12 - Temperature Alarm system for high and low

d an ow en
temperature is required.
n
Ac is cum um en
- Quench Level Daily

c
Th Do r N um
- Quench Pressure and Flow - Quench pressure and flow may

checked at manifold. Quench
E- rde doc
ac d
flow shall be checked visually at

each coil.
- In the absence of an alarm
O is
system, monitor every 2 hours or

Th
after any change.
D3.2 1.4 Monitor cycle time Check cycle time at start up and
2.14 after any process change.
D3.3 1.4 Monitor: - This requirement applies to each
2.14 1) Volts or Amps, and power supply (not per coil).
3.16 2) Kilowatts - In the absence of an alarm
Use of an energy monitor or signature system, monitor every 2 hours or
monitor satisfies 1) and 2). after any change.
59
CQI-9
n
io
requirements.
at
en
s y
ha ustr
or
an Ind 1
be
ed e 1
rp
ct otiv /20
Question #
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4.0 IN-PROCESS/FINAL TEST Production Setup or Coil Change -
6
FREQUENCIES Per Coil
ro tom 3/2
on
d
(1st Piece Inspection)
at
D4.4 1.4 Induction pattern length 1 part at start-up, end of
tp u :
2.15 production run, and every 4 hours
n
:E
io minimum, and 1 part pre and 1

to
gl ri he at
part post tool change, equipment
repair, station alarm (shutdown,
in py y t ir
te
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rd o b xp
malfunction, etc.)
ar up nt e L 25 se
co is ed E
rm ro e it 06 en
D4.5 1.4 Total or Effective Case depth 1 part at start-up, end of

se
y. gh
2.15 production run, and 1 part per 8

d an ow en
hours minimum, and 1 part pre

and 1 part post tool change,

equipment repair, station alarm
n
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(shutdown, malfunction, etc.)

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D4.6 1.4 Surface hardness 1 part at start-up, end of

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minimum, and 1 part pre and 1
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malfunction, etc.)
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D4.7 1.4 Core hardness (when specified) 1 part at start-up, end of

minimum, and 1 part pre and 1
malfunction, etc.)
D4.8 1.4 Microstructure 1 part at start-up, and 1 part pre
2.15 and 1 part post tool change,
equipment repair, station alarm
(shutdown, malfunction, etc.)
60
CQI-9
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at
en
s y
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or
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6
ro tom 3/2
on
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requirements.
at
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Item # Related HTSA

io Category/Process Steps Per Coil
to
gl ri he at
Question #
in py y t ir
5.0
te
QUENCHANT AND SOLUTION TEST
ke , is ic 0 d
A
rd o b xp
ar up nt e L 25 se
FREQUENCIES
Quench Media Controls If Applicable
co is ed E
rm ro e it 06 en
D5.1 2.12 Polymer Quench Media

se
3.14 - Concentration Once per day

y. gh
- Quenchability Check; e.g., cooling Monthly

d an ow en
curve, viscosity, or titration

D5.2 2.12 Water Quench Media
n
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3.14 - Suspended solids Quarterly

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D5.3 2.12 Brine or Caustic Quench Media

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3.14 - Concentration and/or Specific Monthly

Gravity
E- rde doc
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- Suspended solids Quarterly

D5.4 2.13 Rust Preventive - Soluble Oil
- Concentration 2x / week
O is
D5.5 2.11 Washers

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- Concentration of cleaner Daily

- Temperature of solution (required if Each shift
temperature is specified to be above
ambient temperature).
61
CQI-9
PROCESS TABLE E - Annealing / Normalizing / Stress-Relieving
n
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1.0 PROCESS AND TEST EQUIPMENT REQUIREMENTS
at
tp u : n
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E1.1 3.1 All furnaces, generators and quench systems (where

io Yes Yes Yes
3.7 applicable) shall have temperature indicating
to
instruments.
gl ri he at
E1.2 3.1 Continuous strip charts and/or data loggers are required Yes Yes Yes
in py y t ir
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ke , is ic 0 d
A
3.7 for temperature and carbon monitoring unit, e.g., dew
rd o b xp
ar up nt e L 25 se
point, oxygen probe, IR gas analyzer, etc.

co is ed E
rm ro e it 06 en
E1.3 3.2 Furnace weigh scales shall be verified quarterly and Yes Yes -----
se

y. gh
E1.4 3.2 Dew pointers, 3-gas analyzers, spectrometers, and ----- ----- -----
d an ow en
carbon IR combustion analyzers (shim stock analysis),

used to verify carbon potential in furnaces, shall be

calibrated annually at a minimum. This is applicable
n
Ac is cum um en
when used in controlling carbon-bearing atmospheres.

c
Th Do r N um
E1.5 3.2 Verification of calibration of spectrometers, and carbon ----- ----- -----
IR combustion analyzers, shall be checked daily or prior
E- rde doc
ac d
to use. This is applicable when used in controlling

carbon-bearing atmospheres.
O is
E1.6 3.2 Verification of calibration of 3-gas analyzers with zero ----- ----- -----
Th
gas and span gas shall be performed weekly at a

minimum. This is applicable when used in controlling
E1.7 3.2 Oxygen probe controllers shall be calibrated quarterly at Yes Yes Yes
a minimum. This is applicable when used in controlling
E1.8 2.16 All hardness test equipment (for each scale used) shall ----- ----- -----
be calibrated semi-annually minimum, and verified daily
minimum per the applicable ASTM standard.
62
CQI-9
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at
en
s y
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or
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6
ro tom 3/2
2.0 PYROMETRY
on
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E2.1 3.2 Thermocouples and calibration of thermocouples shall Yes Yes Yes
at
3.3 conform to AMS 2750D.
tp u : n
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E2.2 3.2 Instrument Calibration per AMS 2750D shall be quarterly

io Yes Yes Yes
3.3 at a minimum.
to
gl ri he at
in py y t ir
te
ke , is ic 0 d
A
rd o b xp
ar up nt e L 25 se
E2.3 3.2 CQI-9 requires a comparative check of the control Yes Yes Yes
3.3 temperature sensor (CTS) in the Qualified Work Zone to
co is ed E
rm ro e it 06 en
a (1) calibrated test temperature sensor (CTTS) or, (2)

se
resident thermocouple (R-T/C).

y. gh
d an ow en
(1) The CTS shall be +/- 5C (or +/- 10F) of a CTTS at the
operating temperature range; this checked shall be

performed monthly.
n
Ac is cum um en
(2) The relationship between the CTS and R-T/C at the

c
Th Do r N um
operating temperature range shall be within +/- 1C (or +/-

2F) of their relationship determined at the time of the
most recent temperature uniformity survey; this checked
E- rde doc
ac d
shall be performed weekly.
Any actions to correct a failing reading or validate a test

O is
result shall be documented.

Th

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

for equipment operating at or above 760C (1400F) and
changed bi-annually every two years at a minimum.

63
CQI-9
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at
en
s y
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or
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be
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6
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on
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at
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----- indicate "not applicable". io

to
gl ri he at
in py y t ir
te
ke , is ic 0 d
A
E2.4 3.4 Temperature Uniformity Survey (TUS): refer to AMS Yes Yes - In Qualified Work -----
rd o b xp
ar up nt e L 25 se
2750D for procedures. TUS frequency shall be annual Zone

and after major rebuild.
co is ed E
rm ro e it 06 en
Temperature uniformity tolerance for hardening furnaces

se
y. gh
shall be +/- 14 C (or +/- 25 F). Temperature uniformity

tolerance for tempering furnaces shall be +/- 11 C (or +/-
d an ow en
20 F).

n
Ac is cum um en
tested per AMS 2750D. Exception: If the operating range

c
of the Qualified Work Zone is equal to or less than 85 C

Th Do r N um
(153 F) then only one temperature is required to be

tested. The temperature shall be within the operating
E- rde doc
ac d
range of the Qualified Work Zone.

O is
Th
E2.5 3.5 Recorded temperature(s) shall be controlled within +/- Yes Yes - In Qualified Work -----
9C (or +/- 15F) of the set point as evidenced by Zone
continuous recording pyrometers. Furnace temperature
shall be controlled with soak times starting at the lower
tolerance limit (as defined above).
64
CQI-9
n
io
at
en
s y
ha ustr
or
an Ind 1
be
ed e 1
rp
ct otiv /20
Co
E3.1 1.4 Monitor primary temperature control instrument(s). Each batch or Each lot or continuous Each Shift
2.14 continuous recording recording with sign-off
6
ro tom 3/2
on hours. Alarm systems systems satisfy the sign-
d
satisfy the sign-off off requirement.
at
requirement.
tp u : n
:E
E3.2 1.4 Monitor generator atmospheres

io ----- ----- Continuous
2.14
to
gl ri he at
3.7
in py y t ir
te
E3.3 1.4 Monitor primary furnace atmosphere control(s)**.
ke , is ic 0 d
Continuous recording Continuous recording -----

A
rd o b xp
2.14 with sign-off every 2 with sign-off every 2

ar up nt e L 25 se
3.7 hours. Alarm systems hours. Alarm systems

co is ed E
rm ro e it 06 en
satisfy the sign-off satisfy the sign-off

requirement. requirement.
se
y. gh
d an ow en
E3.4 1.4 Verify primary atmosphere control method by back-up Daily Daily Daily
2.14 method**.
3.7
n
E3.5 1.4 For salt baths: check salt chemistry (soluble oxides) in Daily Daily -----
Ac is cum um en
2.14 salt baths or decarburization on the parts.

c
3.13
Th Do r N um
E3.6 1.4 Monitor time in furnace, cycle time or belt speed. Each batch Twice/shift & after any -----
2.14 change in the belt speed.
E- rde doc
ac d
E3.7 1.4 Monitor load size or fixturing or loading rate as Each batch Twice/shift & after any -----
2.7 applicable. change in loading rate.
O is
Th
E4.1 1.4 Microstructure (when specified) Daily per furnace Daily per furnace -----
2.15
E4.2 1.4 Surface hardness (when specified) Each batch Every 2 hours minimum -----
2.15
E4.3 1.4 Core hardness (when specified) Each batch Every 4 hours -----
2.15
5.0 SOLUTION TEST FREQUENCIES
E5.1 2.13 Rust Preventive - Soluble Oil
- Concentration 2x / week 2x / week -----
E5.2 2.11 Washers
- Concentration of cleaner Daily Daily -----
- Temperature of solution (required if temperature is Each shift Each shift -----

65
CQI-9
GLOSSARY
See also SAE J415 for additional definitions of heat treating terms
AIAG: Automotive Industry Action Group
AMS: Aerospace Material Specifications
ASTM: American Society for Testing and Materials
CTS: Control Temperature Sensor
n
io
CTTS: Calibrated Test Temperature Sensor
at
en
s y
ha ustr
or
Capability: The total range of inherent variation in a stable process.
an Ind 1
be
ed e 1
rp
Control Plans: Written descriptions of the system for controlling processes for production of parts or
ct otiv /20
Co
bulk materials. Control Plans are written by organizations to address the important characteristics and
6
engineering requirements of the product. Each part must have a Control Plan, but in many cases,
ro tom 3/2
on
“family” Control Plans can apply to a number of parts produced using a common process.
d
at
Critical Spare Parts List: A list of service parts critical for the operation of equipment. Extended delay
tp u : n
:E
in obtaining spare parts would result in unacceptable delays in the heat treat operation.
io
to
gl ri he at
Cross-Functional Team: A team of employees that represent the different functions within an
in py y t ir
te
organization. The team will typically consist of an operator, line supervision, process engineer,
ke , is ic 0 d
A
rd o b xp
ar up nt e L 25 se
metallurgist, and quality personnel.

co is ed E
rm ro e it 06 en
Customer: The recipient of the organization's or supplier’s product or service.

se
y. gh
Customer Requirements: This term refers to the requirements or specifications from the original
d an ow en
equipment manufacturer (typically the automobile company). These may be identified in the contract or
purchase order, in engineering standards, part specifications, etc.

n
Ac is cum um en
Dew Pointer: A meter especially suited for measuring the dew point of carbon-bearing atmospheres.
c
Th Do r N um
Dew point is used to indirectly determine the carbon potential of the atmosphere.
E- rde doc
Energy Monitor: An electronic monitor that measures and displays the actual energy delivered to the
ac d
induction heating coil.

O is
Furnace Monitoring Systems: A system that monitors the operation of the furnace.
Th
Heat Treater: An organization that performs heat treating (see 1.2 Application) to production and/or
service parts. The heat treating may be internal or “captive” to a manufacturing organization, or a
separate commercial heat treating supplier.
HTSA: Heat Treat System Assessment
IR: Infrared
Nonconforming Product: Product that does not conform to the customer requirements.
Oxidizing Burn-Out: A process to remove any residual ammonia from the furnace. The process usually
involves removing most of the carbon-bearing protective atmosphere and then introducing oxygen.
Oxygen Probe: An in-situ measuring probe that determines the partial pressure of oxygen in carbon-
bearing atmospheres. This measurement provides an indirect measurement for the carbon potential of the
atmosphere.
66
CQI-9
Process Tables: Tables in the HTSA that list the required process controls for the heat treat processes
covered. These tables contain minimum requirements.
Qualified Work Zone: The defined portion of a furnace volume where temperature variation conforms to
the required uniformity tolerance.
Quenchability Check: A measure of the cooling dynamics of the quench media. A quenchometer is the
inspection machine that displays the cooling curve of the quench media.
Quench Delay: The time delay between the end of the heat treat cycle and the start of the quench
operation. For furnace heat treating, this is period from the time the parts exit the furnace qualified work
n
zone to the time the parts are at the bottom of the quench tank. For induction hardening systems, this is
io
the time from the end of the heat cycle to the start of the quench flow (or when the parts enter a quench
at
en
s y
tank).
ha ustr
or
an Ind 1
be
Quenching Medium: The medium used to quench parts after heat treating, e.g., oil, water, polymer, and
ed e 1
rp
ct otiv /20
salt.
Co
R-T/C: Resident Thermocouple used for comparative check of the control temperature sensor (CTS).
6
ro tom 3/2
on
d
Recipe: This term is typically used when a computer-based system sets and controls the process
at
parameters, e.g., temperature, cycle time, carbon potential. The ‘recipe’ refers to the settings of the
tp u : n
:E
process parameters. io
to
gl ri he at
Reprocessing: Any process that is performed on nonconforming product so that it will meet the specified
in py y t ir
requirements.
te
ke , is ic 0 d
A
rd o b xp
ar up nt e L 25 se
Responsibility Matrix: A responsibility matrix defines the designated personnel for all key functions.
co is ed E
rm ro e it 06 en
This matrix includes the primary and secondary designees.

se
y. gh
SAE International: Society of Automotive Engineers International

d an ow en
Shop Traveler: A document usually created in the receiving department for each batch or lot of parts
received. The document defines the process routing of the parts.
n
Ac is cum um en
Signature Monitor: An electronic monitor used to monitor induction heat treating systems. The monitor
Th Do r N um
plots the energy unit, e.g., voltage or kilowatt, vs. time or distance.
E- rde doc
ac d
Special Characteristics: are product characteristics or manufacturing process parameters which can
affect safety or compliance with regulations, fit, function, performance or subsequent processing of
O is
product. Refer to customer-specific requirements.

Th
Temperature Uniformity Survey: The measurement of the uniformity of temperature within the
qualified work zone of a furnace. Description of the method to be used is in AMS 2750D.
Temper Delay: The time delay from when the parts exit the quench tank to the time when the parts are
placed in the tempering furnace.
3 (Three) Gas Analyzer: An instrument that measures carbon monoxide, carbon dioxide, and methane in
carbon-bearing atmospheres. This measurement provides an indirect measurement of the carbon potential
of the atmosphere.
67
CQI-9
Three-Valve Fail-Safe Vent (for ammonia lines): An arrangement of three valves that prevents ammonia
from inadvertently entering the furnace during carburizing or neutral hardening operations. The valves
are arranged in such a way that, when the ammonia line to the furnace is shut off, any ammonia that might
leak past the valve is vented to the atmosphere and thus prevented from entering the furnace. See the
diagrams below.
Vent Vent
Valve 3 Valve 3
Furnace
Close Open
Furnace
n
io
at
en
s y
ha ustr
or
an Ind 1
be
ed e 1
rp
ct otiv /20
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Valve 1 Valve 2 Valve 1 Valve 2
6
ro tom 3/2
Open Open
on Close Close
d
at
tp u : n
:E
io
to
gl ri he at
in py y t ir
te
Figure 1 – Valves 1 and 2 are
ke , is ic 0 d
A
Figure 2 – Valves 1 and 2 are closed
rd o b xp
ar up nt e L 25 se
opened to allow ammonia flow to prevent ammonia flow to furnace.

co is ed E
into the furnace. If Valve 2 inadvertently leaks,

rm ro e it 06 en
se
ammonia is vented (Valve 3) to the

y. gh
atmosphere.
d an ow en
n
Ac is cum um en
Trap Points: Areas in containers (baskets, fixtures, shipping boxes, etc.) or equipment that may
c
Th Do r N um
inadvertently trap parts, allowing the potential for parts to be mixed between batches.
E- rde doc
ac d
Work Instructions: Instructions that describe work conducted in one function in a company, e.g., setup,
inspection, heat treat operation, process parameter tolerances, etc. The term “work instructions” is
synonymous with the term “job instructions.”
O is
Th
68
CQI-9
MAINTENANCE REQUEST FORM

Name of Submitter: Date:
Company:
Company Address:
Phone: Fax: E-mail:
n
io
MAINTENANCE REQUEST
at
en
s y
Page Number of Change:
ha ustr
or
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be
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Document Currently Reads:
ct otiv /20
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ro tom 3/2
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at
Recommended Changes/Should Read:
tp u : n
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io
to
gl ri he at
in py y t ir
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ke , is ic 0 d
A
Reason for Change (Use additional sheets if necessary):
rd o b xp
ar up nt e L 25 se
co is ed E
rm ro e it 06 en
se
y. gh
d an ow en
Signature of Submitter:
n
Ac is cum um en
DISPOSITION (AIAG USE ONLY)

c
Th Do r N um
Manager’s Recommendation:
E- rde doc
ac d
O is
Final Disposition:
Th
Comments:
Note: Complete form and return to the AIAG Publication Specialist for consideration.
Automotive Industry Action Group • 26200 Lahser Road • Suite 200 • Southfield, MI 48034
Telephone: (248) 358-3570 • Fax: (248) 358-3253
Web: www.aiag.org
69

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CQI-9

Special Process: Heat Treat System Assessment

transportation/customs and truck & heavy equipment.

purchasing, or using products, processes, or procedures not conforming to the publication.

Automotive Industry Action Group

Phone: (248) 358-3570 • Fax: (248) 358-3253

AIAG COPYRIGHT AND TRADEMARK NOTICE:

© 2007 Automotive Industry Action Group

Dave Calkins – DaimlerChrysler Corp.

Leonard Gadzinski – Acument Global Technologies North America

Tim Green – BSI Americas, Inc.

Dave Hernacki – Commercial Steel Treating, Corp.

Dean Higdon – Acument Global Technologies North America

Jeff Martin – ZF Friedrichshafen, AG

Mike Wiezbowski – DaimlerChrysler Corp..

APPENDIX A – PROCESS TABLES.................................................................................................................... 42

APPENDIX B – GLOSSARY ................................................................................................................................. 66

Heat Treat System Assessment Goals

production and service part organizations.

Process Table A – Ferrous

• Carbon Restoration or Correction

• Neutral Hardening (Quench and Temper)

Precipitation Hardening – Aging

Process Table B – Ferrous

These Process Tables contain requirements for:

Standard Number Title Standard’s Organization

AMS 2750D Pyrometry SAE Aerospace

SAE J864 Surface Hardness Testing With SAE International

2 THE HEAT TREAT SYSTEM ASSESSMENT PROCEDURE

verification, shall be maintained.

3 SPECIAL PROCESS: HEAT TREAT ASSESSMENT

Instructions for completing the Cover Sheet

to avoid confusion with different numeric formats.

Example: May 3 – 4, 2006

the Heat Treat System Assessment.

Special Process: Heat Treat System Assessment

Phone Number: Type(s) of Thermal Processing at this Facility:

Aluminum Heat Treatment

Current Quality Certification(s):

Date of Re-assessment (if necessary):

Number of "Not Satisfactory" Findings:

Number of "Needs Immediate Action" Findings:

Number of "Fail" Findings in the Job Audit(s):

Instructions for completing Sections 1 – 3

evidence is in compliance to the question, the assessor shall note the

evidence in the “Objective Evidence” column and place a check mark in

the “Satisfactory” column. If the observed evidence is not in compliance

“Objective Evidence” column and place a check mark in the “Not

NOTE 4: Where nonconforming product is identified in the assessment of a given

General Notes for AMS 2750D

3.2.5.3.1 io One point sensor input is acceptable.

− SAT shall be performed by one of the two methods listed below.

(CTS) to a calibrated test temperature sensor (CTTS) or (2) resident thermocouple

(R-T/C), per AMS 2750D.

temperature range; this check shall be performed monthly. The procedure

shall follow AMS 2750D Section 3.4.

required with this method.

− Section 3.5.5 – Initial TUS

− Section 3.5.11 – Furnace Atmosphere During TUS