Example CQI 9 3rd Ed May 2014 5th

CQI-9
Special Process: Heat Treat System Assessment

Version 3, Issue 10/2011
Facility Name: Hudapack Metal Treating

Address: 979 koopman lane Elkhorn, WI. 53121-2023
Phone Number: 262-723-3345 Type(s) of Thermal Processing at this Facility:

Fax Number: 262-723-5846 Process Table A - Ferrous
Carburizing Yes
Number of Heat Treat Employees at this Facility: 65 Carbonitriding Yes
Carbon Restoration Yes
Internal (Captive) Heat Treater (Y/N): N Neutral Hardening Yes
(Quench and Temper)
Commercial Heat Treater (Y/N): Y Austempering / Martempering NO
Tempering Yes
Date of Assessment: 1-May-2014 Precipitation Hardening / Aging Yes
Date of Previous Assessment: 1-May-2013

Process Table B - Ferrous
Nitriding (Gas) NO
Ferritic-Nitrocarburizing (Gas or NO
Salt)
Process Table C - Aluminum

Aluminum Heat Treatment NO
Process Table D - Ferrous

Induction Heat Treating Yes
Process Table E
Annealing Yes
Normalizing Yes
Stress-Relieving Yes
Process Table F
Low Pressure Carburizing No
Process Table G
Sinter Hardening No
Process Table H
Ion Nitriding No
Current Quality Certification(s): ISO 9001 2008
Date of Re-assessment (if necessary): 3/16/2016
Personnel Contacted:
Name: Title: Phone: Email:
Brian Taggart Plant Manager 262-723-3345 [email protected]
Mark Joitke Metallurgist 262-723-3345 [email protected]
Auditors/Assessors:
Name: Company: Phone: Email:
Mark Joitke Metallurgist 262-723-3345 [email protected]
Ken New Quality Technician 262-723-3345 [email protected]
Number of "Not Satisfactory" Findings:
0
Number of "Needs Immediate Action" Findings:

0
Number of "Fail" Findings in the Job Audit(s):

0
CQI-9
Assessment
Question Not Needs Immediate

Question Requirements and Guidance Objective Evidence N/A Satisfactory
Number Satisfactory Action
Section 1 - Management Responsibility & Quality Planning
To ensure readily available expertise, there shall

be a dedicated and qualified heat treat person on
site. This individual shall be a full-time employee
and the position shall be reflected in the
Is there a dedicated and organization chart. A job description shall exist Mark Joitke, Metallurgist with more than 5
1.1 qualified heat treat person on- identifying the qualifications for the position years experience. A job description exists X
site? including metallurgical and heat treat knowledge. with the requirements.
The qualifications shall include a minimum of 5
years experience in heat treat operations or a
combination of a minimum of 5 years of formal
metallurgical education and heat treat experience.
The organization shall incorporate a documented

advance quality planning procedure. A feasibility
study shall be performed and internally approved
for each part. Similar parts can be grouped into Feasibility review. APQP in place .
part families for this effort as defined by the Reviewed PPAP plan, PFMEA, test results
Does the heat treater perform organization. After the part approval process is etc. Customers are contacted for part info
1.2 X
advanced quality planning? approved by the customer, no process changes when it does not accompany parts. Prior to
are allowed unless approved by the customer. The receiving info, parts are put in the hold
heat treater shall contact the customer when area.
clarification of process changes is required. This
clarification of process changes shall be
documented.
The organization shall incorporate the use of a

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
PFMEAs are for process unless otherwise
family or they may be process-specific and written
Are heat treat FMEA's up to directed. <S>.<O> & <D> are realistic.
for each process. In any case, they shall address
1.3 date and reflecting current Highest RPN is addressed. Cross X
all process steps from part receipt to part shipment
processing? functional team. From Receiving to
and all key heat treat process parameters as
shipping. FEMA's are reviewed annually.
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.
2
CQI-9
Assessment

The organization shall incorporate the use of a

documented Control Plan procedure and ensure
the Control Plans are updated to reflect current
controls.
The Control Plans shall be written for each part or
part family or they may be process-specific and
written for each process. In any case, they shall
address all process steps from part receipt to part
shipment and identify all equipment used and all
key heat treat process parameters as defined by
Control plans are part or process specific
the organization.
Are heat treat process control depending on what the customer requires.
A cross-functional team, including a production
1.4 plans up to date and reflecting Cplan is from Receiving to shipment. X
operator, shall be used in the development of
current processing? Includes process parameters. Samples
Control Plans, which shall be consistent with all
size & frequencies are addressed.
associated documentation such as work
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.
Sample sizes and frequencies for evaluation of
process and product characteristics shall also be
addressed consistent with the minimum
requirements listed in the Process Tables,
Sections 3.0 and 4.0.
3
CQI-9
Assessment

To ensure all customer requirements are both

understood and satisfied, the organization shall
have all related heat treat and customer
referenced standards and specifications available
for use and a method to ensure that they are
current. Such standards and specifications include,
but are not limited to, those relevant documents
published by SAE, AIAG, ASTM, ISO, EN, JIS,
Are all heat treat related and General Motors, Ford, and Chrysler. The
referenced specifications organization shall have a process to ensure the Specifications are purchased from SAE
current and available? For timely review, distribution, and implementation of on-line. Customer Standards not on-line
example: Industry and all customer and industry engineering standards / are received from their suppliers. A list of
1.5 customer specific specifications and changes based on customer- documents and reviews are available. X
specifications such as SAE, required schedule. Timely review should be as Check of revisions is done annually and
AIAG, ASTM, ISO, EN, JIS, soon as possible and shall not exceed two working when a new part comes in. Check is
General Motors, Ford, and weeks. The organization shall document this documented.
Chrysler. process of review and implementation, and it shall
address how customer and industry documents are
obtained, how they are maintained within the
organization, how the current status is established,
and how the relevant information is cascaded to
the shop floor within the two-week period. The
organization shall identify who is responsible for
performing these
tasks.
The heat treater shall have written process

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 Supplier has batch furnaces. Operation
1.6 specification for all active parameters shall not only be defined, they shall parameters are part of route card. X
processes? have operating tolerances as defined by the Tolerance is posted at each machine.
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.
4
CQI-9
Assessment

To demonstrate each process is capable of

yielding acceptable product the organization shall
perform process capability studies for the initial
validation of each process, after relocation of any
process equipment, & after a major rebuild of any
equipment. The organization shall define what
constitutes a major rebuild. Initial process
capability studies shall be conducted for all heat
treat processes per furnace line defined in scope
of work & in accordance with customer Uniformity studies are done annually or
Has a valid process capability
requirements. A furnace line may include a after a major rebuild . Capabilities studies
study been performed initially
combination of equipment that is integrated in the are completed with uniformity studies.
1.7 and after process equipment X
performance of a heat treatment process, e.g., Product capabilities studies are completed
has been relocated, or had a
hardening, quenching, and tempering. Capability on all furnaces that are moved or had a
major rebuild?
study techniques shall be appropriate for the heat major rebuild.
treat product characteristics, e.g., tensile strength,
case depth, hardness. Any specific customer
requirements shall be met. In the absence of
customer requirements, the organization shall
establish acceptable ranges for measures of
capability. An action plan shall exist to address the
steps to followed in case capability indices fall
outside customer requirements or established
ranges.
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 Data is analyzed using trending, pre-
and analyze data over time,
1.8 data over time. control, analysis of historical data during X
and react to this data?
Methods of analysis shall include ongoing trend or MRB meetings.
historical data analysis of product or process
parameters. The organization shall determine
which parameters to include in such analysis.
5
CQI-9
Assessment

Management shall review the furnace monitoring

systems at intervals not to exceed 24 hours. The
heat treat monitoring system includes but is not
limited to temperature strip charts, atmosphere
Is management reviewing the Yes management is reviewing data every
strip charts, computer data logs, furnace and
heat treat monitoring system 24 hours. Data recorders are reviewed.
1.9 operator logs, etc. X
every 24 hours? Process is documented on each machine's
The management review shall include efforts to
log.
detect out-of-control conditions or alarm conditions.
The process of reviewing the furnace data shall be
documented and this requirement also applies to
computerized data.
Are internal assessments

The organization shall conduct internal
being completed on an annual
1.10 assessments on an annual basis, at a minimum, CQI-9 self assessment X
basis, at a minimum, using
using the AIAG HTSA.
AIAG HTSA?
The OEM shall be notified when parts are

reprocessed in the heat treat operation. It is
preferred that the notification be on a case-by-case
basis. However, it is understood that some
reprocessing (such as but not limited to re-
tempering operations) may be pre-approved during
the APQP or PPAP phase. To be pre-approved for
reprocessing, the heat treater shall meet the
following requirements:
• The heat treater shall submit for approval by the
OEM customer the reprocessing procedure and
this procedure shall be referenced in the heat There is a documented process for
treater’s FMEA and process control plan reprocessing material. Customer is notified
• The procedure shall describe product before reprocessing on a case by case
Is the OEM customer notified
1.11 basis using HMT 512. A new process X
when parts are reprocessed? characteristics for which reprocessing is
permissible as well as those characteristics for sheet is issued for any reprocessing.
which reprocessing is not permissible. Quality Mgr or designee authorizes the
• Any reprocessing activity shall require a new release of reprocessed product .
processing control sheet issued by qualified
technical personnel denoting the necessary heat
treat process modifications.
• Records shall clearly indicate when and how any
material has been reprocessed.
• The Quality Manager or a designee shall
authorize the release or reprocessed product.
6
CQI-9
Assessment

The quality management system shall include a

Does the Quality Department
process for documenting, reviewing, and Quality Manager reviews and addresses
review, address, and
1.12 addressing customer concerns and any other quality concerns. Using 8-D format or X
document customer and
concerns internal to the organization. A disciplined other customer directed form.
internal concerns?
problem-solving approach shall be used.
The heat treater shall define a process for

continual improvement for each heat treat process
Is there a continual identified in the scope of the HTSA. The process
improvement plan applicable shall be designed to bring about continual Items detailed within Mgt review meeting
1.13 X
to each process defined in the improvement in quality and productivity. Identified minutes
scope of the assessment? actions shall be prioritized and shall include timing
(estimated completion dates). The organization
shall show evidence of program effectiveness.
Does the Quality Manager or

The Quality Manager is responsible for authorizing Yes the quality manager or designee
designee authorize the
1.14 and documenting appropriate personnel to authorizes disposition of product in hold X
disposition of material from
disposition quarantine material. area.
quarantine status?
There shall be procedures or work instructions

available to heat treat personnel covering the heat
treating process. These procedures or work
Are there procedures or work
instructions shall include methods of addressing Yes there are work instruction and
instructions available to the
potential emergencies (such as power failure), procedures manuals available including an
1.15 heat treat personnel that X
equipment start-up, equipment shut-down, product emergency start up & shut down
define the heat treating
segregation (See 2.8), product inspection, and procedure.
process?
general operating procedures. These procedures
or work instructions shall be accessible to shop
floor personnel.
The organization shall provide employee training

for all heat treating operations. All employees,
including backup and temporary employees, shall
Training files reviewed included forklift
be trained. Documented evidence shall be
Is management providing training, emptying tubs etc, looking for
maintained showing the employees trained and the
1.16 employee training for heat foreign material, racking parts ( batch X
evidence shall include an assessment of the
treating? oper) corrective actions, ISO9001 2008
effectiveness of the training. Management shall
etc. furnace operation and part inspection.
define the qualification requirements for each
function, and ongoing or follow-up training shall
also be addressed.
7
CQI-9
Assessment

The organization shall maintain a responsibility

matrix identifying all key management and
Is there a responsibility matrix
supervisory functions and the qualified personnel
to ensure that all key
who may perform such functions. It shall identify Responsibility is defined in procedures and
1.17 management and supervisory X
both primary and secondary (backup) personnel for responsibility matrix is available.
functions are performed by
the key functions (as defined by the organization).
qualified personnel?
This matrix shall be readily available to
management at all times.
The organization shall have a documented

preventive maintenance program for all heat treat
process equipment. The program shall be a
closed-loop process that tracks maintenance
efforts from request to completion to assessment
of effectiveness. Equipment operators shall have
Is there a preventive PM is documented as part of ISO9001
the opportunity to report problems, and problems
maintenance program for all manual. PMs are daily, monthly &
shall also be handled in a closed-loop manner.
heat treat equipment? Is quarterly. Recurring maintenance issues,
1.18 maintenance data being operator notification of issues etc are used X
Company data, e.g., downtime, quality rejects,
utilized to form a predictive to improve the prevent maintenance
first-time-through capability, recurring maintenance
maintenance program? program. There is a preventative
work orders, and operator-reported problems, shall
maintenance program in place.
be used to improve the preventive maintenance
program.
Maintenance data shall be collected and analyzed

as part of a predictive maintenance program.
8
CQI-9
Assessment

Has the Heat Treater

The heat treater shall develop and maintain a Critical spare parts list exists. Includes
developed a critical spare part
critical spare parts list and shall ensure the items that take more than 24 hours to
1.19 list and are the parts available X
availability of such parts to minimize production receive. Items included are belts, motors
to minimize production
disruptions. etc.
disruptions?
May add guidance that
pass/fail needs to be stated.
Is material from different steel Different steel mill heats or metals which require
Yes orders received containing more than
mill heats or metals which may different heat treat parameters, such as but not
one heat code are clearly identified as
preclude achieving the limited to, austentizing, quenching, or tempering
1.20 such throughout the heat treating x
specified metallurgical times and/or temperatures shall be processed
processes. Parts are returned as received
properties prevented from separately in order to achieve specified
with heat code integrity maintained.
being processed together? metallurgical properties.
9
CQI-9
Assessment

Section 2 - Floor and Material Handling Responsibility

It is critical that all customer requirements and lot
identification be adequately transferred to internal
heat treat documents. The facility shall ensure that
the data entered in the receiving system match the
information on the customer's shipping documents.
Documented processes and evidence of
When orders are entered two people verify
Does the facility ensure that compliance shall exist, e.g., shop travelers, work
that the data entered is the same as the
the data entered in the orders, etc. Sometimes the material received does
order. Issues where the order information
2.1 receiving system matches the not precisely correspond to customer shipping X
does not match shipping information parts
information on the customer's documents. The facility shall have a detailed
are put on hold until the discrepancies are
shipping documents? process in place to resolve receiving
taken care of.
discrepancies.
The requirements stated above also apply to
captive heat treat departments. This process
refers to receiving and shipping the parts in and
out of the heat treat department.
Procedures for part and container identification

help to avoid incorrect processing or mixing of lots.
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. Staging areas are identified though out the
2.2 and staged throughout the Customer product shall be clearly identified and shop. Product is identified with route card X
heat treat process? staged throughout the heat treat process. Non- that includes a picture of the part.
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 Customer's lot number or SO# are on the
2.3 maintained throughout all linking all pertinent information to them enhances route card as part of the traceability. Lot X
processes? the ability to do root cause analysis and continual and SO# are use to link all data to that lot.
improvement.
The control of suspect or non-conforming product

When suspect product is found it is moved
is necessary to prevent inadvertent shipment or
to the hold area. Product stays in that area
contamination of other lots. Procedures shall be
until final depositions have been
Are procedures adequate to adequate to prevent movement of non-conforming
determined. If reprocessing the parts is
prevent movement of non- product into the production system. Procedures
2.4 the option parts will be reprocessed, X
conforming product into the shall exist addressing proper disposition, product
inspected and if the part passes the
production system? identification, and tracking of material flow in and
shipping section is finally filled out. Parts
out of the hold area. A non-conforming hold area
cannot ship without inspection being
shall be clearly designated to maintain segregation
completed and signed out.
of such material.
10
CQI-9
Assessment

Heat-treating furnaces and other processing

equipment contain areas that have a risk of
trapping or holding parts. Such trapping of parts
Is there a system to identify
can lead to damage, improperly processed parts or
trap points in the entire heat Yes a system exist. (Batch furnace) Tubs
lot mixing/contamination. A system shall exist to
treat process to reduce risk of are inspected for foreign material and then
identify trap points in the entire heat treat process
2.5 mixed parts (inappropriate, are turned over. Rack baskets are X
to reduce risk of mixed parts (inappropriate, non-
non-heat treated, or inspected for foreign material and then
heat treated, or improperly heat treated parts).
improperly heat treated turned over
The heat treater shall have documented
parts)?
procedures to identify and monitor trap points for
each process/equipment. Monitoring of potential
trap points shall occur for every part changeover.
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 After emptying tubs are inspected for
2.6 material have been removed. The source of X
inappropriate material? foreign 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.
Furnace loading parameters shall be specified,

documented, and controlled. Examples include
Is furnace loading specified, Fixturing and load instructions are on all
2.7 feed rate, belt speed, number of parts per fixture, X
documented and controlled? work orders. Load rate documented.
and load weight. Refer to Process Tables, Section
3.0, for frequency of checks.
Unplanned or emergency downtime greatly raises

the risk of improper processing. Operators shall be
trained in material handling, containment action,
and product segregation in the event of an
Are operators trained in
equipment emergency including power failure.
material handling, containment
Training shall be documented. Work instructions Employees are trained for equipment
action and product
2.8 specifically addressing potential types of emergencies for shut down and start up, X
segregation in the event of an
equipment emergencies and failures shall be including product containment.
equipment emergency
accessible to and understood by equipment
including power failure?
operators. These instructions shall address
containment actions related to all elements of the
heat-treating process, e.g., loading, austentizing,
quenching, tempering.
11
CQI-9
Assessment

Handling, storage, and packaging shall be

adequate to preserve product quality. The heat
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. Batch loading and staging is in separate
2.9 packaging adequate to X
Some equipment includes conveyors and other locations
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.
Plant cleanliness, housekeeping, environmental,

and working conditions shall be conducive to
controlling and improving quality. The heat treater There are no parts on the floor or around
Are plant cleanliness,
should evaluate such conditions and their effect on the machines. Floor is scrubbed daily so
housekeeping, environmental
quality. A housekeeping policy shall be clearly there is little oil around furnaces. Area
2.10 and working conditions X
defined and executed. The facility shall be around furnace is clean. All furnaces have
conducive to control and
reviewed for conditions that are detrimental to been painted and walls cleaned. No
improved quality?
quality processing such as loose parts on floor, oil smoke.
around quench tanks, inadequate plant lighting,
smoke, etc.
Many heat-treated parts are subjected to surface

finish or appearance operations such as plating or
coating after heat treatment. Parts shall be free
from contaminants that are detrimental to
subsequent processes or the product. Pre-wash (if
applicable) and post-wash parameters shall be
monitored and documented. Oils and other
Pre-wash is done using water with a small
contaminants or residues can be difficult to remove
Are parts free from amount of soap added manually.
once subjected to the heat treatment process.
contaminants that would be Concentration is checked twice each week
2.11 Review the chemical supplier’s recommendation X
detrimental to the heat and recorded on a pre-control chart.
for cleaning the system. Parts shall be free of rust,
treatment of the product? Washer temperature is checked on each
burrs, chips, detrimental amounts of drawing
cycle.
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.
12
CQI-9
Assessment

The quenching system shall be monitored,

documented, and controlled. The temperature,
agitation, level, concentration (if applicable), time in
the quenchant, and additions shall be controlled to Quench system is controlled with
the heat treater's specifications. Refer to Process computer monitoring equipment.
Tables, Sections 3.0 and 5.0, for frequency of Operators manually control the quenching
Is the quenching system checks. Computer-monitoring equipment, with process who are trained to notify
2.12 monitored, documented, and alarms and alarm logs, satisfy the verification management if any delay occurs. All X
controlled? requirement. Quench delay tolerance and alarm is tolerances are documented with a work
required for furnaces with integral quench tanks. instruction. White stripes painte on belts
for easy detection. Temper delay is
Temper delay time shall be specified by the heat established within the work instructions.
treater for parts that are quenched and tempered,
e.g., carburizing, carbonitriding, neutral hardening,
solution treating and aging.
Parts are often dipped in or sprayed with rust

preventive solutions immediately after the heat
treating process. Soluble oil solutions or other rust
Is soluble oil or other rust
preventive solutions shall be monitored and
2.13 preventive monitored and N/A
controlled, if applicable. The heat treater shall
controlled if applicable?
have and maintain documented tolerances for the
solutions. Refer to Process Tables, Section 5.0,
for frequency of checks.
Process control parameters shall be monitored per

Primary furnace temperature controls and
frequencies specified in Process Tables. Refer to
atmosphere controls are continuously
Are process control Process Tables, Section 3.0. Computer monitoring
charted with a sign off on the machine log
parameters monitored per equipment with alarms and alarm logs satisfy the
2.14 every two hours. Temperature of quench X
frequencies specified in verification requirement. A designated floor person
media is also part of the furnace controller.
Process Tables? shall verify the process parameters, e.g., by
Quench level is checked and recorded
initialing a strip chart or data log. Management
daily.
review is required per Question 1.9.
Are In-Process / Final Test In-Process / Final Test Frequencies shall be At a minimum surface, core hardness and
2.15 Frequencies performed as performed as specified in Process Tables. Refer case depth are done on each batch and X
specified in Process Tables? to Process Tables, Section 4.0. microstructure is done daily.
Product test equipment shall be verified. Test

equipment shall be verified/calibrated per
applicable customer-specific standard or per an
Hardness testers verified each shift and
applicable consensus standard such as those
Is product test equipment certified on annual basis. In house
2.16 published by ASTM, DIN, EN, ISO, JIS, NIST, SAE X
verified? calibration and maintenance conducted
etc. Verification/calibration results shall be
quarterly. Good practice.
internally reviewed, approved, and documented.
Refer to Process Tables, Section 1.0, for frequency
of checks.
13
CQI-9
Assessment

Section 3 - Equipment
The heat-treat equipment including furnaces,
generators, and quench systems shall have proper
Yes the equipment has gas flows, quench
Do furnaces, generators, and process controls and related equipment. Examples
monitoring system including agitation,
3.1 quench systems have proper include temperature, carbon potential/dew point, X
temperature control, temperature, carbon
process control equipment? gas flows, quench monitoring system including
potential / dew point, oxygen probe.
agitation, temperature control, etc. as listed in the
applicable Process Tables, Section 1.0.
The calibration and certification of the process
Are process equipment equipment shall be checked at regular specified
Equipment calibrations are current,
3.2 calibrations and/or verification intervals. Refer to the applicable Process Tables, X
certified (ISO17025 2005) and posted.
certified, posted, and current? Sections 1.0 and 2.0, for equipment calibration or
certification time tables.
The thermocouples and protection tubes shall be Thermocouples SATs are checked
Are thermocouples &
checked or replaced in compliance to a preventive quarterly with dissimilar metals to +/- 10F
3.3 protection tubes checked or X
maintenance schedule. Refer to the applicable and replaced according to Process Table
replaced per Process Tables?
Process Tables, Section 2.0. 3.1.1.
Temperature uniformity surveys shall be conducted

per the requirements in the applicable Process
Tables, Section 2.0. Certain furnace designs, e.g.,
Are temperature uniformity rotary retorts & some continuous pusher furnaces Uniformity studies for furnaces and draws
surveys performed per preclude direct temperature profiles. Alternate test are done annually or after a major rebuild.
3.4 X
requirements in Process methods per Section 3.4.5 are acceptable for
Tables? furnaces where temperature uniformity studies are
not possible. TUS studies are not required for Ion
Nitriding. Refer to Process Table H Item # H2.4 for
specific requirements.
The variation between the furnace control

Is the variation of the furnace
thermocouple value and the set point temperature Temperature is controlled within set point
controlled thermocouple from
shall be within the limits defined in the applicable as define in process tables.
3.5 set point within the X
Process Tables, Section 2.0. For Ion nitriding
requirements in the Process
refer to Process Table H Item # H2.5 for specific
Table?
requirements.
The heat treater shall have a list of heat treat

process and equipment alarms that, if not properly
working, may have a high probablity of producing
non-conforming product. These alarms shall be
checked quarterly at a minimum or after any repair
Are the process & equipment
or rebuild. Alarms are being checked quarterly and
3.6 alarm checks being tested for X
after each rebuild.
proper function?
Other alarms, including but not limited to safety-
related, shall be checked per heat treater's
requirment.
These alarm checks shall be documented.
Generator and furnace atmosphere carbon

potential/dew point shall be continuously
monitored, automatically controlled, and
documented. Recorded carbon potential shall be 14
controlled within +/- 0.05 of the set point. Recorded
CQI-9
Assessment

Generator and furnace atmosphere carbon
potential/dew point shall be continuously
monitored, automatically controlled, and
documented. Recorded carbon potential shall be
controlled within +/- 0.05 of the set point. Recorded
dew point shall be controlled within acceptable
limits specified in the control plan or internal
procedures.
NOTE: For rotary retort and shaker furnaces that

preclude in situ control and monitoring, the method We use nitrogen/methanol protective
described in Section 3.4.5 "Property Surveys" shall atmosphere in addition with natural gas as
Are generators and furnace be used. a carbon carrier producing the carbon
atmospheres continuously potential. Some furnaces use an Endo
monitored, automatically If generators are not used, the flow rates of the Generator to produce the carbon
controlled, and documented? supplied atmosphere gases shall be monitored and atmosphere. In either case the
controlled. atmosphere rates are monitored and
3.7 X
recorded by data logger and log sheet
NOTE: This requirement The automatic and continuous atmosphere control every two hours. Systems controls
is specific to Process Tables system shall consist of sensors such as oxygen atmosphere dew point / carbon potential
A, B, E, F, and G; Sections 1.0 probes or on-line Infrared (IR) gas analysis. The set point within parameters. Shim stock is
and 3.0. heat treater shall also have a back-up method of used to verify the carbon potential
checking the carbon potential/dew point. monthly. Three gas analyzer is available
Examples are dew point, electrical wire resistance, for daily analysis.
gas analysis, shim stock, carbon bar, etc. See
Process Tables, Sect. 3.0 for verification
frequencies of primary and back up method.
15
CQI-9
Assessment

When the back-up verification check of the

atmosphere does not correlate within pre-
established limits with the primary control method
(carbon potential/dew point reading), the heat
treater shall resolve the out-of-limit discrepancy.
A back up verification of the The back-up atmosphere monitoring system
atmosphere is required. reading and the automatically controlled
When the back-up verification atmosphere dew point/carbon potential reading
check of the atmosphere does shall be maintained within the correlation limits
not correlate within pre- specified in the control plan or internal procedures.
established limits with the These range tolerances vary with the specific heat
primary control method treat process and the equipment used.
(carbon potential/dew point The heat treater shall make appropriate technical
3 gas analyzer and shim stock are used to
3.8 reading), is correlation of the adjustments and then re-establish/demonstrate the X
correlate readings.
carbon-bearing atmosphere to correlation of the actual atmosphere carbon
the primary control method re- potential/dew point reading to the primary control
established? and back-up atmosphere reading. The range
tolerances for correlation between the two readings
NOTE: This requirement is shall be in the control plan or internal procedures.
specific to Process Tables A, The back-up carbon potential/dew point reading
B, E, F, and G; Sections 1.0 shall be established using one or more of the
and 3.0. following methods:
• Carbon bar, slug, or surface carbon of part
• Shim stock
• 3-gas analyzer
• Dew point
• Hot wire resistance
One of these fail-safe methods shall be used to

prevent ammonia to leak into the furnace:
• A quick disconnect or physical separation of the
lines
• Three-valve ammonia "fail-safe" vent system is
Are all ammonia lines permitted. See the definition “Three Valve Fail-
Ammonia lines are equipped with quick
equipped with a fail-safe Safe Vent” and diagram in the glossary.
3.9 disconnect. This is documented in the data X
method to prevent ammonia • 1 manual and 2 electrical magnetic valves in
log.
leaks into the furnace? series
The heat treater shall show evidence that ammonia

lines were disconnected for non-ammonia bearing
atmosphere processes.
16
CQI-9
Assessment

Ammonia pick-up can be undesirable in parts and

heat treat processes not specifying/requiring
ammonia as an addition.
The heat treater shall perform a minimum 3 hours

purge prior to processing product not requiring
Is there a miniumum of 3 hour
ammonia as an addition. Reduction of 3 hours
purge of the furnace This facility schedules parts based on
purge requires conclusive test data of the
atmosphere when switching process to different furnaces. Processes
3.10 atmosphere to show no significant amount of X
from an ammonia bearing requiring ammonia are performed in
residual ammonia is present in the furnace
atmosphere to a non-ammonia segregated furnaces.
atmosphere.
bearing?
Log book, data logger, or other records shall
document the actual purge 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 Furnaces has flow meters for all gases
and generators have flow
3.11 shall be periodically serviced per the heat treater's and each flow meter and feed line are X
scopes or flow meters for all
preventive maintenance program. Cleaning and color coded.
gases?
proper re-assembly procedures shall be
documented.
In absence of a rigorous fail-safe at the front of the

furnace to prevent non-uniform loading of parts
(this includes the combustion system
Is there a rigorous fail-safe at maintenance/adjustments to ensure proper
the front of the furnace to efficiencies and physical limitation for part loading),
prevent non-uniform loading of then the heat treater shall have an infrared
parts? temperature pyrometer at the exit end.
In absence of a rigorous fail- The infrared temperature pyrometers are required

3.12 Batch N/A N/A
safe, are all continuous belt at the exit end of continuous belt furnaces to
furnaces equipped with sight monitor for under temperature parts. The
glass inspection ports and temperature alarm shall be within 28oC (50oF) of
infrared temperature the furnace set point temperature. Results shall be
pyrometers at discharge end strip charted or continuously data logged. Infrared
of the hardening furnace? temperature pyrometers shall be calibrated
annually at a minimum and certified. All sight
glasses shall be cleaned per the preventive
maintenance schedule.
17
CQI-9
Assessment

Is salt chemistry in the

austenitizing salt bath
The heat treater shall check the salt chemistry in
monitored?
the austentizing salt bath, or part decarburization,
3.13 daily. Refer to the applicable Process Tables, N/A
Note: This is applicable to salt
Section 3.0, for frequency of checks.
bath heat treating processes
listed in Process Tables A &
B.
The heat treater shall periodically have the

quenching medium analyzed for specific quenching
characteristics, e.g., cooling curve, water content,
salt concentration, as specified in the applicable
Process Tables, Section 5.0. This does not Quench media is analyzed quarterly. It
Is the quenching medium include Process Table G & H. includes a cooling curve which is stable
3.14 X
analyzed? • The quench media characteristic tolerances shall and checks for flash point, viscosity, water
be specified by the quench medium supplier or the content, suspended soils and total acid.
heat treater.
• Analysis shall be reviewed for conformance by
the heat treater. This review shall be documented.
18
CQI-9
Assessment

FOR INDUCTION HEAT TREATING

A method to detect proper part position, such as Part is positioned on a conveyor belt that
Is the positioning of each part
3.15 the use of proximity switches, optical sensors, the head of the part rides on. This feeds it X
being controlled?
mechanical probes, etc., is required for each part. through the coil
The heat treater shall control the energy or power
for each part.
• A signature monitor for each machine is
preferred. A signature monitor gives the energy
Does the heat treater control
unit (voltage, kilowatt, etc.) vs. time or distance (for Amps, Volts and Kilowatts are monitored
3.16 the energy or power for each X
scanning systems). and recorded every two hours.
part?
• An energy monitor or equivalent is acceptable if
approved by the authorized customer
representative.
The heat treater shall have a coil management

system. Coil refers to the heating coil and the
quench plenum.
Does the supplier have a coil • Spare coils for each part shall be available on- Coils are numbered and arranged in order.
management system? Coil site. Spare coils are on site. Engineering
3.17 X
refers to the heating coil and • Coils shall conform to the approved original approval is received from the customer
the quench plenum. design. whenever the is a change to the coil
• Engineering change approval from the customer
is required whenever the coil design is changed.
The quench system shall be an automatic

operation. No manual quenching is allowed unless
Quench system is automatic and is
3.18 Is quench system automatic? specifically approved by the authorized customer X
automatically initiated.
representative. Quenching shall be automatically
initiated and controlled.
Does each lot of parts have The heat treater shall perform first piece set-up for First pieces is done on each order prior to
3.19 X
first piece set-up? each lot of parts. processing.
Is there a procedure that
addresses maintenance of the Procedure shall include regular inspection and A procedure is in place to ensure regulare
3.20 inductor and quench spray cleaning of the inductor and quench spray inspection and cleaning of inductor and X
nozzle(s) (for example, nozzle(s). quench spray nozzles.
quench ring, quench shower)?
After downtime of the induction heating system, air

pockets may form in the quench lines. These air
pockets will cause interrupted quenching at start-
up. The Heat treater shall establish the time limit
Is there a procedure to purge
(of the downtime) when this procedure is to be Lines are purged to ensure no air pockets
3.21 the air pockets from the X
followed. [Example: The quench lines shall be are present.
quench lines?
purged after induction heating system is down
greater than 4 hours.] Factors such as quench line
diameter, length, geometry, etc. shall be
considered.
19
CQI-9
Special Processes: Heat Treat Systems Assessment
Version 3, Issued 10/11
Section 4 - Job Audit
Job Identity: 9317

Customer: Craft Cast
Shop Order Number: 308191
Part Number: 3526
Part Description: None
Material: 8620
Heat Treat Requirements: Thru Harden
Job (Shop) Order or

Related Customer or Internal Actual Condition Pass /
Question # Job Audit Question Reference Documentation
HTSA Question # Requirement (Objective Evidence) Fail / N/A
Requirement
4.1 Are contract review, advance 1.2
Yes, done by Filed electronically,
quality planning, FMEA, control 1.3
Production Manager, N/A accessible in Quality Pass
plans, etc., performed by qualified 1.4
and Quality Manager Department
individuals? 1.17
4.2 1.5 N/A Customer P.O. is part of
Does the heat treat facility have the
Contained on the Quality Record which
customer specifications for the Pass
Customer PO is filed by customer in
part?
front office.
4.3 1.6 HMT 106B-3 Work Instruction is
2.1 issued for each
Is a shop traveler created to meet Yes, done by Customer PO, which
Pass
customer requirements? Production Manager becomes part of Quality
Record, and is filed in
production office.
4.4 Is material identification (part 2.2 HMT 106B-3
numbers, lot numbers, heat 2.3
Yes, this information is
numbers, contract numbers, etc.) 2.4 Yes Pass
on Work Instruction
maintained throughout the heat
treat process?
4.5 Is there documented evidence of 2.1 HMT 106B-3 Yes, this information is
Yes Pass
Receiving Inspection? on Work Instruction
4.6 1.6 HMT 106B-3 Loading/Racking
Are the Loading / Racking 2.7 Yes, on Work requirements are
Pass
requirements identified? 2.9 Instruction identified on Work
Instruction.
20
CQI-9
Job Identity: 9317

Part Number: 3526
Material: 8620
Job (Shop) Order or

Requirement
4.7 Is the proper recipe or process 1.5 HMT 106B-3
specification (cycle times, 1.6
temperature, atmosphere, etc.) 2.1 Processing instructions
used? Refer to Process Tables, 2.14 Yes, on Work and proper recipe are
2.15 Pass
Section 3.0, for specific parameters. Instruction contained on Work
List parameters that were verified Instruction
in this audit in the spaces provided
below.
21
CQI-9
Job Identity: 9317

Part Number: 3526
Material: 8620
Job (Shop) Order or

Requirement
Temperature is HMT 106B-3 plus This step was done
monitored and log in eurotherm according to procedure. Pass
Monitor temp instrument by Eurotherm
Monitor generator
NA
atmospheres N/A N/A N/A
Monitor Primary
Filed with Production
Atmosphere Twice daily by Superior HMT 152-2 Pass
records.
Control
Backup method
for checking Yes Gas Analyzer PGA 3500 Performed Daily Pass
atmosphere
For salt baths:
check salt
chemistry (soluble
oxides) in salt NA NA NA NA
baths or
decarburization on
the parts.
Temperature Temperature is HMT 106B-3 plus This step was done
monitored and log in eurotherm according to procedure. Pass
by Eurotherm
Quench Level PM Checked Daily Checked by maintenance Quench Level was OK Pass
Agitation Filed with Production
Twice daily by Superior HMT 152-2 Pass
records.
Monitor Belt
NA NA NA NA
Speed
22
CQI-9
Job Identity: 9317

Part Number: 3526
Material: 8620
Job (Shop) Order or

Requirement
4.8 What are the product inspection 2.15 Surface Hardness Testing
requirements?
4.8.1 Requirement: (1)
Surface Hardness
Test Method:
testing
Test frequency or quantity: Per Zero Defect Plan
Yes, and documents
Random selection from HMT 106B-3 filed with Work Instuction Pass
Selection of samples: corners and middle verifies this.
Specification is shown
Specification:
on Work Instruction
Test Method:
23
CQI-9
Job Identity: 9317

Part Number: 3526
Material: 8620
Job (Shop) Order or

Requirement
Test frequency or quantity:
Selection of samples:
Specification:
Test Method:
Specification:
24
CQI-9
Job Identity: 9317

Part Number: 3526
Material: 8620
Job (Shop) Order or

Requirement
Test Method:
Specification:
Operator or Inspector Responsibilities
4.9 Were appropriate process steps 1.4
Steps on Work
signed off? 2.2
Yes Per QSM requirement. Instruction were signed Pass
2.3
off per procedure.
2.14
4.10 Were all inspection steps, as 1.2 All inspection steps in
documented in the control plan 1.4 Yes HMT 106B-3 work instructions were Pass
performed? performed.
4.11 Were steps/operations performed 1.2
No additional steps
that were not documented in the 1.4 NA NA NA
were done
control plan? 1.6
4.12 If additional steps were performed, 1.2
were they authorized? 1.4
No additional steps
1.6 NA NA NA
were done
1.11
1.17
4.13 Does the governing specification 1.11 If necessary, Customer
NA NA Pass
allow reprocessing or rework? Approval is sought.
4.14 If the order was certified, did the 2.14
certification accurately reflect the 2.15 NA Shown on Work Instruction NA Pass
process performed?
4.15 Was the certification signed by an 1.17
NA Shown on Work Instruction NA Pass
authorized individual?
25
CQI-9
Job Identity: 9317

Part Number: 3526
Material: 8620
Job (Shop) Order or

Requirement
4.16 Are the parts and containers free of 2.6 Steps on Work
inappropriate objects or 2.11 Instruction regarding this
Yes Shown on Work Instruction Pass
contamination? step have been signed
off.
Packaging Requirements
4.17 2.9 Yes Yes, and packaging step
Are packaging requirements
Shown on Work Instruction has been signed off on Pass
identified?
Work Instruction.
4.18 Are parts packaged to minimize 2.9 Yes Yes, and packaging step
mixed parts (for example, parts Shown on Work Instruction has been signed off on Pass
packed over height of container)? Work Instruction.
Shipping Requirements
4.19 Were the parts properly identified? 2.3 Yes, the ID label issued
2.9 by the driver is used to
identify parts upon
Yes Shown on Work Instruction return. This information Pass
is also shown on the
Work Instruction and
shipping documents.
Were the containers properly 2.3 ID labels was placed
4.20 labeled? 2.9 Yes Shown on Work Instruction inside the container Pass
26
CQI-9
PROCESS TABLE A - Carburizing / Carbonitriding / Carbon Restoration / Neutral Hardening / Austempering /

Martempering / Tempering / Precipitation Hardening - Aging
All requirements given below are subordinate to customer specific requirements.
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 requirements.
Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
OK - Complies to requirement
NOK - Does not comply to requirement (Explain noncompliance in 'Related HTSA Question #'
NA - Requirement not applicable
Item # Related HTSA Category/Process Steps

Question #
PROCESS AND TEST EQUIPMENT REQUIREMENTS OK / NOK / NA
1.0
3.1
A1.1 All furnaces, generators and quench systems shall have temperature indicating instruments.
3.7 OK
3.1 Continuous strip charts and/or data loggers are required for temperature and carbon monitoring unit, e.g., dew point, oxygen
A1.2
3.7 probe, IR gas analyzer, etc. Ok
A1.3 1.18 A program for furnace and generator burnout is required (applies to carbon bearing atmospheres). OK
A1.4 3.2 Furnace weigh scales shall be verified quarterly and calibrated annually at a minimum. OK
Dew pointers, 3-gas analyzers, spectrometers, and carbon IR combustion analyzers (shim stock analysis), used to verify
A1.5 3.2
carbon potential in furnaces, shall be calibrated annually at a minimum. OK
A1.6 3.2 Verification of calibration of spectrometers, and carbon IR combustion analyzers, shall be checked daily or prior to use.
OK
A1.7 3.2 Verification of calibration of 3-gas analyzers with zero gas and span gas shall be performed weekly at a minimum. OK
Oxygen probe controllers shall be calibrated quarterly (single-point or multi-point calibration) or semi-annual (multi-point
A1.8 3.2
calibration only; single-point calibration not allowed).
OK
All hardness test equipment (for each scale used) shall be calibrated annually minimum, and verified daily or prior to use, per
A1.9 2.16
the applicable ASTM standard, ISO standard, JIS standard, or approved standard. OK
A1.10 2.16 Files for testing hardness shall be verified per the Customer requirement. OK
Refractometers (typically used to check polymer quenchants and washer solutions) shall be verified prior to use (with distilled
A1.11 3.2
water) and calibrated annually (per manufacturer's requirements) at a minimum. OK
2.0 PYROMETRY OK / NOK / NA
A2.1 3.2 Thermocouples and calibration of thermocouples shall conform to Section 3.1
3.3 OK
A2.2 3.2 Pyrometry Instrumentation and Calibration of instrumentation shall conform to Section 3.2
3.3 OK
3.2 CQI-9 requires a System Accuracy Test (SAT) check of the control thermocouple in the Qualified Work Zone per Section 3.3
A2.3 3.3
OK
A2.4 3.4 TUS shall be performed annually and after major rebuild per Section 3.4
Temperature uniformity tolerance for hardening furnaces shall be +/- 15 oC (or +/- 25oF). Temperature uniformity tolerance for
tempering furnaces shall be +/- 10oC (or +/- 20oF).
OK
A2.5 3.5 Recorded temperature(s) for austentizing processes shall be controlled within +/- 10 oC (or +/- 15oF) of the set point as
evidenced by continuous recording pyrometers. Furnace temperature shall be controlled with soak times starting at the lower
tolerance limit (as defined above).
For Continuous Furnaces, this requirement applies to the Qualified Work Zone.
OK
A2.6 3.5 Recorded temperature(s) for tempering and precipitation hardening processes shall be controlled within +/- 5 oC (or +/- 10oF) of
the set point as evidenced by continuous recording pyrometers. Furnace temperature shall be controlled with soak times
starting at the lower tolerance limit (as defined above).
OK
A2.7 3.2 Infrared pyrometers shall be calibrated annually using proper calibration methods or an approved manufacturer's procedure. NA
CQI-9
Batch Continuous Atmosphere
3.0 PROCESS MONITOR FREQUENCIES OK / NOK / NA
Furnace Furnace Generation
A3.1 1.4 Monitor primary temperature control instrument(s). Continuous recording with Continuous recording with Sign-off required
2.14 sign-off every 2 hours or sign-off every 2 hours or for each shift for
each batch for processes each lot for processes generators.
under 2 hours. Alarm under 2 hours). Alarm
systems (if set per limits in systems (if set per limits in
A2.5 and A2.6) satisfy the A2.5 and A2.6) satisfy the
sign-off requirement. sign-off requirement
OK
A3.2 1.4 Monitor atmosphere generation as applicable. Generators shall
2.14 be continuously
3.7 monitored and
alarmed. Other
systems, such as
nitrogen-methanol
systems, may
either be
continuously
monitored and
alarmed, or sign-
off every 2 hours.
NA
A3.3 1.4 Monitor primary furnace atmosphere control(s) Continuous recording with Continuous recording with
2.14 sign-off every 2 hours or sign-off every 2 hours or
3.7 each batch for processes each lot for processes
systems (if set per systems (if set per
acceptable limits) satisfy acceptable limits) satisfy
the sign-off requirement. the sign-off requirement
OK
A3.4 1.4 Verify primary furnace atmosphere control method Daily Daily
2.14 by back-up method
3.7
3.8 OK
A3.5 1.4 For austentizing salt baths: Salt chemistry (soluble Daily
2.14 oxides) or decarburization on the parts shall be
3.13 checked. NA
A3.6 1.4 Quench Media Process Parameters
2.12 Temperature Continuous recording with Continuous recording with
sign-off every 2 hours or sign-off every 2 hours or
each batch for processes each lot for processes
systems (if set per systems (if set per
OK
Quench Level Continuous monitor with alarm or daily verification. OK
Agitation Daily visual check, or monitor the agitation during the
quenching operation with alarm systems set at
acceptable limits.
OK
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.
OK
A3.8 1.4 Monitor load size or fixturing or loading rate as Each batch Twice/shift & after any
2.7 applicable. change in loading rate.
OK
A3.9 1.4 Quench Delay Time - Each batch Each basket for pusher-
2.12 Quench delay time shall be based on the time that type continuous furnaces
the furnace door starts to open to the time the where the loaded basket is
load is at the bottom of the quench tank. quenched.
Not applicable for belt,

shaker, or pusher furnaces
where parts free-fall into the
quench.
OK
A3.10 1.4 Temper Delay Time - Each batch Each load
2.12 The maximum delay time between quenching and
tempering shall be specified on the control plan
and monitored.
OK
Batch Continuous OK / NOK / NA
4.0 IN-PROCESS/FINAL TEST FREQUENCIES
Furnace Furnace
A4.1 1.4 Microstructure shall be checked at a minimum Each batch Daily per furnace
2.15 magnification of 100x and, 400x or above 400x.
Microstructural visual references shall be
available. OK
CQI-9
A4.2 1.4 Surface hardness Each batch Every 2 hours

2.15 OK
A4.3 1.4 Core hardness (when specified) Each batch Every 4 hours
2.15 OK
A4.4 1.4 Case depth (when specified) Each batch Every 4 hours
2.15 OK
QUENCHANT AND SOLUTION TEST Batch Continuous OK / NOK / NA
5.0
FREQUENCIES Furnace Furnace
A5.1 2.12 Polymer Quench Media
3.14 Concentration Daily Daily OK
Cooling Curve Analysis Semi-annually Semi-annually OK
A5.2 2.12 Water Quench Media
3.14 Suspended solids Semi-annually Semi-annually NA
A5.3 2.12 Salt Quench Media
3.14 Analysis & Contaminants Semi-annually Semi-annually NA
A5.4 2.12 Brine or Caustic Quench Media
3.14 Concentration and/or Specific Gravity. Daily Daily NA
Suspended solids Semi-annually Semi-annually NA
A5.5 2.12 Oil Quench Media
3.14 Water content, suspended solids, viscosity, Semi-Annually Semi-Annually
cooling curve, total acid, and flash point. OK
A5.6 2.13 Rust Preventive - Soluble Oil
Concentration 2x / week 2x / week OK
A5.7 2.11 Washers
Concentration of cleaner Daily Daily OK
Temperature of solution (required if temperature is Each shift Each shift
specified to be above ambient temperature). OK
CQI-9
PROCESS TABLE B - Nitriding (Gas) and Ferritic-Nitrocarburizing (Gas or Salt)
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 requirements.
Item # Related HTSA

Question # Category/Process Steps
Table B is NA
1.0 OK / NOK / NA
PROCESS AND TEST EQUIPMENT REQUIREMENTS
B1.1 3.1 All furnaces, generators and quench systems shall have temperature indicating instruments.
3.7
B1.2 3.1 Continuous strip charts and/or data loggers are required for temperature and carbon monitoring unit, e.g., dew point, oxygen probe, IR gas
3.7 analyzer, etc. For salt bath, only temperature is required to be recorded.
B1.3 1.18 A program for furnace and generator burnout is required. Not required for retort gas nitriding.
B1.4 3.2 Furnace weigh scales shall be verified quarterly and calibrated annually at a minimum.
B1.5 3.2 Dew pointers and gas analyzers, used to verify proper atmosphere in furnaces, shall be calibrated annually at a minimum.
B1.6 2.16 All hardness test equipment (for each scale used) shall be calibrated annually minimum, and verified daily or prior to use, per the applicable ASTM
standard, ISO standard, JIS standard, or approved standard.
B1.7 2.16 Files for testing hardness shall be verified per the Customer requirement.
B1.8 3.2 Refractometers (typically used to check polymer quenchants and washer solutions) shall be verified prior to use (with distilled water) and calibrated
annually (per manufacturer's requirements) at a minimum.
2.0 OK / NOK / NA
PYROMETRY
B2.1 3.2 Thermocouples and calibration of thermocouples shall conform to Section 3.1.
3.3
B2.2 3.2 Pyrometry Instrumentation and Calibration of instrumentation shall conform to Section 3.2
3.3
B2.3 3.2 CQI-9 requires a System Accuracy Test (SAT) check of the control thermocouple in the Qualified Work Zone per Section 3.3
3.3
B2.4 3.4 TUS shall be performed annually and after major rebuild per Section 3.4.
Temperature uniformity tolerance shall be +/- 10oC (15oF).
B2.5 3.5 Recorded temperature(s) shall be controlled within +/- 10oC (or +/- 15oF) of the set point as evidenced by continuous recording pyrometers.
Furnace temperature shall be controlled with soak times starting at the lower tolerance limit (as defined above).
B2.6 3.2 Infrared pyrometers shall be calibrated annually using proper calibration methods or an approved manufacturer's procedure.
3.0 Batch Continuous

PROCESS MONITOR FREQUENCIES Generators Salt Bath OK / NOK / NA
Furnace Furnace
B3.1 1.4 Monitor primary temperature control instrument(s). Continuous recording with Continuous recording with Sign-off required for Every 2 hours
2.14 sign-off every 2 hours or sign-off every 2 hours or each shift for & after any
each batch for processes each lot for processes generators. change
systems (if set per limits in systems (if set per limits in
B2.5) satisfy the sign-off B2.5) satisfy the sign-off
requirement. requirement
B3.2 1.4 Monitor generator atmospheres, if applicable. Generators shall be

2.14 continuously
3.7 monitored and
alarmed. Other
systems, such as
nitrogen-methanol
systems, may either
be continuously
monitored and
alarmed, or sign-off
every 2 hours.
B3.3 1.4 Monitor primary furnace atmosphere control(s). Each batch (rotary furnaces Continuous recording with Daily
2.14 only) or continuous sign-off every 2 hours.
3.7 recording with sign-off Alarm systems satisfy the
3.8 every 2 hours. Alarm sign-off requirement
systems satisfy the sign-off
requirement
CQI-9
PROCESS TABLE B - Nitriding (Gas) and Ferritic-Nitrocarburizing (Gas or Salt)
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
Item # Related HTSA

Question # Category/Process Steps
Table B is NA
B3.4 1.4 Dissociation of ammonia shall be checked in gas Each batch and every 4 Every 4 hours Daily N/A
3.7 nitriding. hours minimum
B3.5 1.4 Gas ratios for ferritic nitrocarburizing shall be checked. Each batch Every 2 hours minimum
3.7
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
B3.7 1.4 Quench Media Process Parameters

2.12 Temperature Each batch or continuous Each lot or continuous Each batch or
recording with sign-off recording with sign-off continuous
every 2 hours. Alarm every 2 hours. Alarm recording with
systems satisfy the sign-off systems satisfy the sign-off sign-off every
requirement. requirement. 2 hours.
Alarm systems
satisfy the
sign-off
requirement.
Quench Level Continuous monitor with alarm or daily verification. Daily
Agitation Daily visual check, or monitor the agitation during the Daily
acceptable limits.
B3.8 1.4 Monitor time in furnace, cycle time or belt speed. Each batch Twice/shift & after any Each batch
B3.9 1.4 Monitor load size or fixturing or loading rate as Each batch Twice/shift & after any Each batch
B3.10 1.4 Quench Delay Time if applicable - Each batch Each basket if applicable. Each batch
2.12 Quench delay time shall be based on the time that the
furnace door starts to open to the time the load is at
the bottom of the quench tank.

IN-PROCESS/FINAL TEST FREQUENCIES Generators Salt Bath OK / NOK / NA
Furnace Furnace
B4.1 1.4 Microstructure shall be checked at a minimum Each batch Daily per furnace Daily per
2.15 magnification of 100x and, 400x or above 400x. furnace
Microstructural visual references shall be available.
B4.2 1.4 Surface hardness Each batch Every 2 hours minimum Each batch
2.15
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
5.0 QUENCHANT AND SOLUTION TEST Batch Continuous
Generators Salt Bath OK / NOK / NA
FREQUENCIES Furnace Furnace*
Quench Media Controls If Applicable
B5.1 2.12 Polymer Quench Media
3.14 Concentration Daily Daily
Quenchability Check; e.g., cooling curve, viscosity, or Semi-annually Semi-annually
titration.
B5.2 2.12 Water Quench Media
3.14 Suspended solids Semi-annually Semi-annually
B5.3 2.12 Salt Quench Media
3.14 Analysis & Contaminants Semi-annually Semi-annually Semi-annually
B5.4 2.12 Brine or Caustic Quench Media

3.14 - Concentration and/or Specific Daily Daily
Gravity
- Suspended solids Semi-annually Semi-annually
B5.5 2.12 Oil Quench Media
3.14 - Water content, suspended solids, Semi-Annual Semi-Annual
viscosity, cooling curve, total acid,
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).
CQI-9
PROCESS TABLE C - Aluminum Heat Treating
NOK - Does not comply to requirement (Explain noncompliance in 'Related HTSA Question #')
Item # Related Category/Process Steps

HTSA
Question # Table C is NA
1.0 PROCESS AND TEST EQUIPMENT REQUIREMENTS OK / NOK / NA
C1.1 3.1 All furnaces and quench systems shall have temperature indicating instruments.
C1.2 3.1 Continuous strip charts and/or data loggers are required for temperature sensors.
C1.3 2.16 All hardness test equipment (for each scale used) shall be calibrated annually minimum, and verified daily or prior to use, per
the applicable ASTM standard, ISO standard, JIS standard, or approved standard.
C1.4 3.2 Furnace weigh scales shall be verified quarterly and calibrated annually at a minimum.
C1.5 3.2 Refractometers (typically used to check polymer quenchants and washer solutions) shall be verified prior to use (with distilled
water) and calibrated annually (per manufacturer's requirements) at a minimum.

C2.1 3.2 Thermocouples and calibration of thermocouples shall conform to Section 3.1.
3.3
C2.2 3.2 Pyrometry Instrumentation and Calibration of Instrumentation shall conform to Section 3.2.
3.3
C2.3 3.2 CQI-9 requires a System Accuracy Test (SAT) check of the control thermocouple in the Qualified Work Zone per Section 3.3.
3.3
C2.4 3.4 Temperature Uniformity Survey (TUS) TUS frequency shall be quarterly and after major rebuild per Section 3.4.
Temperature Uniformity tolerance for solution and aging furnaces shall be +/- 5 oC (+/- 10oF).
Temperature Uniformity tolerance for annealing furnaces shall be +/- 15 oC (+/- 25oF)
Minimum and maximum temperature ranges shall be defined. Exception: If the operating range of the Qualified Work Zone is
equal to or less than 85oC (155oF) then only one temperature is required to be tested. The test temperature shall be within
the operating range of the Qualified Work Zone.
C2.5 3.5 For Solution Treating and Aging: Recorded temperature(s) shall be controlled within +/- 5C (or +/- 10F) of the set point as
For Continuous Furnaces, this requirement applies to the Qualified Work Zone
C2.6 3.5 For Annealing Furnaces: Recorded temperature(s) shall be controlled within +/- 10C (or +/- 15F) of the set point as
For Continuous Furnaces, this requirement applies to the Qualified Work Zone
C2.7 3.2 Infrared pyrometers shall be calibrated annually using proper calibration methods or an approved manufacturer's procedure.
3.0 PROCESS MONITOR FREQUENCIES Batch Furnace Continuous Furnace OK / NOK / NA

C3.1 1.4 Monitor primary temperature control instrument(s). Continuous recording with Continuous recording
2.14 sign-off every 2 hours or with sign-off every 2
each batch for processes hours or each lot for
under 2 hours. Alarm processes under 2 hours.
systems (if set per limits in Alarm systems (if set per
C2.5 and C2.6) satisfy the limits in C2.5 and C2.6)
sign-off requirement. satisfy the sign-off
requirement
C3.2 1.4 Quench Media Process Parameters
2.12
CQI-9
PROCESS TABLE C - Aluminum Heat Treating

HTSA
C3.2 Question
1.4 # Table C is NA
2.12 Temperature Continuous recording with Continuous recording
sign-off every 2 hours or with sign-off every 2
each batch for processes hours or each lot for
under 2 hours. Alarm processes under 2 hours.
systems (if set per Alarm systems (if set per
Quench Level
Daily Verification
Agitation Daily visual check, or monitor the agitation during the
acceptable limits.
C3.3 1.4 Monitor process cycle time Each batch Twice/shift & after any
2.14 change in the indexing
or belt speed.
C3.4 1.4 Monitor load size or featuring as applicable. Each batch Twice/shift & after any
2.7 change in loading rate.
C3.5 1.4 Quench Delay Time - Each batch Each basket for pusher
2.12 Quench delay time shall be based on the time that the type or roller hearth
furnace door starts to open to the time the load is at the continuous furnaces.
bottom of the quench tank.
4.0 IN-PROCESS/FINAL TEST FREQUENCIES OK / NOK / NA

C4.1 1.4 Hardness or tensile testing (post aging). Each batch Every 4 hours
2.15
5.0 QUENCHANT AND SOLUTION TEST FREQUENCIES OK / NOK / NA
C5.1 2.12 Polymer Quench Media
3.14 Concentration Daily Daily
Cooling Curve Analysis Semi-annually Semi-annually
C5.2 2.12 Water Quench Media
3.14 Suspended solids Semi-annually Semi-annually
C5.3 2.11 Washers
Concentration of cleaner Daily Daily
Temperature of solution (required if temperature is Each shift Each shift
specified to be above ambient temperature).
CQI-9
PROCESS TABLE D - Induction Heat Treating
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 requirements.

Question #
D1.1 2.16 All hardness test equipment (for each scale used) shall be calibrated annually OK
minimum, and verified daily or prior to use, per the applicable ASTM standard,
ISO standard, JIS standard, or approved standard.
D1.2 2.16 Files for testing hardness shall be verified per the Customer requirement. OK
D1.3 3.2 Refractometers (typically used to check polymer quenchants and washer OK
solutions) shall be verified prior to use (with distilled water) and calibrated
annually (per manufacturer's requirements) at a minimum.
2.0 PYROMETRY
D2.1 3.2 Infrared pyrometers shall be calibrated annually using proper calibration NA
methods or an approved manufacturer's procedure.
3.0 PROCESS MONITORING FREQUENCIES OK / NOK / NA
All process parameters shall be checked the beginning of every shift, tool change, or any equipment
repair. In absence of process parameter alarms, also check process parameters at end of shift or lot
(whichever is the greater frequency).
D3.1 1.4
2.12 Quench Temperature Alarm system for high and low OK
temperature is required.
Quench Level Continuous monitor with alarm or

daily verification. OK
Quench Pressure and Flow Alarm system for quench pressure OK
and flow rate for high and low
limits is required.
In the absence of an alarm, the

quench pressure and flow shall be
checked at start-up and every 8
hours
D3.2 1.4 Monitor cycle time Check cycle time at start up and OK
2.14 after any process change.
D3.3 1.4 An energy monitor or signature monitor is This requirement applies to each OK
2.14 required and shall be equipped with alarms power supply (not per coil).
3.16 set at acceptable limits.
CQI-9

Question #
D3.4 1.4 Temper Delay Time - Each batch OK
2.12 The maximum delay time between
quenching and tempering shall be specified
on the control plan and monitored.
4.0 IN-PROCESS/FINAL TEST OK / NOK / NA

FREQUENCIES PER COIL
D4.1 1.4 Induction pattern length 1 part at start-up, end of OK
2.15 production run, and every 4 hours
minimum, and 1 part pre and 1
part post tool change, equipment
repair, station alarm (shutdown,
malfunction, etc.)
D4.2 1.4 Total or Effective Case depth 1 part at start-up, end of OK

2.15 production run, change of and 1
part per 8 hours minimum, and 1
part pre and 1 part post tool
change, equipment repair, station
alarm (shutdown, malfunction,
etc.)
D4.3 1.4 Surface hardness 1 part at start-up, end of OK

malfunction, etc.)
D4.4 1.4 Core hardness (when specified) 1 part at start-up, end of OK

malfunction, etc.)
D4.5 1.4 Microstructure shall be checked at a 1 part at start-up, end of OK

2.15 minimum magnification of 100x and, 400x production run, and 1 part per 8
or above 400x. Microstructural visual hours minimum, and 1 part pre
references shall be available. and 1 part post tool change,
equipment repair, station alarm
(shutdown, malfunction, etc.)
5.0 QUENCHANT AND SOLUTION TEST FREQUENCIES
D5.1 2.12 Polymer Quench Media

3.14
CQI-9

D5.1 Question
2.12 #
3.14 Concentration Daily OK
Cooling Curve Analysis Every four months (complete OK
replacement of the quench media
and cleaning of the quench tank
within four months satisfies this
requirement).
D5.2 2.12 Water Quench Media

3.14 Suspended solids Semi-annually (complete NA
within six months satisfies this
requirement)
D5.3 2.12 Brine or Caustic Quench Media

3.14 Concentration and/or Specific Gravity Daily NA
Suspended solids Semi-annually (complete NA
within six months satisfies this
requirement)
D5.4 2.13 Rust Preventive - Soluble Oil

Concentration 2x / week OK
D5.5 2.11 Washers
Concentration of cleaner Daily OK
Temperature of solution (required if Each shift OK
temperature is specified to be above
ambient temperature).
CQI-9
PROCESS TABLE E - Annealing / Normalizing / Stress-Relieving
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 requirements.

HTSA
Questio
n#
1.0 PROCESS AND TEST EQUIPMENT REQUIREMENTS
E1.1 3.1 All furnaces, generators and quench systems (where applicable) shall have temperature
3.7 indicating instruments.
E1.2 3.1 Continuous strip charts and/or data loggers are required for temperature and carbon
3.7 monitoring unit, e.g., dew point, oxygen probe, IR gas analyzer, etc.
E1.3 3.2 Furnace weigh scales shall be verified quarterly and calibrated annually at a minimum.
E1.4 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
minimum. This is applicable when used in controlling carbon-bearing atmospheres.
E1.5 3.2 Verification of calibration of spectrometers, and carbon IR combustion analyzers, shall be
checked daily or prior to use. This is applicable when used in controlling carbon-bearing
atmospheres.
E1.6 3.2 Verification of calibration of 3-gas analyzers with zero gas and span gas shall be performed
weekly at a minimum. This is applicable when used in controlling carbon-bearing
atmospheres.
E1.7 3.2 Oxygen probe controllers shall be calibrated quarterly (single-point or multi-point calibration)
or semi-annual (multi-point calibration only; single-point calibration not allowed). This is
applicable when used in controlling carbon-bearing atmospheres.
E1.8 2.16 All hardness test equipment (for each scale used) shall be calibrated annually minimum, and
verified daily or prior to use, per the applicable ASTM standard, ISO standard, JIS standard,
or approved standard.
E1.9 3.2 Refractometers (typically used to check polymer quenchants and washer solutions) shall be
verified prior to use (with distilled water) and calibrated annually (per manufacturer's
requirements) at a minimum.
2.0 PYROMETRY
CQI-9

HTSA
Questio
n#
E2.1 3.2 Thermocouples and calibration of thermocouples shall conform to Section 3.1.
3.3
E2.2 3.2 Pyrometry Instrumentation and Calibration shall conform to Section 3.2.
3.3
E2.3 3.2 CQI-9 requires a System Accuracy Test (SAT) check of the control thermocouple in the
3.3 Qualified Work Zone per Section 3.3.
E2.4 3.4 TUS shall be performed annually and after major rebuild per Section 3.4.
Temperature uniformity tolerance for furnaces operating at austenitizing temperatures shall

be +/- 15oC
(or +/- 25oF). Temperature uniformity tolerance for tempering furnaces shall be +/- 10 oC (or
E2.5 3.5 +/- 20oF). temperature(s) for austentizing processes shall be controlled within +/- 10 oC (or
Recorded
+/- 15oF) of the set point as evidenced by continuous recording pyrometers. Furnace
temperature shall be controlled with soak times starting at the lower tolerance limit (as
defined above).
3.0 PROCESS MONITOR Continuous
Batch Furnace Generators
FREQUENCIES Furnace
CQI-9

HTSA
Questio
n#
E3.1 1.4 Monitor primary Continuous recording Continuous Sign-off required for
2.14 temperature control with sign-off every 2 recording with each shift for
instrument(s). hours or each batch sign-off every 2 generators.
for processes under hours or each lot
2 hours. Alarm for processes
systems (if set per under 2 hours).
limits in E2.5) satisfy Alarm systems (if
the sign-off set per limits in
requirement. E2.5) satisfy the
sign-off
requirement.
E3.2 1.4 Monitor generator Generators shall be

2.14 atmospheres continuously
3.7 monitored and
alarmed. Other
systems, such as
nitrogen-methanol
systems, may either
be continuously
monitored and
alarmed, or sign-off
every 2 hours.
CQI-9

HTSA
Questio
n#
E3.3 1.4 Monitor primary furnace Continuous recording Continuous
2.14 atmosphere control(s) with sign-off every 2 recording with
3.7 hours or each batch sign-off every 2
for processes under hours or each lot
2 hours. Alarm for processes
systems (if set per under 2 hours.
acceptable limits) Alarm systems (if
satisfy the sign-off set per acceptable
requirement. limits) satisfy the
sign-off
requirement.
E3.4 1.4 Verify primary atmosphere Daily Daily

2.14 control method by back-up
3.7 method.
3.8
E3.5 1.4 For salt baths: check salt Daily Daily
2.14 chemistry (soluble oxides)
3.13 in salt baths or
decarburization on the
parts.
E3.6 1.4 Monitor time in furnace, Each batch Twice/shift & after
2.14 cycle time or belt speed. any change in the
belt speed.
E3.7 1.4 Monitor load size, fixturing Each batch Twice/shift & after
2.7 or loading rate as any change in
applicable. loading rate.
4.0 IN-PROCESS/FINAL TEST Batch Furnace Continuous
FREQUENCIES Furnace
CQI-9

HTSA
Questio
n#
E4.1 1.4 Microstructure shall be Each batch Each production
2.15 checked at a minimum run or each shift
magnification of 100x and, at a minimum.
400x or above 400x.
Microstructural visual
references shall be
available.
E4.2 1.4 Surface hardness (when Each batch Every 4 hours

2.15 specified)
E4.3 1.4 Core hardness (when Each batch Every 4 hours
2.15 specified)
5.0 SOLUTION TEST Continuous
Batch Furnace
FREQUENCIES Furnace
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 Each shift Each shift

(required if temperature is
specified to be above
ambient temperature).
CQI-9
PROCESS TABLE F - Low Pressure Carburizing
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the auditor shall verify
Item # Related HTSA

Category/Process Steps Table F is NA
Question #
F1.1 3.1 All furnaces and liquid quench systems shall have temperature indicating instruments.
3.7
F1.2 3.1 All gaseous quench systems shall have pressure indicators and fan operation indicators.
F1.3 3.1 Recording instruments are required for temperature and, hydrocarbon flow and pressure.
3.7
F1.4 3.2 Furnace weigh scales shall be verified quarterly and calibrated annually at a minimum.
F1.5 3.2 Hydrogen sensors and carbon IR combustion analyzers used to verify carbon potential in furnaces, shall be calibrated annually at
a minimum.
F1.6 3.2 Verification of calibration of spectrometers and carbon IR combustion analyzers, shall be checked daily or prior to use.
F1.7 3.2 Vacuum monitoring devices calibrated annually.
F1.8 2.16 All hardness test equipment (for each scale used) shall be calibrated annually minimum, and verified daily or prior to use, per the
applicable ASTM standard, ISO standard, JIS standard, or approved standard.
F1.9 2.16 Files for testing hardness shall be verified per the Customer requirement.
F1.10 3.2 Refractometers (typically used to check polymer quenchants and washer solutions) shall be verified prior to use (with distilled
water) and certified annually per manufacturer's requirements at a minimum.
2.0 PYROMETRY
F2.1 3.2 Thermocouples and calibration of thermocouples shall conform to Section 3.1.
3.3
F2.2 3.2 Pyrometry Instrumentation and Calibration of instrumentation shall conform to Section 3.2.
3.3
F2.3 3.2 CQI-9 requires a System Accuracy Test (SAT) check of the control thermocouple in the Qualified Work Zone per Section 3.3.
3.3
F2.4 3.4 TUS shall be performed annually and after major rebuild per Section 3.4.
Temperature uniformity tolerance for hardening and tempering furnaces shall be +/- 10 C or +/- 20 F.
F2.5 3.5 Recorded temperature(s) for austentizing and tempering processes shall be controlled within +/- 5 C or +/- 10 F of the set point
as evidenced by continuous recording pyrometers. Furnace temperature shall be controlled with soak times starting at the lower
3.0 PROCESS MONITOR FREQUENCIES

F3.1 1.4 Monitor primary temperature control instrument(s). Continuous recording with sign-off every 2 hours or each batch for processes
2.14 under 2 hours. Alarm systems (if set per limits in F2.5) satisfy the sign-off requirement.
F3.2 1.4 Monitor primary furnace atmosphere control(s) or hydrocarbon flows. Continuous recording with sign-off every 2 hours or each
2.14 batch for processes under 2 hours. Alarm systems (if set per acceptable limits) satisfy the sign-off requirement.
F3.3 3.7
1.4 Monitor pressure in the carburizing and gas quenching process. Continuous recording with sign-off every 2 hours or each batch
2.14 for processes under 2 hours (carburizing process). Continuous recording with sign-off each batch (quenching process). Alarm
systems (if set per acceptable limits) satisfy the sign-off requirement.
F3.4 1.4 Verify primary atmosphere control method by back-up method by microstructural evaluation of parts or coupon, or carbon
2.14 analysis of shim stock or carbon bar. Verification shall be daily.
3.7
3.8
F3.5 1.2 Prior to production (APQP), the surface area of the parts shall be calculated and documented for each load configuration.
2.7
F3.6 1.4 Quench Media Process Parameters - Oil FREQUENCY
2.12
CQI-9
Item # Related HTSA

F3.6 1.4 # Category/Process Steps Table F is NA
Question
2.12
Temperature Continuous recording with alarm system is required.
Quench Level Daily check or alarm system is required.
Agitation Daily check or alarm system is required.
Acceptable methods for checking agitation are using flow

sensors, current sensors, or pressure differential sensors.
F3.7 1.4 Quench Media Process Parameters - Gas

2.12
Pressure in the quench cell Monitor each load. Alarm system is required
Fan speed or power Monitor each load. Alarm system is required
Cooling water temperature and flow rate Monitor each load. Alarm system is required
F3.8 Pressure monitors in cells shall be correlated. Weekly
F3.9 1.4 Temper Delay Time - Each batch

2.12 The maximum delay time between quenching and tempering
shall be specified on the control plan and monitored.
4.0 IN-PROCESS/FINAL TEST FREQUENCY
F4.1 1.4 Microstructure shall be checked at a minimum magnification of Daily per furnace (may rotate cells) or any time one of the
2.15 100x and, 400x or above 400x. Microstructural visual process parameters is out of specification.
references shall be available.
F4.2 1.4 Surface hardness Each batch

2.15
F4.3 1.4 Core hardness (when specified) Daily per furnace (may rotate cells) or any time one of the
2.15 process parameters is out of specification.
F4.4 1.4 Case depth (when specified) Daily per furnace (may rotate cells) or any time one of the
2.15 process parameters is out of specification.
5.0 QUENCHANT AND SOLUTION TEST FREQUENCY

F5.1 2.12 Polymer Quench Solution
3.14 Concentration Daily
Quenchability Check cooling curve. Check viscosity or Semi-annually
titration.
F5.2 2.12 Water Quenching
3.14 Suspended solids Semi-annually
F5.3 2.12 Oil Quenching
3.14 Water content, suspended solids, viscosity, cooling curve, total Semi-annually
acid, and flash point.
F5.4 2.13 Rust Preventative Solution
Concentration shall be checked when the rust preventative is 2x / week
mixed in-house.
F5.5 2.11 Washers
Concentration of cleaner Daily
CQI-9
F5.5# Related
Item 2.11HTSA
Category/Process Steps Table F is NA
Question #
Temperature of solution (required if temperature is specified to Each shift
be above ambient temperature).
CQI-9
PROCESS TABLE G - Sinter Hardening
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the auditor shall verify heat treate

Question #
G1.1 3.1
All furnaces, generators and quench systems shall have temperature indicating instruments.
3.7
G1.2
3.1 Continuous strip charts and/or data loggers are required for temperature and carbon monitoring unit, e.g., dew point, oxygen probe, IR
3.7 gas analyzer, etc.
G1.3 3.1 Atmosphere flow meters/indicators are required.

G1.4 1.18 A program for furnace and generator burnout is required (applies to carbon bearing atmospheres).
G1.5 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 minimum (applies to carbon bearing atmospheres).
G1.6 3.2 Verification of calibration of spectrometers, and carbon IR combustion analyzers, shall be checked daily or prior to use (applies to carbon
bearing atmospheres).
G1.7 3.2 Verification of calibration of 3-gas analyzers with zero gas and span gas shall be performed weekly at a minimum (applies to carbon
bearing atmospheres).
G1.8 3.2 Oxygen probe controllers shall be calibrated quarterly (single-point or multi-point calibration) or semi-annual (multi-point calibration only;
single-point calibration not allowed). This applies to carbon bearing atmospheres.
G1.9 2.16 All hardness test equipment (for each scale used) shall be calibrated annually minimum, and verified daily or prior to use, per the
applicable ASTM standard, ISO standard, JIS standard, or approved standard.
2.0 PYROMETRY
G2.1 3.2 Thermocouples and calibration of thermocouples shall conform to Section 3.1.
3.3
G2.2 3.2 Pyrometry Instrumentation and Calibration of instrumentation shall conform to Section 3.2.
3.3
G2.3 3.2 CQI-9 requires a System Accuracy Test (SAT) check of the control thermocouple in the Qualified Work Zone per Section 3.3.
3.3
G2.4 3.4 TUS shall be performed annually and after major rebuild per Section 3.4.
Temperature uniformity tolerance for hardening furnaces shall be +/- 15ºC (or +/- 25ºF). Temperature uniformity tolerance for tempering
furnaces shall be +/- 10ºC (or +/- 20ºF).
G2.5 3.5 Recorded temperature(s) for sintering processes shall be controlled within +/- 10ºC (or +/- 15ºF) of the set point for processes operating
less than 1000ºC (1830ºF) and +/- 20ºC (+/- 35ºF) for processes operating greater than 1000ºC (1830ºF) as evidenced by continuous
recording pyrometers. Furnace temperature shall be controlled with soak times starting at the lower tolerance limit (as defined above).

PROCESS MONITOR FREQUENCIES Atmosphere Generation
Furnace Furnace
CQI-9

Question #
G3.1 1.4 Monitor primary temperature control instrument(s). Continuous recording with Continuous recording with One of the three options is
2.14 sign-off every 2 hours or sign-off every 2 hours or required.
each batch for processes each lot for processes
under 2 hours. Alarm under 2 hours). Alarm (1) Record temperature 2x
systems (if set per limits in systems (if set per limits per shift or after any
G2.5) satisfy the sign-off in G2.5) satisfy the sign- change.
requirement. off requirement
(2) Continuously record
temperature and sign-off 2x
per shift or after any
change.
(3) Alarm system on

temperature controller.
G3.2 Monitor generator atmospheres. One of the three options is

required.
(1) Record value(s)

representing atmosphere
2x per shift.

value(s) representing
atmosphere and sign-off 2x
per shift.
(3) Alarm system on

atmosphere controller.
G3.3 1.4 Monitor primary furnace atmosphere control(s) Batch processes are in One of the three options
2.14 Flow rates. vacuum furnaces: is required.
3.7
Monitor pressure in the (1) Record value(s)
carburizing and gas representing atmosphere
quenching process. 2x per shift or after any
Continuous recording with change.
sign-off every 2 hours or
each batch for processes (2) Continuously record
under 2 hours (carburizing value(s) representing
process). Continuous atmosphere and sign-off
recording with sign-off 2x per shift or after any
each batch (quenching change.
process).
(3) Alarm system on
Alarm systems (if set per atmosphere controller or
acceptable limits) satisfy flow meter.
the sign-off requirement.
G3.4 1.4 Verify primary atmosphere control method by back-up Daily Daily
2.14 method**. FOR ENDOTHERMIC ATMOSPHERE
3.7 ONLY.
3.8
G3.6 1.4 Quench Media Process Parameters - Oil
2.12
CQI-9

G3.6 1.4 #
Question
2.12
Temperature of water exchange system for quench One of the three options is One of the three options
chamber (does not apply to convection systems) required. is required.
(1) Record temperature (1) Record temperature

per batch or 2x per shift 2x per shift or after any
whichever is more change.
frequent.
(2) Continuously record temperature and sign-off
temperature and sign-off 2x per shift or after any
per batch or 2x per shift change.
whichever is more
frequent. (3) Alarm system on
(3) Alarm system on
Agitation (Fan/Blower Speed) Alarm system is required to Alarm system is required

ensure proper operation of to ensure proper
the fans. operation of the fans.
If fan speed is variable, If fan speed is variable,

then verify fan speed then verify fan speed
Every 8hrs or after any Every 8hrs or after any
change. change.
G3.7 1.4 Quench Media Process Parameters - Gas

2.12
Pressure in quench vestible Monitor each load. Alarm system is required
Fan speed or power Monitor each load. Alarm system is required
Cooling water temperature and flow rate Monitor each load. Alarm system is required
G3.8 1.4 Monitor time in furnace, cycle time or belt speed. Each batch Twice/shift & after any
G3.9 1.4 Monitor load size or fixturing or loading rate as Each batch Twice/shift & after any
G3.10 1.4 Quench Delay Time - Each batch Not applicable for belt
2.12 Quench delay time shall be based on the time that the furnaces.
furnace door starts to open to the time the load is at
the bottom of the quench tank (oil) or the start of the
gas pressure quenching (gas quench).
4.0 IN-PROCESS/FINAL TEST FREQUENCIES
G4.1 1.4 Microstructure shall be checked at a minimum Per customer requirement Per customer requirement
2.15 magnification of 100x and, 400x or above 400x. as specified in control plan. as specified in control
Microstructural visual references shall be available. plan.
G4.2 Mechanical Testing (when specified) Each Lot Each Lot

G4.3 1.4 Apparent hardness Each batch Every 4 hours
2.15
CQI-9

Question #
G4.4 1.4 Core hardness (when specified) Each batch Every 4 hours
2.15
CQI-9
PROCESS TABLE H - Ion Nitriding Version 3, Issued 10/11
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 requirements.
Please note that the corresponding gas nitriding is Table "B" and the Plasma Ion Nitriding is is Table "H"
Item # Related HTSA Category/Process Steps Table H is NA

Question #
H1.1 3.1 All vessels shall have temperature, flow meters, vacuum gages, and gas flow indicating instruments.
3.7
H1.2 3.1 Data loggers and/or Recording instruments are required for temperature, pressure, amps and volts. Amps and volts are referance only. Frequency is per
3.7 customer and control plan
H1.3 1.18 Vessel is to be free of contamination that may affect the process.
H1.4 3.2 Vacuum gages are to be calibrated a minimum of annually.
H1.5 3.2 Gas ratios controller / meters shall be calibrated / verified as recommended by the manufacturer. As an option gas composition may be analyzed using gas
mixture analyzer semi- annually and calibrated as recommended by the manufacturer.
H1.6 2.16 All hardness test equipment (for each scale used) shall be calibrated annually minimum, and verified daily or prior to use, per the applicable ASTM standard,
ISO standard, JIS standard, or approved standard.
H1.7 2.16 Files for testing hardness, if used, shall be verified per the Customer requirement.

H2.1 3.2 Thermocouples and calibration of thermocouples shall conform to Section 3.1.
3.3
H2.2 3.2 Pyrometry Instrumentation and Calibration of instrumentation shall conform to Section 3.2.
3.3
H2.3 3.2 Protection Tubes for thermocouples in the vessels, if used, shall be visually checked for each batch.
3.3
H2.4 3.4 Temperature Uniformity Survey (TUS) and Systems Accuracy Test (SAT) are not required.
In lieu of TUS & SAT, Temperature ranges shall established during preproduction testing usining multiple thermocouples representing the work zone and
confirmed in the capability study and documented in the Control Plan for each part.
H2.5 3.5 Temperature shall be controlled with thermocouples in the load for each batch placed as practical to represent the extremes of the load (max and min
temperatures) as evidenced by recording.
H2.6 3.2 Infrared pyrometers shall be calibrated annually using proper calibration methods or an approved manufacturer's procedure.
3.0 PROCESS MONITOR PARAMETERS FREQUENCY OK / NOK / NA

H3.1 1.4 Monitor temperature control instrument(s). Each batch or recording per see H1.2 above with sign-off every 2
2.14 hours. Alarm systems satisfy the sign-off requirement. Control
plan to include the lose of a thermocouple during the run and alarm
settings. Alarms are to be checked quarterly and alarms during the
cycle are to be documented.
H3.2 1.4 Monitor vessel vacuum control(s). Each batch or recording per see H1.2 above with sign-off every 2
2.14 hours. Alarm systems satisfy the sign-off requirement. Control
3.7 plan to include the alarm setting. Alarms are to be checked quarterly
and alarms during the cycle are to be documented.
H3.3 1.4 Pump down of 75 microns per hour or less and leak up of 90 microns per hour or less Each Batch
2.11 are required prior to initiating the cycle
2.12
H3.5 1.4 Monitor time in furnace, cycle time. Each batch

2.14
H3.6 1.4 Monitor load size or fixturing as applicable. Each batch
2.7
4.0 IN-PROCESS/FINAL TESTS FREQUENCY OK / NOK / NA
H4.1 1.4 Microstructure characteristics including compound zone and etched zone shall be Each Batch
2.15 checked. Microstructure shall be checked at a minimum magnification of 100x and,
400x or above 400x. Microstructural visual references shall be available.
H4.2 1.4 Surface hardness Each Batch

2.15
H4.3 1.4 Core hardness (when specified) Each Batch
2.15
H4.4 1.4 Case depth (when specified) Each Batch
2.15
5.0 SOLUTION TESTS FREQUENCY OK / NOK / NA
H5.1 2.13 Rust Preventive - Soluble Oil
Concentration - when not purchased as a mixed solution 2x / week or as appropriate for cleaning the parts or per customer
and Control Plan
H5.2 2.11 Washers

Concentration of cleaner Daily or as appropriate for cleaning the parts or per customer and
Control Plan
Temperature of solution (required if temperature is specified to be above ambient Each shift or as appropriate for cleaning the parts or per customer
temperature). and Control Plan
59

Example CQI 9 3rd Ed May 2014 5th

Uploaded by

Copyright:

Available Formats

Example CQI 9 3rd Ed May 2014 5th

Uploaded by

Document Information

Original Description:

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Example CQI 9 3rd Ed May 2014 5th

Uploaded by

Copyright:

Available Formats

CQI-9

Special Process: Heat Treat System Assessment

Special Process: Heat Treat System Assessment

Facility Name: Hudapack Metal Treating

Phone Number: 262-723-3345 Type(s) of Thermal Processing at this Facility:

Date of Previous Assessment: 1-May-2013

Process Table C - Aluminum

Process Table D - Ferrous

Current Quality Certification(s): ISO 9001 2008

Date of Re-assessment (if necessary): 3/16/2016

Number of "Needs Immediate Action" Findings:

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

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

Section 1 - Management Responsibility & Quality Planning

To ensure readily available expertise, there shall

The organization shall incorporate a documented

The organization shall incorporate the use of a

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

The organization shall incorporate the use of a

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

To ensure all customer requirements are both

The heat treater shall have written process

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

To demonstrate each process is capable of

The analysis of products and processes over time

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

Management shall review the furnace monitoring

Are internal assessments

The OEM shall be notified when parts are

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

The quality management system shall include a

The heat treater shall define a process for

Does the Quality Manager or

There shall be procedures or work instructions

The organization shall provide employee training

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

The organization shall maintain a responsibility

The organization shall have a documented

Maintenance data shall be collected and analyzed

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

Has the Heat Treater

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

Section 2 - Floor and Material Handling Responsibility

Procedures for part and container identification

Out-going lot(s) shall be traceable to the incoming

The control of suspect or non-conforming product

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

Heat-treating furnaces and other processing

Containers handling customer product shall be free