Heat Treat System Assessment

CQI-9
Special Processes: Heat Treat Systems Assessment

Version 3, Issued 10/11
Special Process: Heat Treat System Assessment
Facility Name: STATE HEAT TREATING

Address: 520 32ND ST. SE. GRAND RAPIDS, MICHIGAN 49548
Number 616-243-0178 Type(s) of Thermal Processing at this Facility:

Fax Number: 616-243-6337 Process Table A - Ferrous
Carburizing X
Number of Heat Treat Employees at this Facility: 20 Carbonitriding X
Carbon Correction X
Captive Heat Treater N Neutral Hardening X
(Y/N):
Quench & Temper X
Commercial Heat Y Tempering x
Treater
Precipitation Hardening / Aging X
Date of Assessment: Decemebr 2016
Date of Previous Jamuary 2016

Assessment:
Process Table C- Aluminum
Aluminum Heat Treat x
Process Table E
Annealing X
Normalizing x
Stress-Relieving x
Current Quality ISO 9001:2008 REGISTRATION

Certification(s):
Date of Re-assessment (if necessary):
Personnel Contacted:
Name: Title: Phone: Email:
PAUL MEENGS V.P. OF OPERATIONS 616-243-0178 paulm@stateheattreating.com
KAREN GROENDAL QUALITY MANAGER 616-243-0178 kgroendal@garichards.com
Jesse Massengill President 865-567-1697 jmassengill@garichards.com
Auditors/Assessors:
Name: Company: Phone: Email:
Number of "Not Satisfactory" Findings:

0
Number of "Needs Immediate Action" Findings:
0
Number of "Fail" Findings in the Job Audit(s):
0
Page 1
CQI-9
Section4JobAudit 92716KG
JobIdentity:
Customer: CooperFoundry,Inc.
ShopOrderNumber: 388533
PartNumber: S66123
PartDescription: CastingS,STR,A
Material: A356
HeatTreatRequirements: BHN7095
Question Related Customeror Job(Shop)Order Actual Pass/

JobAuditQuestion
# HTSA Internal orReference
Incoming Condition Fail/
4.1 Arecontract 1.2 Yes,CPW,
Customer paperwork.P.O.
review,advance 1.3 kept Pass
requirment byshippingand
qualityplanning, 1.4 electronic
Doestheheattreat receiving All
4.2 1.5 Customer N/A Printcopy
facilityhavethe Pass
requirment attached
customer
4.3 Isashoptraveler 1.6 Job#388533 Copy
Pass
createdtomeet 2.1 attached
4.4 Ismaterial 2.2 Productidentified Attachedto
identification(part 2.3 bycustomerpart container, Pass
numbers,lot 2.4 numbers,lot loadmarker
numbers heat b d ih
4.5 Isthere 2.1 Internalall Received9/26/16 Received
documented linesonP.O Job#388533 Stampon Pass
evidenceof are CSP#19 incoming
4.6 AretheLoading/ 1.6 Internal Job#388533 W/O Pass
Racking 27 instructions attached
4.7 Istheproperrecipe 1.5 Racking, Job#388533 Job#388533
orprocess 1.6 Solution, requirementsand attached
specification(cycle 2.1 Straighten, settingslocated Pass
times,temperature, 2.14 age,hand atthebottom
atmosphere,etc.) 2.15 load
used? Refer to
4.8 2.15 BHN7095
Whatarethe
productinspection
requirements?
Page 2
CQI-9

JobAuditQuestion
# HTSA Internal orReference Condition Fail/
4.8.1 Requirement:(1) Surface Job#388533 W/Oattached Pass
TestMethod: BHN
Testfrequencyor 3pcperorder
quantity:
Selectionof Random
samples:
Specification: BHN7095
4.8.2 Requirement:(2)
TestMethod:
Testfrequencyor
quantity:
Selectionof
samples:
Specification:
TestMethod:
Testfrequencyor
quantity:
Selectionof
samples:
Specification:
TestMethod:
Testfrequencyor
quantity:
Selectionof
samples:
Specification:
OperatororInspectorResponsibilities
4.9 Wereappropriate 1.4 Job#388533 Yes,W/O Pass
processsteps 2.2 attached
i d ff? 23
Page 3
CQI-9

JobAuditQuestion
4.10 Wereallinspection 1.2 Job#388533 Yes,W/O Pass
steps,as 1.4 attached
documentedinthe
controlplan
performed?
4.11 Were 1.2 No Pass
steps/operations 1.4
performedthat 1.6
werenot
documentedinthe
controlplan?
4.12 Ifadditionalsteps 1.2 No Pass
wereperformed, 1.4
werethey 1.6
authorized? 1.11
1.17
4.13 1.11 No Pass
Doesthegoverning
specificationallow
reprocessingor
rework?
4.14 Iftheorderwas 2.14 N/A

certified,didthe 2.15
certification
accuratelyreflect
theprocess
performed?
4.15 1.17 N/A
Wasthe
certificationsigned
byanauthorized
individual?
Page 4
CQI-9

JobAuditQuestion
4.16 Arethepartsand 2.6 Visualinspection Yes Pass
containersfreeof 2.11
inappropriate
objectsor
contamination?
Packaging
Requirements
4.17 Arepackaging 2.9 Job#388533 1/Tub Pass
requirements
identified?
4.18 2.9 Special Job#388533 Pass
Arepartspackaged packaging.Job attached
tominimizemixed #388533
parts(forexample,
partspackedover
heightof
container)?
Shipping
Requirements
4.19 Weretheparts 2.3 Visualinspected Yes Pass
properlyidentified? 2.9
4.20 containersproperly 2.3 W/O#388533Visuallyve Yes Pass
Page 5
CQI-9
Section 4 - Job Audit 9-27-16 KG
Job Identity:
Customer: Williams Form Engineering
Shop Order Number: 388526
Part Number: Coupling 36M2D 1 3/8
Part Description: Coupler - H, T
Material: 1045
Heat Treat Requirements: HRC 25-38
Related Customer or Internal Job (Shop) Order or Reference Actual Condition Pass / Fail /
Question # Job Audit Question
HTSA Question # Requirement Documentation Requirement (Objective Evidence) N/A
4.1 Are contract review, advance 1.2 Incoming paperwork. P.O. by Pass
quality planning, FMEA, control 1.3 shipping and receiving.All Yes, CPW, kept
plans, etc., performed by 1.4 Customer requirment
process, FMEA, Planning done by electronic
qualified individuals? 1.17 Engineering
4.2 Does the heat treat facility have 1.5 Customer requirment N/A Print- copy attached Pass
the customer specifications for
the part?
4.3 1.6 Job # 388526 Copy attached Pass
Is a shop traveler created to 2.1
meet customer requirements?
4.4 Is material identification (part 2.2 Product identified by customer Attached to container Pass
numbers, lot numbers, heat 2.3 part numbers, lot numbers and
numbers, contract numbers, 2.4 tags. After receiving parts
etc.) maintained throughout the identified by work order. Load
heat treat process? markers during process.
4.5 2.1 Received 9/26/16 Job # 388526 Received Stamp on Pass
Is there documented evidence CSP#7 incoming Paperwork.
of Receiving Inspection? Copy attached
4.6 1.6 Job # 388526 W/O attached Pass

Are the Loading / Racking
2.7
requirements identified?
2.9
4.7 1.5 Harden, wash, temper, W/O 388526, requirements and Job # 388526 Pass
Is the proper recipe or process 1.6 special pack settings located at the bottom attached
specification (cycle times, 2.1
temperature, atmosphere, etc.) 2.14
used? Refer to Process 2.15
Tables, Section 3.0, for specific
parameters. List parameters
that were verified in this audit in
the spaces provided below.
4.8 What are the product inspection 2.15 HRC 25-38

requirements?
4.8.1 Requirement: (1) Surface Job # 388526 W/O attached Pass
Test Method: HRC
Test frequency or quantity: 3pc per order
Selection of samples: Random
Specification: HRC 25-38
4.8.2 Requirement: (2)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Test Method:
Specification:
Page 6
CQI-9

Test Method:
Specification:
Operator or Inspector Responsibilities
4.9 Were appropriate process steps 1.4 Job # 388526 Yes, W/O attached Pass
signed off? 2.2
2.3
2.14
4.10 Were all inspection steps, as 1.2 Job # 388526 Yes, W/O attached Pass
documented in the control plan 1.4
performed?
4.11 Were steps/operations 1.2 No Pass
performed that were not 1.4
documented in the control 1.6
plan?
4.12 If additional steps were 1.2 No Pass
performed, were they 1.4
authorized? 1.6
1.11
1.17
4.13 Does the governing 1.11 No Pass
specification allow reprocessing
or rework?
4.14 2.14 N/A
If the order was certified, did the
2.15
certification accurately reflect
the process performed?
4.15 Was the certification signed by 1.17 N/A
an authorized individual?
4.16 Are the parts and containers 2.6 Visual inspection Yes Pass
free of inappropriate objects or 2.11
contamination?
Packaging Requirements
4.17 Are packaging requirements 2.9 Job#388256 1/Tub Pass
identified?
4.18 Are parts packaged to minimize 2.9 Special packaging. Job #388256 Job # 388256 Pass
mixed parts (for example, parts attached
packed over height of
container)?
Shipping Requirements
4.19 Were the parts properly 2.3 Visual inspected Yes Pass
identified? 2.9
Were the containers properly 2.3
2.9 W/O #388256 Visually verified Yes Pass
4.20 labeled?
Page 7
CQI-9
Assessment
Needs
Number Question Requirements and Guidance Objective Evidence N/A Satisfactory Not Satisfactory Immediate
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 organization chart. A
Is there a dedicated and job description shall exist identifying the qualifications Paul meengs has 45 + years of heat treating
1.1 qualified heat treat
person on-site?
for the position including metallurgical and heat treat
knowledge. The qualifications shall include a
experience. Francisco Juan has 22 years.
Karen Groendal is in training.
x
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.
Page 8
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Assessment
Needs
Action
The organization shall incorporate a documented

advance quality planning procedure. A feasibility
study shall be performed and internally approved for
Every new part is reviewed and processed
each part. Similar parts can be grouped into part
per a generic FMEA and CONTROL plan.
Does the heat treater families for this effort as defined by the organization.
Every part receives its own process with all
1.2 perform advanced After the part approval process is approved by the
changes and modifications recorded. See x
quality planning? customer, no process changes are allowed unless
work instructions 7-10-102 Quality Planning,
approved by the customer. The heat treater shall
7-20-603 Changes to requirements.
contact the customer when clarification of process
changes is required. This clarification of process
changes shall be documented.
Page 9
CQI-9
Assessment
Needs
Action
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 family
or they may be process-specific and written for each FMEA's are done for families of parts and
Are heat treat FMEA's
process. In any case, they shall address all process process's. Each plan is reviewed yearly with
1.3 up to date and reflecting
current processing?
steps from part receipt to part shipment and all key all changes recorded on the FMEA..All books x
heat treat process parameters as defined by the are located in Pauls office.
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.
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CQI-9
Assessment
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Action
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 the
Are heat treat process Control plans are done for part/process
organization.
control plans up to date families. Each plan is reviewed yearly with all
1.4
and reflecting current
A cross-functional team, including a production
operator, shall be used in the development of Control
changes recorded on the control plan. Books X
processing? are kept in Pauls office.
Plans, which shall be consistent with all 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.
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Assessment
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Action
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, General Motors, Ford, and All specifications used for any given process
Are all heat treat related DaimlerChrysler. The organization shall have a will be indicated on the control plan and will
and referenced process to ensure the timely review, distribution, and be updated along with the review of the plan
specifications current implementation of all customer and industry at its yearly review. All customer
and available? For engineering standards / specifications and changes specifications will be reviewed at receipt and
1.5 X
example: SAE, AIAG, based on customer-required schedule. Timely review will not be controlled. Print revisions, if
ASTM, General Motors, should be as soon as possible and shall not exceed provided, will be recorded on our internal
Ford, and two working weeks. The organization shall document process and verified at order entry. Should
DaimlerChrysler. this process of review and implementation, and it any changes be needed Paul will update
shall address how customer and industry documents CPW to reflect any requested changes.
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.
Page 12
CQI-9
Assessment
Needs
Action
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
Each part is entered into a computer data
include process temperatures, cycle times, load rates,
base and has its own individual process.
atmosphere or gas flow settings, belt speeds, quench
Along with the process is all routing and
Is there a written agitation speeds, etc. Such parameters shall not only
process parameters and any special
1.6 process specification for be defined, they shall have operating tolerances as X
instructions. Process Variables specific to
all active processes? defined by the organization in order to maintain
each piece of equipment is posted at the
process control.
control panel for operator review. See 7-10-
All active processes should have a written process
102 Quality planning.
specification.
These process specifications may take the form of
work instructions, job card, computer-based recipes,
or other similar documents.
Page 13
CQI-9
Assessment
Needs
Action
To demonstrate each process is capable of yielding

acceptable product the organization shall perform
product 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 product capability studies shall be
conducted for all heat treat processes per furnace line
defined in scope of work & in accordance with
Has a valid product We do capability studies on each furnace line
customer requirements. A furnace line may include a
capability study been for each process family that is associated
combination of equipment that is integrated in the
performed initially and with that line. We also do capability studies
1.7 performance of a heat treatment process, e.g., X
after process equipment at level 2 inpections,Operators will also do
hardening, quenching, and tempering. Capability
has been relocated, or capability studies if they runout of room on
study techniques shall be appropriate for the heat
had a major rebuild? work orders.
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.
Page 14
CQI-9
Assessment
Needs
Action
The analysis of products and processes over time can

Ongoing data collection is done on significant
yield vital information for defect prevention efforts.
parameters for each process family. Each job
Does the heat treater The organization shall have a system to collect,
that does not meet the requirements is
collect and analyze data analyze, and react to product or process data over
recorded on a Problem Analysis and
1.8 over time, and react to time. X
reviewed at ISO management meetings. See
this data? Methods of analysis shall include ongoing trend or
8-50-301 Problem Analysis, 8-30-304 Work
historical data analysis of product or process
in process rejection. all problem analysis is
parameters. The organization shall determine which
kept electronicky.
parameters to include in such analysis.
Management shall review the furnace monitoring

systems at intervals not to exceed 24 hours. The
heat treat monitoring system includes but is not
Is management limited to temperature strip charts, atmosphere strip
reviewing the heat treat charts, computer data logs, furnace and operator
All equipment with electronic data collection
1.9 monitoring system every logs, etc. X
is reviewed daily via computer.
24 hours? The management review shall include efforts to 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.
Page 15
CQI-9
Assessment
Needs
Action
Are internal
assessments being The organization shall conduct internal assessments
The Heat Treat Porcess Assessment is
1.10 completed on an annual on an annual basis, at a minimum, using the AIAG X
reviewed and updated yearly.
basis, at a minimum, HTSA.
using AIAG HTSA?
Page 16
CQI-9
Assessment
Needs
Action
The quality management system shall include a

documented process for reprocessing that shall
include authorization from a designated individual. Any part processed that does not meet the
The reprocessing procedure shall describe product customers spec is placed on hold and
characteristics for which reprocessing is allowed as reviewed by authorized people.A rework
Is there a system in well as those characteristics for which reprocessing is instruction is required for reprocessing. All
place to authorize not permissible. reworked parts are final inspected byplant
1.11 X
reprocessing and is it Any reprocessing activity shall require a new manager or quality.All rework instructions
documented? processing control sheet issued by qualified technical and results are documented on a new work
personnel denoting the necessary heat treat order and recorded. See 8-30-303 Control of
modifications. Records shall clearly indicate when reworked product, 8-30-302 Disposition of
and how any material has been reprocessed. The nonconforming.
Quality Manager or a designee shall authorize the
release of reprocessed product.
Page 17
CQI-9
Assessment
Needs
Action
Does the Quality The quality management system shall include a

All internal and external problems are put
Department review, process for documenting, reviewing, and addressing
on a Problem Analysis and dealt with through
1.12 address, and document customer concerns and any other concerns internal to X
our internal review process. See 8-21-601
customer and internal the organization. A disciplined problem-solving
Customer satisfaction.
concerns? approach shall be used.
The heat treater shall define a process for continual The review of the Control Plan and FEMA will
Is there a continual improvement for each heat treat process identified in show what is being done to improve quality
improvement plan the scope of the HTSA. The process shall be and will be shown by the rpn numbers going
applicable to each designed to bring about continual improvement in lower with given improvements. Any major
1.13 X
process defined in the quality and productivity. Identified actions shall be Continual Improvement project will be
scope of the prioritized and shall include timing (estimated controlled by Work Instruction 8-50-306
assessment? completion dates). The organization shall show Continuous Improvement. This is also tied to
evidence of program effectiveness. the Porblem analysis process.
Page 18
CQI-9
Assessment
Needs
Action
Does the Quality Quality manger and plant manager are

Manager or designee The Quality Manager is responsible for authorizing authorized to release "ON HOLD" product
1.14 authorize the disposition and documenting appropriate personnel to disposition and will document this on the new rework X
of material from quarantine material. work order or a Material Deviation report.
quarantine status? See 8-30-303 Control of reworked product.
There shall be procedures or work instructions

available to heat treat personnel covering the heat
Are there procedures or treating process. These procedures or work
work instructions instructions shall include methods of addressing All elements of our process flow have written
available to the heat potential emergencies (such as power failure), procedures and are part of all employees
1.15 X
treat personnel that equipment start-up, equipment shut-down, product training. We have these instructions available
define the heat treating segregation (See 2.8), product inspection, and for review to all operators.
process? general operating procedures. These procedures or
work instructions shall be accessible to shop floor
personnel.
Page 19
CQI-9
Assessment
Needs
Action
The organization shall provide employee training for

all heat treating operations. All employees, including
Training starts from day 1 and is ongoing and
backup and temporary employees, shall be trained.
Is management fully documented. Each employee has an
Documented evidence shall be maintained showing
providing employee ongoing Employee Qualification on file with
1.16 the employees trained and the evidence shall include X
training for heat new levels added as required. All employees
an assessment of the effectiveness of the training.
treating? go through training and testing. See WI-6-
Management shall define the qualification
001-F
requirements for each function, and ongoing or follow-
up training shall also be addressed.
The organization shall maintain a responsibility matrix

Is there a responsibility
identifying all key management and supervisory
matrix to ensure that all
functions and the qualified personnel who may We have an Organized back up chart. With
key management and
1.17 perform such functions. It shall identify both primary listed essential daily jobs and qualitied X
supervisory functions
and secondary (backup) personnel for the key personnel
are performed by
functions (as defined by the organization). This matrix
qualified personnel?
shall be readily available to management at all times.
Page 20
CQI-9
Assessment
Needs
Action
The organization shall have a documented preventive

maintenance program for key process equipment (as
identified by the organization). The program shall be a
closed-loop process that tracks maintenance efforts
from request to completion to assessment of
effectiveness. Equipment operators shall have the
Is there a preventive A full and complete preventive maintenance
opportunity to report problems, and problems shall
maintenance program? program (Minimizer) is written and used. All
also be handled in a closed-loop manner.
Is maintenance data maintenance purchasing and inventory is
Company data, e.g., downtime, quality rejects, first-
1.18 being utilized to form a maintained within this program. All critical X
time-through capability, recurring maintenance work
predictive maintenance parts are listed and purchased from
orders, and operator-reported problems, shall be used
program? approved suppliers only. See WI-7-002-B
to improve the preventive maintenance program.
Approved suppliers.
Furnaces and generators shall be scheduled for burn-
out at frequencies determined by the organization
(see Section 1 of the Process Tables).
Maintenance data shall be collected and analyzed as
part of a predictive maintenance program.
Has the Heat Treater

developed a critical
The heat treater shall develop and maintain a critical
spare part list and are
1.19 spare parts list and shall ensure the availability of See 1.18 X
the parts available to
such parts to minimize production disruptions.
minimize production
disruptions?
Page 21
CQI-9
Assessment
Needs
Action
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.
All incoming product is reviewed for accuracy
Does the facility ensure Documented processes and evidence of compliance
at receiving. All information provided is
that the data entered in shall exist, e.g., shop travelers, work orders, etc.
verified with our process and recorded on the
the receiving system Sometimes the material received does not precisely
2.1 customers document. Any discrepancies are X
matches the information correspond to customer shipping documents. The
documented and product is placed on hold
on the customer's facility shall have a detailed process in place to
pending a review by Management . See WI-7-
shipping documents? resolve receiving discrepancies.
001-C and WI-7-001-D
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.
Page 22
CQI-9
Assessment
Needs
Action
Procedures for part and container identification help

to avoid incorrect processing or mixing of lots.
All product is staged in set areas waiting for
Appropriate location and staging within the facility
processing. During process it is identified by
Is product clearly also help to ensure that orders are not shipped until
load tags and with the work order. All
identified and staged all required operations are performed. Customer
2.2 finished product is in a "done ready to ship" X
throughout the heat treat product shall be clearly identified and staged
area with all parts identified with the work
process? throughout the heat treat process. Non-heat treated,
order. SeeWI-7-003 A Work order/data sheet
in-process, and finished product shall be properly
guide lines.WI-7-003 B
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

All lots have their own work order. All work
Is lot traceability and lot(s).
orders are kept separate during processing
integrity maintained The discipline of precisely identifying lots and linking
2.3 and will remain so during shipment back to X
throughout all all pertinent information to them enhances the ability
the customer. See WI-7-003-B
processes? to do root cause analysis and continual improvement.
CSP, WI-7-003 A
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CQI-9
Assessment
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Action
The control of suspect or non-conforming product is

necessary to prevent inadvertent shipment or
contamination of other lots. Procedures shall be
Are procedures All product that does not meet the customers
adequate to prevent movement of non-conforming
adequate to prevent specifications will be red tagged / and or
product into the production system. Procedures shall
2.4 movement of non- rejected on the work order and placed in the X
exist addressing proper disposition, product
conforming product into "hold area" See WI-8-002 Control
identification, and tracking of material flow in and out
the production system? nonconforming.
of the hold area. A non-conforming hold area shall be
clearly designated to maintain segregation of such
material.
Heat-treating furnaces and other processing

equipment contain areas that have a risk of trapping
Is there a system to or holding parts. Such trapping of parts can lead to
identify trap points in the damage, improperly processed parts or lot
entire heat treat process mixing/contamination. A system shall exist to identify
The preventative maintenance program
to reduce risk of mixed trap points in the entire heat treat process to reduce
2.5 generates a work order for a review of each X
parts (inappropriate, non-risk of mixed parts (inappropriate, non-heat treated, or
lines operation.
heat treated, or improperly heat treated parts). The heat treater shall
improperly heat treated have documented procedures to identify and monitor
parts)? trap points for each process/equipment. Monitoring of
potential trap points shall occur for every part
changeover.
Page 24
CQI-9
Assessment
Needs
Action
Containers handling customer product shall be free of

inappropriate material. After emptying and before re-
Each container is removed from the loading
using containers, containers shall be inspected to
area and looked at prior to returning to the
Are containers free of ensure that all parts and inappropriate material have
2.6 finished parts area. Any foreign material is X
inappropriate material? been removed. The source of inappropriate material
removed. Small parts are loaded into plastic
shall be identified and addressed. This is to ensure
bags lining the container.
that no nonconforming heat treated parts or
inappropriate material contaminate the finished lot.
All process's have loading requirements

Furnace loading parameters shall be specified,
documented on the work order. The operator
Is furnace loading documented, and controlled. Examples include feed
logs the loading on the furnace log each
2.7 specified, documented rate, belt speed, number of parts per fixture, and load X
order and at shift change. This is verified by
and controlled? weight. Refer to Process Tables, Section 3.0, for
shift supervisor and reviewed by
frequency of checks.
management daily. SeeWI-7-003 Production
Page 25
CQI-9
Assessment
Needs
Action
Unplanned or emergency downtime greatly raises the

risk of improper processing. Operators shall be
trained in material handling, containment action, and
Are operators trained in
product segregation in the event of an equipment
material handling,
emergency including power failure. Training shall be Our Work in Process rejection procedure
containment action and
documented. Work instructions specifically covers all nonconforming situations and is
2.8 product segregation in X
addressing potential types of equipment emergencies part of all employees regular training. See WI-
the event of an
and failures shall be accessible to and understood by 8-002 Controlling Non conforming.
equipment emergency
equipment operators. These instructions shall
including power failure?
address containment actions related to all elements of
the heat-treating process, e.g., loading, astatizing,
quenching, tempering.
Page 26
CQI-9
Assessment
Needs
Action
Handling, storage, and packaging shall be adequate

to preserve product quality. The heat treaters
furnace loading system, in-process handling, and Each process that is assessed to potentially
Is the handling, storage shipping process shall be assessed for risk of part damage a part during transport, loading,
and packaging adequate damage or other quality concerns. processing, unloading and transport has
2.9 X
to preserve product Some equipment includes conveyors and other special processing for hand load, hand
quality? moving components that may not be able to handle all unload, special racking instructions, and / or
part configurations. Other practices such as stacking special shipping instructions. WI-7-001
of overloaded containers can also increase the risk of
part damage.
Plant cleanliness, housekeeping, environmental, and

working conditions shall be conducive to controlling A plant survey is done by an internal auditor
Are plant cleanliness,
and improving quality. The heat treater should monthly to evaluate the plant for building
housekeeping,
evaluate such conditions and their effect on quality. A maintenance, lighting, cleanliness, and
environmental and
2.10 housekeeping policy shall be clearly defined and organization using Condition of facility form X
working conditions
executed. The facility shall be reviewed for conditions see WI-6-002 A . This is a management
conducive to control and
that are detrimental to quality processing such as review measurable, see WI-6-001
improved quality?
loose parts on floor, oil around quench tanks, Infrastructure.
inadequate plant lighting, smoke, etc.
Page 27
CQI-9
Assessment
Needs
Action
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
Any part with detrimental amounts of oils or
documented. Oils and other contaminants or
Are parts free from drawing compounds are prewashed and all
residues can be difficult to remove once subjected to
contaminants that would product is post washed prior to temper. All
the heat treatment process. Review the chemical
2.11 be detrimental to the washers are on a preventive maintenance X
suppliers recommendation for cleaning the system.
heat treatment of the program and checked daily, . All washer
Parts shall be free of rust, burrs, chips, detrimental
product? concentrations are verified by the soap
amounts of drawing compound, cutting fluids, rust
supplier quarterly or as needed.
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.
Page 28
CQI-9
Assessment
Needs
Action
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 the
heat treater's specifications. Refer to Process The oil levels are checked manually every
Tables, Sections 3.0 and 5.0, for frequency of checks. day. All levels are recorded and documented
Is the quenching system
Computer-monitoring equipment, with alarms and on the pm request. The temperature,
2.12 monitored, documented, X
alarm logs, satisfy the verification requirement. agitation speed, time in the quench are all
and controlled?
Quench delay tolerance and alarm is required for automatically controlled. All furnaces have
furnaces with integral quench tanks. Temper delay high temp alarms
time shall be specified by the heat 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
Is soluble oil or other treating process. Soluble oil solutions or other rust The rust prevention is controlled by new
rust preventive preventive solutions shall be monitored and additions of product and by supplier once
2.13 x
monitored and controlled, if applicable. The heat treater shall have every 6 months. Maintenance puts out a
controlled if applicable? and maintain documented tolerances for the work order for this.
solutions. Refer to Process Tables, Section 5.0, for
frequency of checks.
Page 29
CQI-9
Assessment
Needs
Action
Process control parameters shall be monitored per

frequencies specified in Process Tables. Refer to
Are process control All required process control parameters are
Process Tables, Section 3.0. Computer monitoring
parameters monitored continuously recorded and signed off by the
equipment with alarms and alarm logs satisfy the
2.14 per frequencies operator at shift change at least every 8 X
verification requirement. A designated floor person
specified in Process hours. This is recorded on furnace log
shall verify the process parameters, e.g., by initialing
Tables? sheets.
a strip chart or data log. Management review is
required per Question 1.9.
Are In-Process / Final

In-Process / Final Test Frequencies shall be Yes, there is an inspection sampling plan at
Test Frequencies
2.15 performed as specified in Process Tables. Refer to every work station which matches or X
performed as specified
Process Tables, Section 4.0. surpasses section 4 table
in Process Tables?
Product test equipment shall be verified. Test

equipment shall be verified/calibrated per applicable
An outside service does the calibrations on
customer-specific standard or per an applicable
all test equipment semi-annually. All test
Is product test consensus standard such as those published by
2.16 equipment is verified internally on a daily X
equipment verified? ASTM, DIN, EN, ISO, JIS, NIST, SAE etc.
basis. See WI-7-001 E, G, I . Also WI-6-002
Verification/calibration results shall be internally
B. all I kept electronicky
reviewed, approved, and documented. Refer to
Process Tables, Section 1.0, for frequency of checks.
Section 3 - Equipment
Page 30
CQI-9
Assessment
Needs
Action
The heat-treat furnaces, generators, and quench

Do furnaces, systems shall have proper process controls and All equipment has automatic temperature
generators, and quench related equipment. Examples include temperature, controls, cycle timers, agitation control,
3.1 systems have proper carbon potential/dew point, gas flows, quench carbon control, oil temperature and flow X
process control monitoring system including agitation, temperature scopes for each zone. All controls are
equipment? control and quenching oil analysis, etc. as listed in the calibrated semi-annually.
applicable Process Tables, Section 1.0.
The calibration and certification of the process

Are process equipment All calibrations are posted at/on the control or
equipment shall be checked at regular specified
calibrations and/or equipment being certified. All internal
3.2 intervals. Refer to the applicable Process Tables, X
verification certified, verifications are also posted at the
Sections 1.0 and 2.0, for equipment calibration or
posted, and current? equipment
certification time tables.
Are thermocouples & The thermocouples and protection tubes shall be

All thermocouples are changed out per our
protection tubes checked or replaced in compliance to a preventive
3.3 pm program semiannually. All protection X
checked or replaced per maintenance schedule. Refer to the applicable
tubes are evaluated at the same time.
Process Tables? Process Tables, Section 2.0.
Page 31
CQI-9
Assessment
Needs
Action
Temperature uniformity surveys shall be conducted

per the requirements in the applicable Process
We use the ongoing capability studies to
Are temperature Tables, Section 2.0. The frequency reductions
assure ourselves that the equipment can
uniformity surveys allowed in AMS 2750D are not allowed under this
meet the requirements. TUS surveys are
3.4 performed per document. Certain furnace designs, e.g., rotary X
preformed per requirements of CQI-9 or
requirements in Process retorts preclude direct temperature profiles. Alternate
better. Continual improvement project
Tables? test methods per AMS 2750D 3.5.15 are acceptable
budgeted for 2017
for furnaces where temperature uniformity studies are
not possible.
Is the variation of the

The variation between the furnace-control
furnace controlled
thermocouple and the set point temperature shall be Data collection program shows the
thermocouple from set
3.5 within the limits defined in the applicable Process temperatures to be with-in the given range. X
point within the
Tables, Section 2.0. This does not apply to the first Calibrated to run with in CQI-9 requirements
requirements in the
zone of a multi-zone continuous furnace.
Process Table?
Are the process & The heat treater shall have a list of heat treat process
equipment alarm checks and equipment alarms. These alarms shall be All alarms are posted at each piece of
3.6 being tested quarterly or independently tested quarterly at a minimum, and equipment with a PM done quarterly to verify X
after any repair or after any repair or rebuild. These checks shall be all alarms.
rebuild? documented.
Page 32
CQI-9
Assessment
Needs
Action
Generator and furnace atmosphere carbon

potential/dew point shall be continuously monitored,
automatically controlled, and documented. This
requirement is specific to Process Table 1, Sections
1.0 and 3.0, for carburizing, carbonitriding, and
neutral hardening. Continuous monitoring and
automatic control of the carbon potential/dew point is
required for all generators and atmosphere furnaces
except rotary retort and shaker furnaces that preclude
in situ control and monitoring. For rotary retort and
shaker furnaces, the method described in AMS
2750D 3.5.15..2 "Property Surveys" shall be used to
ensure adequate control of the furnace atmosphere.
Are generators and All furnaces are automatically controlled and
If generators are not used, the flow rates of the
furnace atmospheres recorded. The carbon controllers are verified
supplied atmosphere gases shall be monitored and
3.7 continuously monitored, by dew point daily. The generators are X
controlled. The assessor shall verify the effectiveness
automatically controlled, monitored continuously and recorded. This is
of the atmosphere control system per customer
and documented? in maintnamizer.
requirements, the heat treaters control plan, and
internal procedures. The atmosphere control system
shall maintain the atmosphere dew point/carbon
potential set point within the parameters specified in
the control plan or internal procedures. The heat
treater shall have a back-up method of checking the
carbon potential/dew point. Examples are dew point,
electrical wire resistance, gas analysist, shim stock,
carbon bar, etc. The automatic and continuous
atmosphere control systems shall consist of sensors
such as oxygen probes or on-line Infared (IR) gas
analysis. See Process Table A, Sect. 3.0 for
verification frequencies.
Page 33
CQI-9
Assessment
Needs
Action
This issue is specific to Process Table 1, carburizing,

carbonitriding, and neutral hardening.
When the back-up verification check of the
atmosphere does not agree or 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. The back-
up atmosphere monitoring system reading and the
automatically controlled atmosphere dew point/carbon
When the back-up
potential reading shall be maintained within the
verification check of the
correlation limits specified in the control plan or
atmosphere does not
internal procedures. These range tolerances vary
agree or correlate within
with the specific heat treat process and the equipment All back-up checks are recorded on the data
pre-established limits
used. collection program and a maintenance work
with the primary control
The heat treater shall make appropriate technical order will record the problem and the
3.8 method (carbon X
adjustments and corrections and then re- correction. The data collection program will
potential/dew point
establish/demonstrate the correlation of the actual show the correlation between the two
reading), is correlation
atmosphere carbon potential/dew point reading to the readings.
of the carbon-bearing
primary control and back-up atmosphere reading.
atmosphere to the
The range tolerances for correlation between the two
primary control method
readings shall be in the control plan or internal
re-established?
procedures. The back-up carbon potential/dew point
reading shall be established using one or more of the
following methods:
Carbon bar or slug
Shim stock
3-gas analyzer
Dew point
Hot wire resistance
Page 34
CQI-9
Assessment
Needs
Action
All ammonia lines to furnaces shall be equipped with

quick disconnects or a three-valve fail-safe vent
system. Normal valves may allow ammonia to leak
through even when they are closed. This can be
undesirable and detrimental in heat treat processes
not specifying/requiring ammonia.
A quick disconnect shall be present in any ammonia
Are all ammonia lines
line going to a furnace. This line shall be All equipment with ammonia available have
equipped with quick
disconnected after carbonitriding (or any other quick disconnects installed and used. The
3.9 disconnects or a three X
process using ammonia) before another heat treating furnace log sheet will show the addition or
valve fail safe vent
operation not specifying/using ammonia begins. removal of the line.
system?
An alternative three-valve ammonia "fail-safe" vent
system is permitted. See the definition Three Valve
Fail-Safe Vent and diagram in the glossary.
Documentation shall show when ammonia lines are
disconnected for non-ammonia bearing atmosphere
processes.
This is applicable to fasteners and small metal parts.

The heat treater shall perform a minimum 3 hours
For fasteners and small oxidizing burn-out prior to processing product not
metal parts, is a requiring ammonia as an addition. Ammonia pick-up
minimum of 3 hours can be undesirable in parts and heat treat processes Procedure OI-008 instructs the operator to
3.10 allocated for an oxidizing not specifying/requiring ammonia as an addition. Log have the ammonia off for 4 hrs prior to X
burn-out prior to book, data logger, or other records shall document running any neutral harding work.
processing product not the actual oxidizing burn-out time and that sufficient
requiring ammonia? time has been allocated to remove ammonia from the
furnace prior to processing parts in heat treat
processes not specifying ammonia.
Page 35
CQI-9
Assessment
Needs
Action
All atmosphere furnaces and generators (output

Do all atmosphere trim/adjustment gas) shall have flow scopes or flow
furnaces and generators meters for all gases. Flow scopes and meters shall All furnaces and generators have flow
3.11 X
have flow scopes or flow be periodically serviced per the heat treater's scopes for all gases.
meters for all gases? preventive maintenance program. Cleaning and
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 if parts (thi
Is there a rigorous fail-
sincludes the combustion system maintenance/
safe at the front fo the
adjustments to ensure proper efficience and physical
furnace to prevent non-
limitations for part loading) then the heat treater shall
uniform loading of
have aninfrared temperature pyrometer at the exit
parts? In
end. The infared
absence of rigorous fail-
temperature pyrometers are required at the exit end All process load requirments on the
3.12 safe, are continous belt X
of the continuous belt furnace to monitor for under workorder.
furnaces equipped with
temperature parts. The temperature alarm shall be
sight glass inspection
with in 28 C (50 F)of ther furnace set point
ports and infared
temperature. Results shall be strip charted or
temperature pyrometers
continuosly data logged. Infrared temperatures
at discharge and of
pyrometers shall be calibrated annually at a minimum
hardening furnace?
and certified. All sight glasses shall be cleaned per
the preventive amintenance schedule.
Applicable to ferritic-nitrocarburizing, austempering,
and neutral hardening in salt.
Is salt chemistry in the The heat treater shall check the salt chemistry in the
3.13 austenitizing salt bath austentizing salt bath, or part decarburization, daily. n/a X
monitored? Refer to the applicable Process Tables, Section 3.0,
for frequency of checks.
Page 36
CQI-9
Assessment
Needs
Action
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.
Is the quenching All furnaces have the quenchant checked by
3.14 The quench media characteristic tolerances shall be X
medium analyzed? an outside lab 4 times per year.
specified by the quench medium supplier or the heat
treater.
Analysis shall be reviewed for conformance by the
heat treater. This review shall be documented.
Page 37
CQI-9
PROCESS TABLE A - Carburizing / Carbonitriding / Carbon Correction / Neutral Hardening / Austempering

/ Martempering / Tempering / Precipitation Hardening - Aging
All requirements given below are subordinate to customer specific requirements.
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.
** Does not apply to furnaces operating below 760C (1400F).
----- indicate "not applicable".
Item # Related HTSA Category/Process Steps Batch Continuous Generators

Question # Furnace Furnace *
1.0 PROCESS AND TEST EQUIPMENT REQUIREMENTS
A1.1 3.1 All furnaces, generators and quench systems shall have Yes Yes Yes
3.7 temperature indicating instruments.
A1.2 3.1 Continuous strip charts and/or data loggers are required for Yes Yes Yes
3.7 temperature and carbon monitoring unit, e.g., dew point,
oxygen probe, IR gas analyzer, etc.
A1.3 1.18 A program for furnace and generator burnout is required Yes Yes Yes
(applies to carbon bearing atmospheres).
A1.4 3.2 Furnace weigh scales shall be verified quarterly and calibrated Yes Yes -----
annually at a minimum.
A1.5 3.2 Dew pointers, 3-gas analyzers, spectrometers, and carbon IR ----- ----- -----
combustion analyzers (shim stock analysis), used to verify
carbon potential in furnaces, shall be calibrated annually at a
minimum.
A1.6 3.2 Verification of calibration of spectrometers, and carbon IR ----- ----- -----
combustion analyzers, shall be checked daily or prior to use.
A1.7 3.2 Verification of calibration of 3-gas analyzers with zero gas and ----- ----- -----
span gas shall be performed weekly at a minimum.
A1.8 3.2 Oxygen probe controllers shall be calibrated quarterly at a Yes Yes Yes
minimum.
A1.9 2.16 All hardness test equipment (for each scale used) shall be ----- ----- -----
calibrated semi-annually minimum, and verified daily minimum
per the applicable ASTM standard.
A1.10 2.16 Files shall be verified daily (or prior to use) with provers per ----- ----- -----
SAE J864.
A1.11 3.2 Refractometers (typically used to check polymer quenchants ----- ----- -----
and washer solutions) shall be verified daily (with distilled
water) and calibrated annually (per manufacturer's
requirements) at a minimum.
Page 38
CQI-9


2.0 PYROMETRY
A2.1 3.2 Thermocouples and calibration of thermocouples shall Yes Yes Yes
3.3 conform to AMS 2750D.
A2.2 3.2 Instrument Calibration per AMS 2750D shall be quarterly at a Yes Yes Yes
3.3 minimum.
Frequency reductions per AMS 2750D are not allowed.
A2.3 3.2 CQI-9 requires a comparative check of the control temperature Yes Yes Yes
3.3 sensor (CTS) in the Qualified Work Zone to a (1) calibrated
test temperature sensor (CTTS) or, (2) resident thermocouple
(R-T/C). (1) The CTS shall be within an operating temperature
range of +/- 5C (or +/-10F) of the CTTS. This check shall be
performed monthly. (2) Within the operating temperature
range the difference between the CTS and R-T/C readings
shall be no more than +/- 1C (or +/-2F) as determined at the
time of the most recent temperature uniformity survey. This
check shall be performed weekly. Any actions to correct a
failing reading or validate a test result shall be documented.
Additionally, Type K and N thermocouples shall be checked
monthly for equipment operating at or above 760C (1400F)
and changed annually at a minimum. Type K and N
thermocouples shall be checked quarterly for equipment
operating below 760C (1400F) and changed every two years
at a minimum.
Type R and S thermocouples shall be checked monthly for

equipment operating at or above 760C (1400F) and changed
every two years at a minimum. Protection Tubes shall be
visually checked at the same frequency as thermocouples.
Page 39
CQI-9


A2.4 3.4 Temperature Uniformity Survey (TUS): refer to AMS 2750D for Yes Yes - In Qualified Work -----
procedures. TUS frequency shall be annual and after major Zone
rebuild.
Temperature uniformity tolerance for hardening furnaces shall

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

per AMS 2750D. Exception: If the operating range of the
Qualified Work Zone is equal to or less than 85 C (153 F) then
only one temperature is required to be tested. The
temperature shall be within the operating range of the
Qualified Work Zone.
A2.5 3.5 Recorded temperature(s) for austentizing processes shall be Yes Yes - In Qualified Work -----
controlled within +/- 9C (or +/- 15F) of the set point as Zone
evidenced by continuous recording pyrometers. Furnace
temperature shall be controlled with soak times starting at the
lower tolerance limit (as defined above).
A2.6 3.5 Recorded temperature(s) for tempering and precipitation Yes Yes - In Qualified Work -----
hardening processes shall be controlled within +/- 6C (or +/- Zone
10F) 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).
A2.7 3.2 Infrared pyrometers shall be calibrated to a black body furnace -----
annually.
Page 40
CQI-9


3.0 PROCESS MONITOR FREQUENCIES
A3.1 1.4 Monitor primary temperature control instrument(s). Each batch or Each lot or continuous Each Shift
2.14 continuous recording recording with sign-off
with sign-off every 2 every 2 hours. Alarm
hours. Alarm systems systems satisfy the sign-
satisfy the sign-off off requirement
requirement.
A3.2 1.4 Monitor generator atmospheres. ----- ----- Continuous
2.14
3.7
A3.3 1.4 Monitor primary furnace atmosphere control(s)**. Continuous recording Continuous recording -----
2.14 with sign-off every 2 with sign-off every 2
3.7 hours. Alarm systems hours. Alarm systems
satisfy the sign-off satisfy the sign-off
requirement. requirement
A3.4 1.4 Verify primary atmosphere control method by back-up Daily Daily Daily
2.14 method**.
3.7
A3.5 1.4 For austentizing salt baths: Salt chemistry (soluble oxides) or Daily Daily -----
2.14 decarburization on the parts shall be checked daily.
3.13
A3.6 1.4 Quench Media Process Parameters
2.12 - Temperature Each batch or Each lot or continuous -----
continuous recording recording with sign-off
satisfy the sign-off off requirement.
requirement.
- Quench Level Daily Daily -----
- Agitation - Daily visual check is - Daily visual check is -----
required. required.
- Monitor each load in - Monitor every 2 hours

the absence of an in the absence of an
alarm system. alarm system.
A3.7 1.4 Monitor time in furnace, cycle time or belt speed. Each batch Twice/shift & after any -----
2.14 change in the belt
speed.
A3.8 1.4 Monitor load size or fixturing or loading rate as applicable. Each batch Twice/shift & after any -----
2.7 change in loading rate.
Page 41
CQI-9


A3.9 1.4 Quench Delay Time - Each batch Each basket for pusher- -----
2.12 Alarm system shall be based on the time that the load exits the type continuous
furnace to the time the load is at the bottom of the quench furnaces. Not applicable
tank. for belt furnaces.
Page 42
CQI-9


4.0 IN-PROCESS/FINAL TEST FREQUENCIES
A4.1 1.4 Microstructure Daily per furnace Daily per furnace -----
2.15
A4.2 1.4 Surface hardness Each batch Every 2 hours minimum -----
2.15
A4.3 1.4 Core hardness (when specified) Each batch Every 4 hours -----
2.15
A4.4 1.4 Case depth (when specified) Each batch Every 4 hours -----
2.15
5.0 QUENCHANT AND SOLUTION TEST FREQUENCIES
A5.1 2.12 Polymer Quench Media
3.14 - Concentration Daily Daily -----
- Quenchability Check; e.g., cooling curve, viscosity, or titration Every six months Every six months -----
A5.2 2.12 Water Quench Media

3.14 - Suspended solids Every six months Every six months -----
A5.3 2.12 Salt Quench Media
3.14 - Analysis & Contaminants Every six months Every six months -----
A5.4 2.12 Brine or Caustic Quench Media
3.14 - Concentration and/or Specific Daily Daily -----
Gravity.
- Suspended solids Every six months Every six months -----
A5.5 2.12 Oil Quench Media
3.14 - Water content, suspended solids, Quarterly Quarterly -----
viscosity, cooling curve, total acid,
and flash point.
A5.6 2.13 Rust Preventive - Soluble Oil
- Concentration 2x / week 2x / week -----
A5.7 2.11 Washers
- Concentration of cleaner Daily Daily -----
- Temperature of solution (required if temperature is specified Each shift Each shift -----
to be above ambient temperature).
Page 43
CQI-9
PROCESS TABLE C - Aluminum Heat Treating
Item # Related Category/Process Steps Batch Solution Treating Continuous Solution Annealing
HTSA and Aging Furnaces Treating and Aging Furnace
Question # Furnaces
1.0 PROCESS AND TEST EQUIPMENT
REQUIREMENTS
C1.1 3.1 All furnaces and quench systems shall have Yes Yes Yes
3.7 temperature indicating instruments.
C1.2 3.1 Continuous strip charts and/or data loggers are Yes Yes Yes
3.7 required for temperature sensors.
C1.3 2.16 All hardness test equipment (for each scale used) shall ----- ----- -----
be calibrated semi-annually minimum, and verified daily
minimum per the applicable ASTM standard.
C1.4 3.2 Furnace weigh scales shall be verified quarterly and Yes Yes Yes
calibrated annually at a minimum.
C1.5 3.2 Refractometers (typically used to check polymer ----- ----- -----
quenchants and washer solutions) shall be verified
daily (with distilled water) and calibrated annually (per
manufacturer's requirements) at a minimum.
Page 44
CQI-9
Question # Furnaces
2.0 PYROMETRY
C2.1 3.2 Thermocouples and calibration of thermocouples shall Yes Yes Yes
C2.2 3.2 Instrument Calibration per AMS 2750D shall be Yes Yes Yes
3.3 quarterly at a minimum.
C2.3 3.2 CQI-9 requires a comparative check of the control Yes Yes Yes
3.3 temperature sensor (CTS) in the Qualified Work Zone
to a (1) calibrated test temperature sensor (CTTS) or,
(2) resident thermocouple (R-T/C).
(1) The CTS shall be +/- 5C (or +/- 10F) of a CTTS at

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

operating temperature range shall be within +/- 1C (or
+/- 2F) of their relationship determined at the time of
the last temperature uniformity survey; this checked
shall be performed weekly.
Any actions to correct a failing reading or validate a test

result shall be documented.
Additionally, Type K and N thermocouples shall be

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

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

same frequency as thermocouples.
Page 45
CQI-9
Question # Furnaces
C2.4 3.4 Temperature Uniformity Survey (TUS): refer to AMS Yes Yes - In Qualified Work Yes
2750D for procedures. TUS frequency shall be Zone
quarterly and after major rebuild.
Temperature uniformity tolerance for solution treating

and aging furnaces shall be +/- 6 C (or +/- 10 F).
Temperature uniformity tolerance for annealing
furnaces shall be +/- 14 C (or +/- 25 F).
Minimum and maximum temperature ranges shall be

tested per AMS 2750D. Exception: If the operating
range of the Qualified Work Zone is equal to or less
than 85 C (153 F) then only one temperature is
required to be tested. The temperature shall be within
the operating range of the Qualified Work Zone.
C2.5 3.5 Recorded temperature(s) shall be controlled within +/- Yes Yes - In Qualified Work -----
6C (or +/- 10F) of the set point as evidenced by Zone
continuous recording pyrometers. Furnace
temperature shall be controlled with soak times starting
at the lower tolerance limit (as defined above).
C2.6 3.5 Recorded temperature(s) shall be controlled within +/- ----- ----- Yes
9C (or +/- 15F) 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).
C2.7 3.2 Infrared pyrometers shall be calibrated to a black body

furnace annually.
Page 46
CQI-9
Question # Furnaces
C3.1 1.4 Monitor primary temperature control instrument(s). Each batch or continuous Each lot or continuous Each batch or
2.14 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- sign-off every
requirement. off requirement. 2 hours.
Alarm systems
satisfy the
sign-off
requirement.
C3.2 1.4 Quench Media Process Parameters

2.12 - Heat treater shall specify temperature range based on Each batch or continuous Each lot or continuous -----
product form and material. Temperature shall be recording with sign-off recording with sign-off
monitored as noted. every 2 hours. Alarm every 2 hours. Alarm
systems satisfy the sign-off systems satisfy the sign-
requirement. off requirement.
- Quench Level Daily Daily -----
- Agitation - Daily visual check is - Daily visual check is -----
required. required.
- Monitor each load in the - Monitor every 2 hours in

absence of an alarm the absence of an alarm
system. system.
C3.3 1.4 Monitor process cycle time Each batch Twice/shift & after any Each batch
2.14 change in the indexing
speed.
C3.4 1.4 Monitor load size or fixturing as applicable. Each batch Twice/shift & after any Each batch
2.7 change in loading rate.
C3.5 1.4 Quench Delay Time - Each batch Each load -----
2.12 Quench delay time shall be based on the time that the
load exits the furnace to the time the load is at the
bottom of the quench tank.
C4.1 1.4 Hardness or tensile testing (post aging). Each batch Every 4 hours Each batch or
2.15 every 4 hours
for continuous
furnaces
5.0 QUENCHANT AND SOLUTION TEST FREQUENCIES
C5.1 2.12 Polymer Quench Media

3.14 - Concentration Daily Daily -----
- Suspended solids Every six months Every six months -----
- Quenchability Check; e.g., cooling Every six months Every six months -----
curve, viscosity, or titration.
C5.2 2.12 Water Quench Media
Page 47
CQI-9
Question # Furnaces
3.14 - Suspended solids Every six months Every six months -----
C5.3 2.11 Washers
- Concentration of cleaner Daily Daily Daily
- Temperature of solution (required if temperature is Each shift Each shift Each shift
specified to be above ambient temperature).
Page 48
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.

1.0 PROCESS AND TEST EQUIPMENT REQUIREMENTS
E1.1 3.1 All furnaces, generators and quench systems (where Yes Yes Yes
3.7 applicable) shall have temperature indicating
instruments.
E1.2 3.1 Continuous strip charts and/or data loggers are required Yes Yes Yes
3.7 for temperature and carbon monitoring unit, e.g., dew
point, oxygen probe, IR gas analyzer, etc.
E1.3 3.2 Furnace weigh scales shall be verified quarterly and Yes Yes -----
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
E1.7 3.2 Oxygen probe controllers shall be calibrated quarterly at Yes Yes Yes
a minimum. This is applicable when used in controlling
E1.8 2.16 All hardness test equipment (for each scale used) shall ----- ----- -----
be calibrated semi-annually minimum, and verified daily
minimum per the applicable ASTM standard.
Page 49
CQI-9

2.0 PYROMETRY
E2.1 3.2 Thermocouples and calibration of thermocouples shall Yes Yes Yes
E2.2 3.2 Instrument Calibration per AMS 2750D shall be quarterly Yes Yes Yes
3.3 at a minimum.
E2.3 3.2 CQI-9 requires a comparative check of the control Yes Yes Yes
3.3 temperature sensor (CTS) in the Qualified Work Zone to
a (1) calibrated test temperature sensor (CTTS) or, (2)
resident thermocouple (R-T/C).
(1) The CTS shall be +/- 5C (or +/- 10F) of a CTTS at the
operating temperature range; this checked shall be
performed monthly.
(2) The relationship between the CTS and R-T/C at the

operating temperature range shall be within +/- 1C (or +/-
2F) of their relationship determined at the time of the
most recent temperature uniformity survey; this checked
shall be performed weekly.
Any actions to correct a failing reading or validate a test

result shall be documented.
Additionally, Type K and N thermocouples shall be

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

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

same frequency as thermocouples.
Page 50
CQI-9

E2.4 3.4 Temperature Uniformity Survey (TUS): refer to AMS Yes Yes - In Qualified Work -----
2750D for procedures. TUS frequency shall be annual Zone
and after major rebuild.
Temperature uniformity tolerance for hardening furnaces

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

tested per AMS 2750D. Exception: If the operating range
of the Qualified Work Zone is equal to or less than 85 C
(153 F) then only one temperature is required to be
tested. The temperature shall be within the operating
range of the Qualified Work Zone.
E2.5 3.5 Recorded temperature(s) shall be controlled within +/- Yes Yes - In Qualified Work -----
9C (or +/- 15F) of the set point as evidenced by Zone
continuous recording pyrometers. Furnace temperature
shall be controlled with soak times starting at the lower
tolerance limit (as defined above).
Page 51
CQI-9

E3.1 1.4 Monitor primary temperature control instrument(s). Each batch or Each lot or continuous Each Shift
2.14 continuous recording recording with sign-off
satisfy the sign-off off requirement.
requirement.
E3.2 1.4 Monitor generator atmospheres ----- ----- Continuous

2.14
3.7
E3.3 1.4 Monitor primary furnace atmosphere control(s)**. Continuous recording Continuous recording -----
2.14 with sign-off every 2 with sign-off every 2
3.7 hours. Alarm systems hours. Alarm systems
satisfy the sign-off satisfy the sign-off
requirement. requirement.
E3.4 1.4 Verify primary atmosphere control method by back-up Daily Daily Daily
2.14 method**.
3.7
E3.5 1.4 For salt baths: check salt chemistry (soluble oxides) in Daily Daily -----
2.14 salt baths or decarburization on the parts.
3.13
E3.6 1.4 Monitor time in furnace, cycle time or belt speed. Each batch Twice/shift & after any -----
2.14 change in the belt speed.
E3.7 1.4 Monitor load size or fixturing or loading rate as Each batch Twice/shift & after any -----
2.7 applicable. change in loading rate.
E4.1 1.4 Microstructure (when specified) Daily per furnace Daily per furnace -----
2.15
E4.2 1.4 Surface hardness (when specified) Each batch Every 2 hours minimum -----
2.15
E4.3 1.4 Core hardness (when specified) Each batch Every 4 hours -----
2.15
5.0 SOLUTION TEST FREQUENCIES
E5.1 2.13 Rust Preventive - Soluble Oil
- Concentration 2x / week 2x / week -----
E5.2 2.11 Washers
Page 52
CQI-9

- Concentration of cleaner Daily Daily -----
- Temperature of solution (required if temperature is Each shift Each shift -----

specified to be above ambient temperature).
Page 53

Heat Treat System Assessment

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CQI-9

Special Processes: Heat Treat Systems Assessment

Special Process: Heat Treat System Assessment

Facility Name: STATE HEAT TREATING

Number 616-243-0178 Type(s) of Thermal Processing at this Facility:

Date of Previous Jamuary 2016

Current Quality ISO 9001:2008 REGISTRATION

Number of "Not Satisfactory" Findings:

Question Related Customeror Job(Shop)Order Actual Pass/

Question Related Customeror Job(Shop)Order Actual Pass/

Question Related Customeror Job(Shop)Order Actual Pass/

4.14 Iftheorderwas 2.14 N/A

Question Related Customeror Job(Shop)Order Actual Pass/

4.20 containersproperly 2.3 W/O#388533Visuallyve Yes Pass

Section 4 - Job Audit 9-27-16 KG

4.6 1.6 Job # 388526 W/O attached Pass

4.8 What are the product inspection 2.15 HRC 25-38

4.8.4 Requirement: (4)

Special Process: Heat Treat System Assessment

Special Process: Heat Treat System Assessment

Section 1 - Management Responsibility & Quality Planning

To ensure readily available expertise, there shall be a

Special Process: Heat Treat System Assessment

The organization shall incorporate a documented

Special Process: Heat Treat System Assessment

The organization shall incorporate the use of a

Special Process: Heat Treat System Assessment

The organization shall incorporate the use of a

Special Process: Heat Treat System Assessment

To ensure all customer requirements are both

Special Process: Heat Treat System Assessment

The heat treater shall have written process

Special Process: Heat Treat System Assessment

To demonstrate each process is capable of yielding

Special Process: Heat Treat System Assessment

The analysis of products and processes over time can

Management shall review the furnace monitoring

Special Process: Heat Treat System Assessment

Special Process: Heat Treat System Assessment

The quality management system shall include a

Special Process: Heat Treat System Assessment

Does the Quality The quality management system shall include a

Special Process: Heat Treat System Assessment

Does the Quality Quality manger and plant manager are

There shall be procedures or work instructions

Special Process: Heat Treat System Assessment

The organization shall provide employee training for

The organization shall maintain a responsibility matrix

Special Process: Heat Treat System Assessment

The organization shall have a documented preventive

Has the Heat Treater

Special Process: Heat Treat System Assessment

It is critical that all customer requirements and lot

Special Process: Heat Treat System Assessment

Procedures for part and container identification help

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

Special Process: Heat Treat System Assessment

The control of suspect or non-conforming product is

Heat-treating furnaces and other processing

Special Process: Heat Treat System Assessment

Containers handling customer product shall be free of

All process's have loading requirements

Special Process: Heat Treat System Assessment