CQI-9v3Forms and Process Tables3-11-16lp

CQI-9Special Process: Heat Treat System Assessment
Version 3, Issue 10/11
Special Process: Heat Treat System Assessment
Facility Name:
Address:
Phone Number: Type(s) of Thermal Processing at this Facility:

Fax Number: Process Table A - Ferrous
Carburizing
Number of Heat Treat Employees at this Facility: Carbonitriding
Carbon Restoration
Internal (Captive) Heat Treater (Y/N): Neutral Hardening
(Quench and Temper)
Commercial Heat Treater (Y/N): Austempering / Martempering
Tempering
Date of Assessment: Precipitation Hardening / Aging
Date of Previous Assessment:

Process Table B - Ferrous
Nitriding (Gas)
Ferritic-Nitrocarburizing (Gas or
Salt)
Process Table C - Aluminum

Aluminum Heat Treatment
Process Table D - Ferrous

Induction Heat Treating
Process Table E
Annealing
Normalizing
Stress-Relieving
Process Table F
Low Pressure Carburizing
Process Table G
Sinter Hardening
Process Table H
Ion Nitriding
Current Quality Certification(s):
Date of Re-assessment (if necessary):
Personnel Contacted:
Name: Title: Phone: Email:
Auditors/Assessors:
Name: Company: Phone: Email:
Number of "Not Satisfactory" Findings:
Number of "Needs Immediate Action" Findings:
Number of "Fail" Findings in the Job Audit(s):

CQI-9Special Process: Heat Treat System AssessmentVersion 3, Issue 10/11
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
1.1 qualified heat treat person on- identifying the qualifications for the position
site? including metallurgical and heat treat knowledge.
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
part families for this effort as defined by the
Does the heat treater perform organization. After the part approval process is
1.2
advanced quality planning? approved by the customer, no process changes
are allowed unless approved by the customer.
The heat treater shall contact the customer when
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
family or they may be process-specific and written
Are heat treat FMEA's up to
for each process. In any case, they shall address
1.3 date and reflecting current
all process steps from part receipt to part shipment
processing?
and all key heat treat process parameters as
defined by the organization. A cross-functional
team shall be used in the development of the
FMEA. All special characteristics, as defined by
the organization and its customers, shall be
identified, defined, and addressed in the FMEA.
2
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
the organization.
Are heat treat process control
A cross-functional team, including a production
1.4 plans up to date and reflecting
operator, shall be used in the development of
current processing?
Control 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.
3
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,
Are all heat treat related and EN, JIS, General Motors, Ford, and Chrysler. The
referenced specifications organization shall have a process to ensure the
current and available? For timely review, distribution, and implementation of
example: Industry and all customer and industry engineering standards /
1.5 customer specific specifications and changes based on customer-
specifications such as SAE, required schedule. Timely review should be as
AIAG, ASTM, ISO, EN, JIS, soon as possible and shall not exceed two working
General Motors, Ford, and weeks. The organization shall document this
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
1.6 specification for all active parameters shall not only be defined, they shall
processes? have operating tolerances as defined by the
organization in order to maintain process control.
All active processes should have a written
process specification.
These process specifications may take the form of
work instructions, job card, computer-based
recipes, or other similar documents.
4
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
Has a valid process capability
requirements. A furnace line may include a
study been performed initially
combination of equipment that is integrated in the
1.7 and after process equipment
performance of a heat treatment process, e.g.,
has been relocated, or had a
hardening, quenching, and tempering. Capability
major rebuild?
study techniques shall be appropriate for the heat
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
and analyze data over time,
1.8 data over time.
and react to this data?
Methods of analysis shall include ongoing trend or
historical data analysis of product or process
parameters. The organization shall determine
which parameters to include in such analysis.
5
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
strip charts, computer data logs, furnace and
heat treat monitoring system
1.9 operator logs, etc.
every 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.
Are internal assessments

The organization shall conduct internal
being completed on an annual
1.10 assessments on an annual basis, at a minimum,
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
treater’s FMEA and process control plan
Is the OEM customer notified • The procedure shall describe product
1.11
when parts are reprocessed? characteristics for which reprocessing is
permissible as well as those characteristics for
which reprocessing is not permissible.
• Any reprocessing activity shall require a new
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
Assessment

The quality management system shall include a

Does the Quality Department
process for documenting, reviewing, and
review, address, and
1.12 addressing customer concerns and any other
document customer and
concerns internal to the organization. A disciplined
internal concerns?
problem-solving approach shall be used.
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
1.13
to each process defined in the improvement in quality and productivity. Identified
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
designee authorize the
1.14 and documenting appropriate personnel to
disposition of material from
disposition quarantine material.
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
instructions available to the
potential emergencies (such as power failure),
1.15 heat treat personnel that
equipment start-up, equipment shut-down, product
define the heat treating
segregation (See 2.8), product inspection, and
process?
general operating procedures. These procedures
or work instructions shall be accessible to shop
floor personnel.
The organization shall provide employee training

for all heat treating operations. All employees,
including backup and temporary employees, shall
be trained. Documented evidence shall be
Is management providing
maintained showing the employees trained and
1.16 employee training for heat
the evidence shall include an assessment of the
treating?
effectiveness of the training. Management shall
define the qualification requirements for each
function, and ongoing or follow-up training shall
also be addressed.
7
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
1.17 management and supervisory
both primary and secondary (backup) personnel
functions are performed by
for the key functions (as defined by the
qualified personnel?
organization). 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
the opportunity to report problems, and problems
maintenance program for all
shall also be handled in a closed-loop manner.
heat treat equipment? Is
1.18 maintenance data being
Company data, e.g., downtime, quality rejects,
utilized to form a predictive
first-time-through capability, recurring maintenance
maintenance program?
work orders, and operator-reported problems, shall
be used to improve the preventive maintenance
program.
Maintenance data shall be collected and analyzed

as part of a predictive maintenance program.
8
Assessment

Has the Heat Treater

The heat treater shall develop and maintain a
developed a critical spare part
critical spare parts list and shall ensure the
1.19 list and are the parts available
availability of such parts to minimize production
to minimize production
disruptions.
disruptions?
Is material from different steel Different steel mill heats or metals which require
mill heats or metals which different heat treat parameters, such as but not
may preclude achieving the limited to, austentizing, quenching, or tempering
1.20
specified metallurgical times and/or temperatures shall be processed
properties prevented from separately in order to achieve specified
being processed together? metallurgical properties.
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
Does the facility ensure that of compliance shall exist, e.g., shop travelers,
the data entered in the work orders, etc. Sometimes the material received
2.1 receiving system matches the does not precisely correspond to customer
information on the customer's shipping documents. The facility shall have a
shipping documents? detailed process in place to resolve receiving
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.
2.2 and staged throughout the Customer product shall be clearly identified and
heat treat process? staged throughout the heat treat process. Non-
heat treated, in-process, and finished product shall
be properly segregated and identified. All material
shall be staged in a dedicated and clearly defined
area.
Out-going lot(s) shall be traceable to the incoming

lot(s).
Is lot traceability and integrity The discipline of precisely identifying lots and
2.3 maintained throughout all linking all pertinent information to them enhances
processes? the ability to do root cause analysis and continual
improvement.
The control of suspect or non-conforming product

is necessary to prevent inadvertent shipment or
contamination of other lots. Procedures shall be
Are procedures adequate to adequate to prevent movement of non-conforming
prevent movement of non- product into the production system. Procedures
2.4
conforming product into the shall exist addressing proper disposition, product
production system? identification, and tracking of material flow in and
out of the hold area. A non-conforming hold area
shall be clearly designated to maintain segregation
of such material.
10
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
trap points in the entire heat or lot mixing/contamination. A system shall exist
treat process to reduce risk of to identify trap points in the entire heat treat
2.5 mixed parts (inappropriate, process to reduce risk of mixed parts
non-heat treated, or (inappropriate, non-heat treated, or improperly
improperly heat treated heat treated parts). The heat treater shall have
parts)? documented 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
Are containers free of
2.6 inappropriate material have been removed. The
inappropriate material?
source of 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,
2.7 feed rate, belt speed, number of parts per fixture,
documented and controlled?
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
Are operators trained in action, and product segregation in the event of an
material handling, equipment emergency including power failure.
containment action and Training shall be documented. Work instructions
2.8 product segregation in the specifically addressing potential types of
event of an equipment equipment emergencies and failures shall be
emergency including power accessible to and understood by equipment
failure? operators. These instructions shall address
containment actions related to all elements of the
heat-treating process, e.g., loading, austentizing,
quenching, tempering.
11
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.
2.9 packaging adequate to
Some equipment includes conveyors and other
preserve product quality?
moving components that may not be able to
handle all part configurations. Other practices
such as stacking of overloaded containers can
also increase the risk of part damage.
Plant cleanliness, housekeeping, environmental,

and working conditions shall be conducive to
controlling and improving quality. The heat treater
Are plant cleanliness,
should evaluate such conditions and their effect on
housekeeping, environmental
quality. A housekeeping policy shall be clearly
2.10 and working conditions
defined and executed. The facility shall be
conducive to control and
reviewed for conditions that are detrimental to
improved quality?
quality processing such as loose parts on floor, oil
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
contaminants or residues can be difficult to
Are parts free from
remove once subjected to the heat treatment
contaminants that would be
2.11 process. Review the chemical supplier’s
detrimental to the heat
recommendation for cleaning the system. Parts
treatment of the product?
shall be free of rust, burrs, chips, detrimental
amounts of drawing compound, cutting fluids, rust
preventing oils, lubricants, etc., prior to heat treat.
Note: Refer to the appropriate heat treater's
requirements and specifications to determine
acceptability. Refer to Process Table, Section 5.0,
for frequency of checking washer solutions.
12
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 the heat treater's specifications. Refer to
Process Tables, Sections 3.0 and 5.0, for
frequency of checks. Computer-monitoring
Is the quenching system
equipment, with alarms and alarm logs, satisfy the
2.12 monitored, documented, and
verification requirement. Quench delay tolerance
controlled?
and alarm is required for furnaces with integral
quench tanks.
Temper delay 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
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
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

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

2.15 Frequencies performed as performed as specified in Process Tables. Refer
specified in Process Tables? to Process Tables, Section 4.0.
Product test equipment shall be verified. Test

equipment shall be verified/calibrated per
applicable customer-specific standard or per an
applicable consensus standard such as those
Is product test equipment
2.16 published by ASTM, DIN, EN, ISO, JIS, NIST,
verified?
SAE etc. Verification/calibration results shall be
internally reviewed, approved, and documented.
Refer to Process Tables, Section 1.0, for
frequency of checks.
13
Assessment

Section 3 - Equipment
The heat-treat equipment including furnaces,
generators, and quench systems shall have proper
Do furnaces, generators, and process controls and related equipment. Examples
3.1 quench systems have proper include temperature, carbon potential/dew point,
process control equipment? gas flows, quench monitoring system including
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
calibrations and/or verification
3.2 intervals. Refer to the applicable Process Tables,
certified, posted, and current?
Sections 1.0 and 2.0, for equipment calibration or
certification time tables.
The thermocouples and protection tubes shall be
Are thermocouples &
checked or replaced in compliance to a preventive
3.3 protection tubes checked or
maintenance schedule. Refer to the applicable
replaced per Process Tables?
Process Tables, Section 2.0.
Temperature uniformity surveys shall be

conducted per the requirements in the applicable
Process Tables, Section 2.0. Certain furnace
Are temperature uniformity designs, e.g., rotary retorts & some continuous
surveys performed per pusher furnaces preclude direct temperature
3.4
requirements in Process profiles. Alternate test methods per Section 3.4.5
Tables? are acceptable for 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
controlled thermocouple from
shall be within the limits defined in the applicable
3.5 set point within the
Process Tables, Section 2.0. For Ion nitriding
requirements in the Process
refer to Process Table H Item # H2.5 for specific
Table?
requirements.
14
Assessment

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.
3.6 alarm checks being tested for
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
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
described in Section 3.4.5 "Property Surveys" shall
Are generators and furnace be used.
atmospheres continuously
monitored, automatically If generators are not used, the flow rates of the
controlled, and documented? supplied atmosphere gases shall be monitored
3.7 and controlled.
NOTE: This requirement The automatic and continuous atmosphere control
is specific to Process Tables system shall consist of sensors such as oxygen
A, B, E, F, and G; Sections probes or on-line Infrared (IR) gas analysis. The
1.0 and 3.0. heat treater shall also have a back-up method of
checking the carbon potential/dew point.
Examples are dew point, electrical wire resistance,
gas analysis, shim stock, carbon bar, etc. See
Process Tables, Sect. 3.0 for verification
frequencies of primary and back up method.
15
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
primary control method heat treat process and the equipment used.
(carbon potential/dew point The heat treater shall make appropriate technical
3.8 reading), is correlation of the adjustments and then re-establish/demonstrate
carbon-bearing atmosphere to the 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
NOTE: This requirement is readings shall be in the control plan or internal
specific to Process Tables A, procedures. The back-up carbon potential/dew
B, E, F, and G; Sections 1.0 point reading shall be established using one or
and 3.0. more of the 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-
equipped with a fail-safe Safe Vent” and diagram in the glossary.
3.9
method to prevent ammonia • 1 manual and 2 electrical magnetic valves in
leaks into the furnace? series
The heat treater shall show evidence that

ammonia lines were disconnected for non-
ammonia bearing atmosphere processes.
16
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
purge requires conclusive test data of the
atmosphere when switching
3.10 atmosphere to show no significant amount of
from an ammonia bearing
residual ammonia is present in the furnace
atmosphere to a non-
atmosphere.
ammonia 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
Do all atmosphere furnaces
flow meters for all gases. Flow scopes and meters
and generators have flow
3.11 shall be periodically serviced per the heat treater's
scopes or flow meters for all
preventive maintenance program. Cleaning and
gases?
proper re-assembly procedures shall be
documented.
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
prevent non-uniform loading loading), then the heat treater shall have an
of parts? infrared temperature pyrometer at the exit end.
In absence of a rigorous fail- The infrared temperature pyrometers are required

3.12
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
pyrometers at discharge end be strip charted or continuously data logged.
of the hardening furnace? Infrared temperature pyrometers shall be
calibrated annually at a minimum and certified. All
sight glasses shall be cleaned per the preventive
maintenance schedule.
17
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,
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
Is the quenching medium does not include Process Table G & H.
3.14
analyzed? • The quench media characteristic tolerances shall
be specified by the quench medium supplier or the
heat treater.
• Analysis shall be reviewed for conformance by
the heat treater. This review shall be documented.
18
Assessment

FOR INDUCTION HEAT TREATING

A method to detect proper part position, such as
Is the positioning of each part
3.15 the use of proximity switches, optical sensors,
being controlled?
mechanical probes, etc., is required for each part.
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
3.16 the energy or power for each
scanning systems).
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-
management system? Coil site.
3.17
refers to the heating coil and • Coils shall conform to the approved original
the quench plenum. design.
• 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
3.18 Is quench system automatic? specifically approved by the authorized customer
representative. Quenching shall be automatically
initiated and controlled.
Does each lot of parts have The heat treater shall perform first piece set-up for
3.19
first piece set-up? each lot of parts.
Is there a procedure that

addresses maintenance of the Procedure shall include regular inspection and
3.20 inductor and quench spray cleaning of the inductor and quench spray
nozzle(s) (for example, nozzle(s).
quench ring, quench shower)?
19
Assessment

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
3.21 the air pockets from the
followed. [Example: The quench lines shall be
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.
20
CQI-9Special Processes: Heat Treat Systems AssessmentVersion 3, Issued 10/11
Section 4 - Job Audit
Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Material:
Heat Treat Requirements:
Job (Shop) Order or

Related Customer or Internal Actual Condition Pass / Fail /
Question # Job Audit Question Reference Documentation
HTSA Question # Requirement (Objective Evidence) N/A
Requirement
4.1 Are contract review, advance 1.2
quality planning, FMEA, control 1.3
plans, etc., performed by qualified 1.4
individuals? 1.17
4.2 Does the heat treat facility have the 1.5
customer specifications for the
part?
4.3 Is a shop traveler created to meet 1.6
customer requirements? 2.1
4.4 Is material identification (part 2.2
numbers, lot numbers, heat 2.3
numbers, contract numbers, etc.) 2.4
maintained throughout the heat
treat process?
4.5 Is there documented evidence of 2.1
Receiving Inspection?
4.6 1.6
Are the Loading / Racking
2.7
requirements identified?
2.9
21
Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Material:
Job (Shop) Order or

Requirement
4.7 Is the proper recipe or process 1.5
specification (cycle times, 1.6
temperature, atmosphere, etc.) 2.1
used? Refer to Process Tables, 2.14
Section 3.0, for specific 2.15
parameters. List parameters that
were verified in this audit in the
spaces provided below.
22
Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Material:
Job (Shop) Order or

Requirement
4.8 What are the product inspection 2.15
requirements?
4.8.1 Requirement: (1)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Test Method:
Specification:
Test Method:
Specification:
Test Method:
Specification:
23
Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Material:
Job (Shop) Order or

Requirement
Operator or Inspector Responsibilities
4.9 Were appropriate process steps 1.4
signed off? 2.2
2.3
2.14
4.10 Were all inspection steps, as 1.2
documented in the control plan 1.4
performed?
4.11 Were steps/operations performed 1.2
that were not documented in the 1.4
control plan? 1.6
4.12 If additional steps were performed, 1.2
were they authorized? 1.4
1.6
1.11
1.17
4.13 Does the governing specification 1.11
allow reprocessing or rework?
4.14 If the order was certified, did the 2.14
certification accurately reflect the 2.15
process performed?
4.15 Was the certification signed by an 1.17
authorized individual?
4.16 Are the parts and containers free of 2.6
inappropriate objects or 2.11
contamination?
24
Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Material:
Job (Shop) Order or

Requirement
Packaging Requirements
4.17 Are packaging requirements 2.9
identified?
4.18 Are parts packaged to minimize 2.9
mixed parts (for example, parts
packed over height of container)?
Shipping Requirements
4.19 Were the parts properly identified? 2.3
2.9
Were the containers properly 2.3
4.20 labeled? 2.9
25
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
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.
A1.3 1.18 A program for furnace and generator burnout is required (applies to carbon bearing atmospheres).
A1.4 3.2 Furnace weigh scales shall be verified quarterly and calibrated annually at a minimum.
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.
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.
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).
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.
A1.10 2.16 Files for testing hardness shall be verified per the Customer requirement.
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.
2.0 PYROMETRY OK / NOK / NA
A2.1 3.2 Thermocouples and calibration of thermocouples shall conform to Section 3.1
3.3
A2.2 3.2 Pyrometry Instrumentation and Calibration of instrumentation shall conform to Section 3.2
3.3
3.2 CQI-9 requires a System Accuracy Test (SAT) check of the control thermocouple in the Qualified Work Zone per Section 3.3
A2.3 3.3
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 +/- 15oC (or +/- 25oF). Temperature uniformity tolerance for
tempering furnaces shall be +/- 10oC (or +/- 20oF).
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.
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).
A2.7 3.2 For Continuous

Infrared Furnaces,
pyrometers this requirement
shall be calibrated annuallyapplies to thecalibration
using proper Qualified methods
Work Zone.
or an approved manufacturer's procedure.
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
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.
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
A3.4 1.4 Verify primary furnace atmosphere control Daily Daily

2.14 method by back-up method
3.7
3.8
A3.5 1.4 For austentizing salt baths: Salt chemistry Daily
2.14 (soluble oxides) or decarburization on the parts
3.13 shall be checked.
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
acceptable limits) satisfy acceptable limits) satisfy
the sign-off requirement. the sign-off requirement
Quench Level Continuous monitor with alarm or daily verification.

Agitation Daily visual check, or monitor the agitation during the
quenching operation with alarm systems set at
acceptable limits.
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 Each batch Twice/shift & after any
2.7 applicable. change in loading rate.
A3.9 1.4 Quench Delay Time - Each batch Each basket for pusher-
2.12 Quench delay time shall be based on the time type continuous furnaces
that the furnace door starts to open to the time where the loaded basket is
the 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.
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.
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.
A4.2 1.4 Surface hardness Each batch Every 2 hours

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
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
Cooling Curve Analysis Semi-annually Semi-annually
A5.2 2.12 Water Quench Media
3.14 Suspended solids Semi-annually Semi-annually
A5.3 2.12 Salt Quench Media
3.14 Analysis & Contaminants Semi-annually Semi-annually
A5.4 2.12 Brine or Caustic Quench Media
3.14 Concentration and/or Specific Gravity. Daily Daily
Suspended solids Semi-annually Semi-annually
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.
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 Each shift Each shift
is specified to be above ambient temperature).
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 Category/Process Steps
Question #
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 Every 2 hours
2.14 sign-off every 2 hours or sign-off every 2 hours or for 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

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.
B3.3 1.4 Monitor primary furnace atmosphere control(s). Each batch (rotary Continuous recording with Daily
2.14 furnaces only) or sign-off every 2 hours.
3.7 continuous recording with Alarm systems satisfy the
3.8 sign-off every 2 hours. sign-off requirement
Alarm systems satisfy the
sign-off requirement
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
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 Category/Process Steps
Question #
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
Quenchability Check; e.g., cooling curve, viscosity, or Semi-annually Semi-annually
titration.
B5.2 2.12 Water Quench Media
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).
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 #
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 +/- 5oC (+/- 10oF).
Temperature Uniformity tolerance for annealing furnaces shall be +/- 15oC (+/- 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
systems (if set per limits in hours. Alarm systems (if
C2.5 and C2.6) satisfy the set per limits in C2.5 and
sign-off requirement. C2.6) satisfy the sign-off
requirement
PROCESS TABLE C - Aluminum Heat Treating

HTSA
Question #
C3.2 1.4 Quench Media Process Parameters
2.12 Temperature Continuous recording with Continuous recording
sign-off every 2 hours or with sign-off every 2
under 2 hours. Alarm processes under 2
systems (if set per hours. Alarm systems (if
acceptable limits) satisfy set per acceptable limits)
the sign-off requirement. satisfy the sign-off
requirement
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 continuous furnaces.
the 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
OK / NOK / NA
FREQUENCIES
C5.1 2.12 Polymer Quench Media
Cooling Curve Analysis Semi-annually Semi-annually
C5.2 2.12 Water Quench Media
C5.3 2.11 Washers
Temperature of solution (required if temperature is Each shift Each shift
specified to be above ambient temperature).
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
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.
D1.3 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
D2.1 3.2 Infrared pyrometers shall be calibrated annually using proper calibration
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
temperature is required.
Quench Level Continuous monitor with alarm or

daily verification.
Quench Pressure and Flow Alarm system for quench
pressure 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
2.14 after any process change.
D3.3 1.4 An energy monitor or signature monitor is This requirement applies to each
2.14 required and shall be equipped with alarms power supply (not per coil).
3.16 set at acceptable limits.

Question #
D3.4 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

OK / NOK / NA
FREQUENCIES PER COIL
D4.1 1.4 Induction pattern length 1 part at start-up, end of
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

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

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

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

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.)

Question #
5.0 QUENCHANT AND SOLUTION TEST FREQUENCIES
D5.1 2.12 Polymer Quench Media

3.14 Concentration Daily
Cooling Curve Analysis Every four months (complete
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
within six months satisfies this
requirement)
D5.3 2.12 Brine or Caustic Quench Media

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

Concentration 2x / week
D5.5 2.11 Washers
Concentration of cleaner Daily
Temperature of solution (required if Each shift
temperature is specified to be above
ambient temperature).
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
Question #
E1.1 3.1 All furnaces, generators and quench systems (where applicable) shall have temperature indicating instruments.
3.7
E1.2 3.1 Continuous strip charts and/or data loggers are required for temperature and carbon monitoring unit, e.g., dew
3.7 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.

HTSA
Question #
2.0 PYROMETRY
OK / NOK / NA
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 Qualified Work Zone per
3.3 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 +/- 15 oC
(or +/- 25oF). Temperature uniformity tolerance for tempering furnaces shall be +/- 10oC (or +/- 20oF).
E2.5 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).

HTSA
Question #
3.0 PROCESS MONITOR Continuous
Batch Furnace Generators OK / NOK / NA
FREQUENCIES Furnace
E3.1 1.4 Monitor primary temperature Continuous Continuous Sign-off required for each shift for
2.14 control instrument(s). recording with sign- recording with generators.
off every 2 hours or sign-off every 2
each batch for hours or each lot
processes under 2 for processes
hours. Alarm under 2 hours).
systems (if set per Alarm systems (if
limits in E2.5) satisfy set per limits in
the sign-off E2.5) satisfy the
requirement. sign-off
requirement.
E3.2 1.4 Monitor generator Generators shall be continuously

2.14 atmospheres monitored and alarmed. Other systems,
3.7 such as nitrogen-methanol systems, may
either be continuously monitored and
alarmed, or sign-off every 2 hours.
E3.3 1.4 Monitor primary furnace Continuous Continuous

2.14 atmosphere control(s) recording with sign- recording with
3.7 off every 2 hours or sign-off every 2
each batch for hours or each lot
processes under 2 for processes
hours. Alarm under 2 hours.
systems (if set per Alarm systems (if
acceptable limits) set per
satisfy the sign-off acceptable limits)
requirement. 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) in
3.13 salt baths or decarburization
on the parts.

HTSA
Question #
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 or Each batch Twice/shift & after
2.7 loading rate as applicable. any change in
loading rate.
4.0 IN-PROCESS/FINAL TEST Batch Furnace Continuous
OK / NOK / NA
FREQUENCIES Furnace
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 OK / NOK / NA
FREQUENCIES Furnace
E5.1 2.13 Rust Preventive - Soluble
Oil
Concentration 2x / week 2x / week
E5.2 2.11 Washers
Temperature of solution Each shift Each shift

(required if temperature is
specified to be above
ambient temperature).
PROCESS TABLE F - Low Pressure Carburizing
Item # Related HTSA

Category/Process Steps
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.

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 OK / NOK / NA

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
PROCESS TABLE F - Low Pressure Carburizing
Item # Related HTSA

Category/Process Steps
Question #
F3.6 1.4 Quench Media Process Parameters - Oil FREQUENCY
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 OK / NOK / NA
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 OK / NOK / NA

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, Semi-annually
total 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
Temperature of solution (required if temperature is specified to Each shift
be above ambient temperature).
CQI-9Special Process: Heat Treat System Assessment Version 3, Issue 10/11
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 treater is
conforming to the customer's requirements.

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.

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

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

atmosphere controller.

Question #
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
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
(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 Alarm system is required

to ensure proper operation to ensure proper
of 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

Question #
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).

Question #
4.0 IN-PROCESS/FINAL TEST FREQUENCIES
OK / NOK / NA
G4.1 1.4 Microstructure shall be checked at a minimum Per customer requirement Per customer
2.15 magnification of 100x and, 400x or above 400x. as specified in control requirement as specified
Microstructural visual references shall be available. plan. in control plan.
G4.2 Mechanical Testing (when specified) Each Lot Each Lot

G4.3 1.4 Apparent hardness Each batch Every 4 hours
2.15
G4.4 1.4 Core hardness (when specified) Each batch Every 4 hours
2.15
PROCESS TABLE H - Ion Nitriding
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"

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
58
H5.2 2.11
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

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CQI-9Special Process: Heat Treat System Assessment

Version 3, Issue 10/11

Special Process: Heat Treat System Assessment

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

Date of Previous Assessment:

Process Table C - Aluminum

Process Table D - Ferrous

Current Quality Certification(s):

Date of Re-assessment (if necessary):

Number of "Not Satisfactory" Findings:

Number of "Needs Immediate Action" Findings:

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

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

It is critical that all customer requirements and lot

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