CQI-9

Special Process: Heat Treat System Assessment

Fourth Edition, June 2020  

Special Process: Heat Treat System Assessment

Facility Name: State Heat Treating Company

Address: 520 32nd St SE, Grand Rapids, MI 49548

Phone Number: 616.243.0178 Fax Number: 616.243.6337

Date of Assessment: 11/1/2020 Date of Previous Assessment: 10/23/2019

Internal (Captive) Heat Treater (Y/N): N Commercial Heat Treater  Y
(Y/N):
Type(s) of Thermal Processing at this Facility:
Process Table A Process Table D

Carburizing Yes Induction Heat Treating No

Carbonitriding Yes Process Table E

Carbon Restoration No Annealing Yes

Neutral Hardening (Quench and Temper) Yes Normalizing Yes

Austempering / Martempering No Stress-Relieving Yes

Tempering Yes Process Table F

Precipitation Hardening / Aging Aging  Low Pressure Processing  No

Only (Carburizing / Carbonitriding / Neutral Hardening)
Process Table B Process Table G

Nitriding (Gas) No Sinter Hardening No

Ferritic-Nitrocarburizing (Gas or Salt) No Process Table H

Process Table C Ion Nitriding No

Aluminum Heat Treatment Yes Process Table I

  Hot Stamping No

Current Quality Certification(s): ISO-9001:2015

Date of Re-assessment (if necessary):  02/19/2021

Personnel Contacted:

Name: Title: Phone: Email:

Derek Huizinga VP of Operations 616.243.0178 [email protected]

Jesse Massengill President/Owner 616.243.2800 [email protected]

Auditors/Assessors:

Name: Company: Phone: Email:

Brad Bukowski American Systems Registrar 616.240.5542 [email protected]

Number of "Not Satisfactory" Findings:  3

Number of "Needs Immediate Action" Findings:

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

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Special Process: Heat Treat System Assessment
Fourth Edition, June 2020 

Section 1 - Management Responsibility and Quality Planning

Please describe Objective Evidence for each Requirement

1.1 Is there a dedicated and qualified heat treat person on-site?

To ensure readily available expertise the following requirements shall be met.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
JD-009 (Quality Technician) require education and five 
There shall be a dedicated and qualified full-time heat treat person on site. x
years of heat treat experience.
The position shall be reflected in the organization chart. WI-5-001-A Organization Chart x
A job description shall exist identifying the qualifications for the positions including  JD-009 (Quality Technician) require education and five 
x
appropriate metallurgical and heat treat knowledge for the individuals. years of heat treat experience.
Evidence shall be available regarding the qualifications with a minimum of 5 years 
JD-009 (Quality Technician) require education and five 
experience in heat treat operations or as a combination of a minimum of 5 years of formal  x
years of heat treat experience.
metallurgical education and heat treat experience.
Comments:

1.2 Does the heat treater perform advanced quality planning?

The organization shall incorporate a documented advance quality planning process. A structured system for such process with the APQP elements is recommended, samples are available in the AIAG APQP manual 
or other equivalent national automotive industry standards. Similar parts can be grouped into part families for this effort as defined by the organization.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
See WI-7-001 Product Process and Realization.
There shall be documented advance quality planning procedure available. x
APQP required fields are utilized in the ERP software.

Feasibility studies shall be performed and internally approved for each part or group of  Every part receives its own process with all changes 
x
similar parts. and modifications recorded in the Part Master File.
Every new part is reviewed and processed per a family 
There shall be a documented system for process changes with approval by the customer. x
FMEA and control plan.
Comments:

1.3 Are heat treat FMEAs up to date and reflecting current processing?

Failure Mode and Effects Analysis (FMEA) for processes (PFMEA) is mandatory for the prevention of product/process failure modes and final product concerns. Examples of appropriate methods and standards 
include SAE J1739, AIAG & VDA FMEA Handbook.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
There shall be a documented Failure Mode and Effects Analysis (FMEA) procedure with the 
FMEAs are done for families of parts and processes. x
present FMEAs updated and reflecting the current part quality status.

FMEAs shall address all process steps from part receipt to part shipment and all the key heat  FMEAs are done for families of parts and processes 
x
treat process parameters as defined by the organization. and mimic the BOM.

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All special characteristics, as defined by the organization and its customers, shall be  Each plan is reviewed yearly with all changes recorded 
x
identified, defined, and addressed in the FMEA. on the FMEA located in their respective parts families.

A cross-functional team shall be used in the development of the FMEA and shall be 
Each plan is reviewed yearly with all changes recorded 
consistent with all associated documentation such as Control Plans, work instructions and  x
on the FMEA located in their respective parts families.
shop travelers.
Comments:

1.4 Are heat treat process control plans up to date and reflecting current processing?

Reference automotive industry Control Plan guidelines. The Control Plan may be specific for each part or part family or it can be process specific and written for each process. In any case it describes required 
controls and actions for each process step as well as periodic requirements to assure process is in control. 
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
The organization shall incorporate the use of a documented Control Plan reflecting the  Control Plans are done for families of parts and 
x
current process. processes.

Control Plans shall address all process steps from part receipt to part shipment and identify  Control Plan are done for families of parts and 
x
all equipment used and all key heat treat process parameters as defined by the organization. processes and mimic the BOM.

A cross-functional team shall be used in the development of the Control Plan and shall be  Each plan is reviewed yearly with all changes recorded 
consistent with all associated documentation such as FMEAs, work instructions and shop  on the Control Plan located in their respective parts  x
travelers. families.
Each plan is reviewed yearly with all changes recorded 
All special characteristics as defined by the organization or its customers shall be identified, 
on the Control Plan located in their respective parts  x
defined, and addressed in the applicable control plan. 
families.
Sample sizes and frequencies for evaluation of process and product characteristics shall be 
Internal standard work instructions define the sample 
addressed and shall be consistent with the minimum requirements listed in the applicable  x
sizes and frequencies per the applicable process tables.
Process Table.
Comments:

Are all heat treat related and referenced specifications current and available?
1.5
For example: Material standards, SAE, AIAG, ASTM, General Motors, Ford, and FCA.
A document control system is pertinent for the handling and internal distribution of received customer specifications and to keep up to date with national or global standards related or close to heat treat processes. 
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
The organization shall have a procedure and process to ensure the timely review, distribution  All specifications used for any given process will be 
and implementation of all customer and industry engineering standards/specifications and  indicated on the control plan and will be updated along  x
changes based on customer-required schedule. with the review of the plan at its yearly review.

All customer specifications will be reviewed at receipt 
The organization shall have all related heat treat and customer referenced standards and  and will not be controlled. Print revisions, if provided, 
specifications available for use, like but not limited to SAE, AIAG, ASTM, ISO, EN, JIS,  will be recorded on our internal process and verified at  x
General Motors, Ford, and FCA. order entry. All specifications are purchased as needed 
and electronically filed in a rational hierarchical manner.

The procedure shall include a 2-week distribution limit for cascading newly received and  Should any changes be needed, the ERP will be 
x
reviewed documents. updated to reflect any requested changes.

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Comments:

1.6 Is there a documented system to create process specifications for all active processes?
A documented system for creating process specifications is necessary for operating the heat treat process within the desired, requested process parameters to reach the final product specifications. Examples of 
process parameters include process temperatures, cycle times, load rates, atmosphere or gas flow settings, belt speeds, quench agitation speeds, etc.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
Authorization shall be defined to a responsible person (see 1.1) for establishing process  Quality Technician is responsible for establlsishing 
x
specification for the heat treatment of the products with the available equipment. process specification.
All written process specs and BOM is listed in ERP 
The heat treater shall have written process specifications for all active processes and identify 
Master Parts File; and all revisions are recorded in the  x
all steps of the process including relevant process parameters.
change history.
Parameters shall have operating tolerances as defined by the organization in order to  Process Variables are reviewed annually and listed on 
x
maintain process control. the control panel next to each furnace.

Process specifications shall be available in the form of work instructions, job card, computer- Several levels of standard work instructions exist in the 
x
based recipes, or other similar documents. QMS to define the process specifications.
All written process specs and BOM is listed in ERP 
All process specification changes shall be reviewed to the extent necessary to ensure 
Master Parts File; and all revisions are recorded in the  x
continued conformity with customer requirements for process changes.
change history.
All written process specs and BOM is listed in ERP 
All process specification changes shall be documented to include the date the process 
Master Parts File; and all revisions are recorded in the  x
specification change was implemented and the person(s) approving the change.
change history.
Comments:

1.7 Has the heat treat process been validated initially and after process equipment has been relocated, or had a major rebuild or modification?

To demonstrate each heat treat process is capable of yielding acceptable product, the organization shall perform process validation as part of the initial validation of each process, after relocation of any process 
equipment or heat treat location change, and after a major rebuild of any equipment. Each process line may include a combination of equipment that is integrated in the performance of a heat treat process, e.g. 
hardening, quenching and tempering. 
(Heat treat process validation consists of robust heat treat equipment, rigorous process controlling and monitoring requirements and calibrations, appropriate test equipment calibrations, and strategic product 
sampling techniques.)

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
Modifications or rebuilds that affect atmosphere are 
The organization shall define what constitutes a major rebuild or modification that may impact 
subject to new capabilitiy studies to validate both the  x
product characteristics.
process variables and also the process specifications.

Process validation shall be performed on full production load, or production run, with  Lab results tell us if we are in control of each process 
x
production intended fixturing and load configuration. based on the specifcations required from each part.
An action plan shall exist if process control parameters or any of the product characteristics  There is standard work that defines the handling of non-
fall outside of the control tolerance limits or the heat treater does not conform to the  conforming material. P-8-002 Control of Nonconforming  x
respective Process Table. Product

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The heat treater shall demonstrate that all parts in the heat treat process (heat treat batch or 
production run) will meet customer specifications. 

Samples for these tests shall be selected that best represent the entire production load 
population. 
We perform capability studies on each furnace line for 
each process family that is associated with that line. We 
 • An acceptable guideline for test sample locations is to use those loading locations  x
also do capability studies at level 2 inpections. 
prescribed for temperature uniformity surveys.
Operators will also do capability studies if they run out 
 • An acceptable guideline for induction hardening is to show a representative number of 
of room on work orders.
parts produced at the extremes of process parameter's tolerances meet customer 
specifications. 

Standard process capability indices may also be used to show compliance.

Comments:

1.8 Does the heat treater collect and analyze data over time, and react to this data?

The analysis of product characteristics (e.g. tensile strength) and processes parameters (e.g. temperature) over time can yield vital information for defect prevention efforts. Examples include but are not limited to 
product property trend charts, scrap trends, and variation in process parameter recordings.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
Ongoing data collection is done on significant 
parameters for each process family. Each job that does 
The organization shall have a system to collect, analyze, and react to product or process 
not meet the requirements is recorded in the Customer  x
data over time.
Complaint Log and reviewed with the required 
functions.
Certs are maintained with hardness results as well as 
Methods of analysis shall include ongoing trend or historical data analysis of product 
case depth analysis. We are also working on SPC for  x
characteristics or process parameters.
case depth analysis.
Certs are maintained with hardness results as well as 
The organization shall determine which parameters are included in such analysis. case depth analysis. We are also working on SPC for  x
case depth analysis.
Comments:

1.9 Is the heat treat monitoring system reviewed by Qualified Personnel?

This review is intended to be a second level review in addition to those performed by the heat treat operators. This review would be performed by qualified personnel as defined per question 1.17. The heat treat 
monitoring system includes but is not limited to temperature strip charts, atmosphere strip charts, computer data logs, furnace and operator logs, etc.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
Qualified Personnel shall review the furnace monitoring systems at intervals not to exceed 24  All equipment with electronic data collection is reviewed 
x
hours. daily via computer and furnace monitoring software. 

The process of reviewing the furnace data shall be documented. This requirement also  Process is documented daily via Layered Process 
x
applies to computerized data.  Audit, WI-7-003-C.

This second level review shall include detection and reaction to out of control conditions or  Action is required on LPA results that are lower than 
x
alarms. This reaction shall be documented. acceptable tolerances.
Comments:

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Special Process: Heat Treat System Assessment
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1.10 Are internal assessments being completed on an annual basis, at a minimum, using AIAG HTSA?

The internal assessment includes a completed job audit and process table for each applicable process.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
The organization shall conduct internal assessments on an annual basis, at a minimum,  The Heat Treat Process Assessment is
x
using the current revision of the AIAG HTSA. reviewed and updated yearly per this CQI-9.
Comments:

1.11 Does the heat treater have a documented procedure for the rework/reprocessing of parts?

Rework/Reprocessing of heat treated components can have a significant impact on the performance of the component. Reworking/Reprocessing in some cases is an acceptable practice. A rework/reprocessing 
procedure is key to identifying the rework/reprocessing practice. To be approved for rework/reprocessing, either on a case by case basis or pre-approved in the PPAP, the heat treater shall meet the following 
requirements.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
Any part processed that does not meet the customers 
spec is placed on hold and reviewed by authorized 
Any change or addition to the rework/reprocessing procedure shall require notification and  people. A rework instruction is required for 
approval in accordance with the AIAG PPAP process. Any rework/reprocessing not  reprocessing. All reworked parts are final inspected  x
previously approved and identified in the rework/reprocessing procedure is not allowed.  byplant manager or quality. All rework instructions and 
results are documented on a new work order and 
recorded. See WI-8-002 Controlling Nonconforming.
All re-work affecting results or changing based on 
The OEM shall be notified by the Tier 1 supplier prior to rework/reprocessing product utilizing  revision levels is documented via WI-7-003-P Material 
x
an unapproved process. If not Tier 1, the customer shall be notified. Deviation-Suspect Material Notification and also ERP 
change log.
Process Flow indicates that parts not meeting results 
The rework/reprocessing procedure shall be referenced in the heat treater’s PPAP approved 
are placed on hold for disposition. Re-work steps for re- x
PFMEA and process control plan.
tempering are added to the Control Plan and PFMEA.

The rework/reprocessing procedure shall include the following:
 • A description of product characteristics for which rework/reprocessing is allowed and those 
characteristics for which rework/reprocessing is not permissible.
 • A requirement that all rework/reprocessing activity have a new process control sheet 
All rework instructions and results are documented on a 
issued by qualified personnel; this new process control sheet shall include the heat treat 
new work order and recorded. See WI-8-002 Controlling  x
parameter modifications.
Nonconforming.
 • A requirement that there is a record or log of all rework/reprocessing work.
 • A description of the sampling plan.
 • A requirement that the Quality Manager or a designee shall authorize the release of 
rework/reprocessed product.

Comments:

1.12 Does the Quality Department review, address, and document customer and internal concerns?

Assessment

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Special Process: Heat Treat System Assessment
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Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
All internal and external problems are put in the 
The quality management system shall include a process for documenting, reviewing, and 
Customer Complaint Log and dealt with through our  x
addressing customer concerns and any other concerns internal to the organization.
internal review process.
See WI-8-001-B Observation-NC-OFI (or customer 
A disciplined problem-solving approach shall be used.  x
form).
Comments:

1.13 Does the organization have a Continual Improvement Plan (CIP)?

Continual improvement is an ongoing effort in the organization to improve processes, services, or products. These efforts may seek incremental improvement over time or breakthrough improvement all at once. A CIP 
identifies specific continual improvement items, responsibilities and estimated completion dates. Downtime reports, scrap reports, preventive maintenance reports, energy consumption, use of medias, etc., may be 
used to develop a CIP.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
Reviewed at bi-annual managrement review meeting 
The organization shall have continual improvement plan(s). x
and through PFMEA updates.
Any major Continual Improvement project will be 
The CIP shall have specific action items, identify responsibilities and target completion dates 
controlled by Work Instruction WI-8-004 Continual  x
for each action item. 
Improvement and WI-8-001-C Improvement Form. 
This is also tied to the customer complaint log for root 
The organization shall show evidence of program execution. x
cause and systemic fix.
Comments:

1.14 Does the organization have a documented procedure for the control of nonconforming material?

This practice is the responsibility of the manufacturers’ quality management organization and their included personnel. The procedure should best describe the complete process with the handling of nonconforming or 
suspect products, beginning with detection and the authorization/obligation to quarantine those products up to the final decision and disposition in quarantine status. 
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
Quality manger and plant manager are
The documented procedure shall specify the responsibilities for handling segregation and  authorized to release "ON HOLD" product and will 
x
disposition of suspect or non-conforming products.  document this on the new rework work order or a 
Material Deviation report.
The organization shall keep records showing evidence of process being followed. See WI-8-002 Controlling Nonconforming. x
Comments:

1.15 Are there procedures or work instructions available to the heat treat personnel that define the heat treating process?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
All elements of our process flow have written 
There shall be procedures or work instructions available to all employees involved in heat 
procedures and are part of all employees training.  x
treating and inspection of heat treated product.
These are located in Level 4 of the QMS.

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These procedures or work instructions shall include methods of addressing potential 
WI-7-003 Production outlines the product procedures as 
emergencies (such as power failure), equipment start-up, equipment shut-down, product  x
well as the manufacturing process map.
segregation (See 2.8), product inspection, and general operating procedures.
Comments:

1.16 Is management providing employee training for heat treating?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
The organization shall provide employee training (including follow up and ongoing training)  WI-6-001-F Employee Qualification - Level 5, and WI-6-
x
for all heat treating and inspection operations, including backup and temporary employees. 001-O Operator Training Matrix - Level 5
Management shall define the qualification requirements for each function. WI-6-001-F Employee Qualification - Level 5 x
Testing is indivdual funciton based (forklift, Rockwell 
Documented evidence of training and training effectiveness shall be maintained. hardness, Level 1 inspect test, Level 2 inspect test,  x
etc…) and stored in each employee's HR training folder.
Operators shall be trained in material handling, containment action, and product segregation  Trained with WI-7-003 Production and P-8-002 Control 
x
in the event of an equipment emergency including power failure. of Nonconforming Product
Comments:

1.17 Are all key management and supervisory functions (in regards to Heat Treatment) performed by qualified personnel?

Key management and supervisory functions, in regards to heat treatment, are critical to ensure both process stability and product quality. This can be accomplished in several different ways. Some examples to 
consider are a responsibility matrix, the organizational chart, job descriptions, or incorporation into other similar system documentation. 
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
The organization shall define and document, key management and supervisory functions in 
WI-6-001-Q Key Management Responsibility Matrix x
regards to heat treatment. 
This documentation shall clearly identify both primary and secondary (backup) personnel. WI-6-001-Q Key Management Responsibility Matrix x
This information shall be readily available to appropriate personnel. WI-6-001-Q Key Management Responsibility Matrix x
Comments:

1.18 Is there a preventive maintenance program? Is maintenance data being utilized to form a predictive maintenance program?

Preventive maintenance is essential to ensure equipment, machines and tools are kept in appropriate condition for the manufacturing of products at desired quality and capacity levels. The organization shall comply 
with the following requirements.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
The organization shall have a documented preventive maintenance program for all heat treat  A full and complete preventive maintenance program 
x
process equipment.  (MaintiMizer) is written and used.

The program shall be a closed-loop process that tracks maintenance efforts from request to  All maintenance purchasing and inventory is
x
completion to assessment of effectiveness. maintained within this program.

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Equipment operators shall have the opportunity to report problems, and the problems shall  Operators may submit maintenance requests directly 
x
be handled in a closed-loop manner. maintenance to be managed in MaintiMizer.
The company data (e.g. downtime, quality rejects, first-time-through capability, recurring 
maintenance work orders, and operator-reported problems) shall be used to improve the  See Maintenance Work Instructions MI-001 - MI-005. x
preventive maintenance program.
Maintenance data shall be collected and analyzed as part of the defined predictive 
See Maintenance Work Instructions MI-001 - MI-005. x
maintenance program.
Comments:

1.19 Has the Heat Treater developed a critical spare part list and are the parts available to minimize production disruptions?

The critical spare parts list and available inventory is typically comprised of long lead time components such as (but not limited to) burners, fans, rolls, belts and other alloy parts. Availability of spare parts may be 
maintained on-site or off-site (for example, consignment) as identified by the heat treater.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action

All critical parts are listed and purchased from approved 
The heat treater shall develop and maintain a critical spare parts list. x
suppliers only. See WI-7-002-B Approved Vendor List.

The heat treater shall ensure the availability of critical spare parts to minimize production 
Critical Parts in Inventory MI-003. x
disruptions.
Comments:

1.20 Is material from different heat lots which may preclude achieving the specified metallurgical properties prevented from being processed together?

Batch to batch variation may have an adverse effect on metallurgical properties. This variation may require that batches be processed separately.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
All orders are run separately and lot controlled. Each 
Purchase Order receives a new Work Order per part 
number and lot segregation is enforced.
Where appropriate, the heat treater shall have a material product flow management system 
APQP is performed to ensure proper recipes, Work  x
to prevent the processing of mixed batches.
Orders are created to ensure proper recipes and cycle 
per part are used, and scheduling is performed to run 
parts requiring similar atmosphere in efficient orders, 
but not mixed.
Comments:

Section 2 - Floor and Material Handling Responsibility

Please describe Objective Evidence for each Requirement

2.1 Does the heat treat responsible organization ensure that customer data entered in the process tracking system matches the customer order?

It is critical that all customer requirements and lot identification be adequately transferred to internal heat treat documents. This also applies to captive heat treaters and their internal material flow. 
Assessment

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Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
All incoming product is reviewed for accuracy at 
receiving. All information provided is verified with our 
The heat treater shall establish a documented product tracking system (e.g. shop travelers, 
process and recorded on the customers' document.
work orders, etc.) which supports the heat treatment with relevant product and process  x
information. 
See WI-7-001-C and WI-7-001-D. See SHP-003 (WO) 
and SHP-013 (Receipt of CSP). 
Any discrepancies are
The heat treat organization shall establish a system to detect and resolve discrepancies on 
documented and product is placed on hold pending a  x
received products and corresponding customer information.
review by Management.
Comments:

2.2 Is product clearly identified and staged throughout the heat treat process?

Product identification, process status and location of products with their process status are important to prevent incorrect processing or mixing of lots. 
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
All work in the facility is identified by a work order and 
There shall be a procedure for part and container identification to avoid incorrect processing  all product is audited for work orders, CSP, load tags, 
x
or mixing of lots. and basket markings via Weekly Plant Audit WI-7-003-
V.
All product is staged in set areas waiting for processing. 
During processing it is identified by load tags and with 
the work order and the furnace log.
Non-heat treated, in-process, and finished product shall be properly segregated in clearly 
x
identified locations. All finished product is in a "done ready to ship" area with 
all parts identified with the work order. See WI-7-003-A 
Work order/data sheet guide lines.WI-7-003-B - 
customer supplied product tags.
Comments:

2.3 Is lot traceability and integrity maintained throughout all processes?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
All lots have their own work order. All work orders are 
kept separate during processing and remain so during 
shipment back to the customer. See WI-7-003-B
Lot traceability shall be maintained throughout the entire process.  CSP, WI-7-003-A. x

Customer PO=>Incoming Paperwork=>CSP=>Work 
Order=>Shipper=>Invoice

Comments:

2.4 Are procedures adequate to prevent movement of non-conforming product into the production system?

The control of suspect or non-conforming product is necessary to prevent inadvertent shipment or contamination of other lots. 

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Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
Product shall be logged in the Customer Complaint Log 
via WI-8-003.
Procedures shall exist addressing proper disposition, product identification, and tracking of 
x
material flow in and out of the hold area.  See Controlling of Non-conforming WI-8-002 and use 
the Material Deviation Suspect form for the customer if 
applicable with WI-7-003-P.
All product that does not meet the customers 
specifications will be red tagged / and or rejected on the 
A non-conforming hold area shall be clearly designated to maintain segregation of such  work order and placed in the
x
material. "hold area". All product in the hold area shall be logged 
using WI-8-002-A - Hold Area Log. Hold area log is 
audited weekly via WI-7-003-T Dock Audit.
Comments:

2.5 Is there a system to identify trap points in the entire heat treat process to reduce risk of mixed parts (inappropriate, non-heat treated, or improperly heat treated parts)?

Heat-treating furnaces and other processing equipment (including but not limited to baskets, conveyors, chutes, etc.) contain areas that have a risk of trapping or holding parts. Such trapping of parts can lead to 
damage, improperly processed parts or lot mixing/contamination. 
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
The preventative maintenance program
The heat treater shall have procedures to identify and monitor trap points for each  generates a work order for a review of each lines 
x
process/equipment.  operation for frequent furnace review to identify trap 
points bi-annually.
Monitoring trap points in the Operator Work Instructions 
Monitoring of potential trap points shall occur for every lot changeover. x
OI-037 and discipline to monitoring trap points.

Comments:

2.6 Are containers free of inappropriate material or free of heat treated parts mixed with non-heat treated parts?

The purpose of the requirement is to reduce the risk of contaminating the finished lot with nonconforming parts or inappropriate material. Containers used for the transport of parts to be heat treated are often used for 
the same material after completion of the heat treat process. It is critical that the finished lot is not contaminated with non-heat treated parts or other inappropriate material remaining in the container. 
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
Each container is removed from the loading area and 
looked at prior to returning to the finished parts area. 
There shall be a procedure that addresses the inspection of containers used for transporting  Any foreign material is removed. Small parts in boxes 
x
non-heat treated and heat treated parts.  with folding edges are loaded into plastic bags lining the 
container to prevent parts mixing from being stuck 
anywhere within the container.
The procedure shall include the inspection of containers after emptying and immediately 
See OI-037 x
before re-using to ensure that all parts and inappropriate material have been removed.

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A weekly Dock Audit is conducted via WI-7-003-T to 
review in-process containers in the plants.
The source of inappropriate material shall be identified and addressed. x
Anything found to be out of compliance is added to the 
customer complaint log and following via internal 
corrective action.
Comments:

2.7 Is furnace loading specified, documented and controlled?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
All process's have loading requirements
documented on the work order. The operator logs the 
loading on the furnace log each order and at shift 
Furnace loading parameters shall be specified, documented, and controlled (including but  change.
not limited to the following examples: feed rate, belt speed, number of parts per fixture, load  x
weight, etc.).  This is verified by shift supervisor and reviewed by 
management daily via the Layered Process Audit WI-7-
003-C. Also controlled by the load heigh gages by the 
furance. See WI-7-003 Production.
Comments:

2.8 Is there a procedure for material handling, containment action, and product segregation in the event of an equipment emergency including power failure?

Unplanned or emergency downtime greatly increases the risk of improper processing.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
There shall be a procedure for material handling, containment action, and product  See OI-037: Operator Intructions for non-conforming 
x
segregation in the event of an equipment emergency including power failure.  instructions.
Our Work in Process rejection procedure
The procedure shall address containment actions related to all elements of the heat-treating  covers all nonconforming situations and is part of all 
x
process, e.g. loading, austenitizing, quenching, tempering. employees regular training. See W-I8-002 Controlling 
Non-conforming.
The procedure shall define when this emergency plan is to be implemented. See W-I8-002 Controlling Non-conforming. x
Comments:

2.9 Is the handling, storage and packaging adequate to preserve product quality?

Some equipment includes conveyors and other 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. 
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action

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Each process that is assessed to potentially damage a 
part during loading,
processing, unloading and transport has
Handling, storage, and packaging shall be adequate to preserve product quality.  x
special processing for hand load, hand
unload, special racking instructions, and / or special 
shipping instructions. 
See WI-7-001 Product Process and Realization.
The heat treater’s furnace loading system, in-process handling, and shipping process shall 
See also WI-6-002-A Condition of Facility x
be assessed for risk of part damage or other quality concerns.
See also WI-7-003-T Dock Audit
Comments:

2.10 Are plant cleanliness, housekeeping, environmental, and working conditions conducive to control and improve quality?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
A plant survey is done by an internal auditor monthly to 
Plant cleanliness, housekeeping, environmental, and working conditions shall be conducive  evaluate the plant for building maintenance, lighting, 
x
to controlling and improving quality.  cleanliness, and organization using Condition of facility 
form see WI-6-002 A
A housekeeping policy shall be clearly defined and executed.  Condition of facility form see WI-6-002 A x
The facility shall be reviewed for conditions that are detrimental to quality processing such as  This is a management responsibility see WI-6-002 
x
loose parts on floor, oil around quench tanks, inadequate plant lighting, smoke, etc. Infrastructure.
Comments:

2.11 Are parts free from contaminants that would be detrimental to the heat treatment process?

Oils, coatings and other contaminants or residues may adversely affect the heat treatment process or subsequent processes. Pre/Post wash or other methods of contamination removal may be required by customer 
or mandatory for process function. 
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
Any part with detrimental amounts of oils or drawing 
If applicable, cleaning parameters shall be monitored and documented. compounds are prewashed and all product is post  x
washed prior to temper.

All washers are on a preventive maintenance program 
and checked daily.
The frequency for checking the cleaning parameters shall conform to applicable Process 
All washer concentrations are verified by the soap  x
Table, Section 5.0
supplier quarterly or as needed.

There is a daily PM for checking furnace washer 
solution.
Comments:

2.12 Is the quenching system monitored, documented, and controlled?

Refer to Process Tables, Sections 3.0 and 5.0, for details and frequency of checks.

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Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
The quenching system shall be monitored, documented, and controlled. (Computer- There is a daily PM for checking the quench system in 
x
monitoring equipment, with alarms and alarm logs, satisfy the verification requirement.) our furnance level checks.
The temperature, agitation speed, time in the quench 
are all automatically controlled. All furnaces have high 
Quench delay time with alarm is required. Not applicable for belt, shaker, or pusher furnaces 
temp alarms.  x
where parts free-fall into the quench.
WI-7-001 Product Process and Realization for 
specification.
Temper delay time shall be specified by the heat treater for parts that are quenched and  Temper delay time specified on neutral harden and 
x
tempered (e.g. carburizing, carbonitriding, neutral hardening, induction hardening).  case harden control plans.
Comments:

2.13 Are soluble oil or other rust preventive solutions monitored and controlled if applicable?

Parts are often dipped in or sprayed with rust preventive solutions immediately after the heat treating process. Refer to Process Tables, Section 5.0, for frequency of checks.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
The rust prevention is controlled by new
Soluble oil solutions or other rust preventive solutions shall be monitored and controlled, if 
additions of product and by supplier once x
applicable. 
every 6 months.
Product is pre-titrated by the supplier prior to being 
added into our tank.
The heat treater shall have and maintain documented tolerances for the solutions.  x
PM system contains tolerances for solutions as well as 
supplier data sheets.
Comments:

2.14 Are process control parameters monitored per frequencies specified in Process Tables?

Refer to Process Tables, Section 3.0. 
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
All required process control parameters are 
continuously recorded and signed off by the operator at 
Process control parameters shall be monitored per frequencies specified in Process Tables.  x
shift change at least every 8 hours. This is recorded on 
furnace log sheets.
Temperature is continuously monitored and logged 
A designated floor person shall verify the process parameters, e.g. by initialing a strip chart  using the furnace monitoring software.
or data log. (Computer monitoring equipment with alarms and alarm logs satisfy the  x
verification requirement.) Audited daily by management via Layered Process 
Audit WI-7-003-C.
Comments:

2.15 Are In-Process/Final Test Frequencies performed as specified in Process Tables?

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Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
Yes, there is an inspection sampling plan at every work 
In-Process/Final Test Frequencies shall be performed as specified in Process Tables.  station which matches or x
surpasses section 4 table. This is also found in the lab.

Any exceptions to test frequencies specified in the process tables shall be approved by the 
All test frequency deviations are customer spec driven. x
Customer in writing.
Comments:

2.16 Is product test equipment calibrated and verified?

Refer to Process Tables, Section 1.0, for frequency of checks.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
Test equipment shall be calibrated and verified per applicable customer-specific standards or  An outside service performs the calibrations on all test 
per an applicable consensus standard such as those published by ASTM, DIN, EN, ISO, JIS,  equipment quaterly. See lab scope WI-6-001-R Lab  x
NIST, SAE etc.  Scope.
All test equipment is verified internally on a daily basis. 
Calibration and verification results shall be internally reviewed, approved, and documented.  x
See WI-7-001 E, G, I . Also WI-6-002-B.
Comments:

Section 3 - Equipment
Please describe Objective Evidence for each Requirement

3.1 Do furnaces, generators, and quench systems have proper process control equipment?

Examples include temperature, carbon potential, dew point, gas flows, quench monitoring system including agitation, temperature control, etc., as listed in the applicable Process Tables, Section 1.0
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
All equipment has automatic temperature
controls, cycle timers, agitation control,
carbon control, oil temperature and flow
The heat-treat equipment including furnaces, generators, and quench systems shall have  scopes for each zone. All controls are
x
proper process controls. calibrated semi-annually.

All temperature and carbon controllers are monitored 
through our software.
Comments:

3.2 Are process equipment calibrations, verifications and certifications current?

Refer to the applicable Process Tables, Sections 1.0 and 2.0, for equipment calibration, verification and certification frequencies. 
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action

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The calibrations, verifications and certifications of the process equipment shall be performed  All calibrations are posted at/on the control or 
x
at regular intervals as specified in the applicable Process Table(s). equipment being certified.
Non-contact thermometry devices shall be calibrated as specified in the applicable Process  All calibrations are posted at/on the control or 
x
Tables. equipment being certified
We have to evaluate if an offset procedure exists and 
A documented offset procedure as defined in Section P3.2.3 shall exist. x
develop the procedure as an action item from this audit.

The documented offset procedure shall indicate who has the authority to approve the use of  We have to evaluate if an offset procedure exists and 
x
offsets and how this approval is documented. develop the procedure as an action item from this audit.

We have to evaluate if an offset procedure exists and 
Offset or bias applied for the instrumentation calibration adjustment shall comply with P3.2.3.  x
develop the procedure as an action item from this audit.
All labels contain calibration company, date completed, 
Calibration labels shall meet the requirements established in Section P3.2.5.1. x
next due date, and tech initials.
Reports given by third party as required and saved 
Calibration reports shall meet the requirements established in Section P3.2.5.2. x
electronically.
Comments:

3.3 Are thermocouples and protection tubes checked or replaced per Process Tables?

The accuracy of thermocouples is essential for good temperature control, the collection of accurate process data and the protection of furnace equipment.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
All thermocouples are changed out per our PM program 
semiannually.
Thermocouples shall be calibrated before first use, within the temperature range in which 
x
they will be used and meet the accuracy requirements of the Section P3.1 Tables.
We also run third party SAT on a quarterly basis to 
verify the thermocouples.
Control, monitoring and recording thermocouples shall be SAT checked as per the applicable  We run third party SAT on a quarterly basis to verify the 
x
Process Table(s) and Section P3.3.  thermocouples.

The insertion depth of Type K and Type E test thermocouples shall be documented when the  Depth is recorded on SAT calibration certs via insertion 
x
thermocouple is reused as per Section P3.1.3.3. tube: they are protected and a determined length.
Our third party testing company provides the reports 
System Accuracy Test records shall meet the requirements established in Section P3.3.5. x
according to the requirements.
All thermocouples are changed out per our PM program 
Protection tubes shall be checked or replaced in compliance to a documented preventive 
semiannually. All protection tubes are evaluated at the  x
maintenance schedule.
same time.
Comments:

3.4 Are temperature uniformity surveys performed per requirements in Process Tables?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
We use the ongoing capability studies to
assure ourselves that the equipment can
Temperature uniformity surveys shall be conducted per the requirements in the applicable 
meet the requirements. TUS surveys are x
Process Tables, Section 2.0.
preformed per requirements of CQI-9 or
more frequently.

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Actions that alter the temperature uniformity characteristics of a furnace shall be documented 
Any variances are logged in the maintenance program. x
per section P3.4.1.2. 

If used, alternate temperature uniformity test methods shall meet the requirements of Section 
N/A x
P3.4.8.
The upper temperature tolerance shall not be exceeded at any time. Exceptions may exist in  We keep the upper range according to the tolerance or 
systems where multiple process temperatures exist in a single process cycle per section P  according to customer specification: whichever is  x
3.4.5.1. tighest.
The organization’s internal process specification shall define suitable soak time at  Soak time is dependent on load size surveyed as well 
x
temperature requirements for pass/fail determination as per Section P3.4.5.1. as weight capacity of the furnace.

Temperature uniformity survey reporting shall meet the requirements established in Section 
All reporting requirements are met. x
P3.4.7.
Comments:

3.5 Is the variation of the furnace control thermocouple from set point within the requirements in the Process Table?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
The variation between the furnace control thermocouple value and the set point temperature 
Set point and control are within +/- 2.0 F x
shall be within the limits defined in the applicable Process Tables, Section 2.0.
Comments:

3.6 Are the process and equipment alarm checks being tested quarterly or after any repair or rebuild?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
Process alarms exist per the maintenance PM program 
The heat treater shall have a list of alarms that, if not properly working, may have a high 
and listings and are maintained and checked  x
probability of producing non-conforming product.
accordingly.
The listed alarms shall be checked quarterly at a minimum or after any repair or rebuild. This is built into our PM program. x
Other alarms, including but not limited to safety-related, shall be checked per the heat 
This is built into our PM program. x
treater's requirement.
These alarm checks shall be documented. This is built into our PM program. x
Comments:

3.7 Are generators and furnace atmospheres continuously monitored, automatically controlled, and documented?

For furnaces that preclude in-situ control and monitoring, use the method described in Section 3.4.5 "Property Surveys". 
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action

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Generator and furnace atmosphere carbon potential/dew point shall be continuously  All furnaces are automatically controlled and recorded. 
x
monitored, automatically controlled, and documented. The carbon controllers are verified by dew point daily.

The recorded furnace carbon potential shall be controlled within ±0.05 of the set point.  The carbon controllers are verified by dew point daily. x
The recorded dew point shall be controlled within acceptable limits as specified in the control  The generators are monitored continuously and 
x
plan or internal procedures. recorded as well as dewpoint checks.

If generators are not used, the flow rates of the supplied atmosphere gases shall be 
x
monitored and controlled.
There are sensors for carbon potential in the 
The automatic and continuous atmosphere control system shall consist of sensors such as 
environment as a direct result of air and natural gas  x
oxygen probes or on-line infrared (IR) gas analysis.
flow.
All back-up checks are recorded on the data collection 
program and a maintenance work order will record the 
The heat treater shall also have a back-up method of checking carbon potential/dew point. x
problem and the correction. The data collection program 
will show the correlation between the two readings.
Daily PM's for dewpoint are required and logged and 
Back up method verification frequencies shall be conducted according to the applicable 
management continuously monitors the software to  x
process tables.
gage primary against the back up method.
Comments:

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), is correlation of the
3.8
carbon-bearing atmosphere to the primary control method re-established?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
The data collection program will show the correlation 
The back-up atmosphere monitoring system reading and the primary control method 
between the two readings on the maintenance work 
atmosphere dew point/carbon potential reading shall be maintained within the correlation  x
order and the controller output.
limits specified in the control plan or internal procedures.

The back-up carbon potential/dew point reading shall be established using one or more of 
the following methods:
 • Direct measurement of surface carbon of sample
 • Shim Stock
We use the Dew Point check method. x
 • Gas Analyzer
 • Dew Point
 • Wire Resistance
 • Redundant Oxygen Probe
Daily PM's for dewpoint are required and logged and 
management continuously monitors the software to 
gage primary against the back up method.
When a discrepancy has been detected, the correlation shall be re-established between the 
x
back-up and primary method and documented.
Anytime a correlation is not accurate, an adjustment is 
made and documented within the maintenance 
program.
The range tolerances for correlation between the two readings shall be in the control plan or  Process variable tables for each piece of equipment 
x
internal procedures.  define the tolerance and requirement of all readings.
Comments:

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3.9 Are all ammonia lines equipped with a fail-safe method to prevent the inadvertent introduction of ammonia into the furnace?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action

One of the following fail-safe methods shall be used to prevent inadvertent introduction of 
ammonia into the furnace.
 • A quick disconnect or physical separation of the lines All equipment with ammonia available have quick 
x
 • Three-valve ammonia "fail-safe" vent system is permitted. See the definition “Three Valve disconnects installed and used.
   Fail-Safe Vent” and diagram in the glossary.
 • 1 manual and 2 electrical magnetic valves in series

The disconnecting of ammonia atmosphere from non-ammonia bearing atmosphere shall be  The furnace log sheet will show the addition or removal 
x
documented.  of the line.
Comments:

3.10 Is there a minimum of 3 hour purge of the furnace atmosphere when switching from an ammonia bearing atmosphere to a non-ammonia bearing?

Ammonia pick-up can be undesirable in parts and heat treat processes not specifying/requiring ammonia as an addition.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
Procedure OI-008 instructs the operator to have the 
The heat treater shall perform a minimum 3 hours purge prior to processing product not 
ammonia off for 4 hrs prior to running any neutral  x
requiring ammonia as an addition.
harding work.
Any reduction of the 3 hour purge shall require conclusive test data of the atmosphere to 
We do not break the purge rule. x
show no significant amount of residual ammonia is present in the furnace atmosphere.
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  Log sheet records when ammonia is shut off. x
parts in heat treat processes not specifying ammonia.
Comments:

3.11 Do all atmosphere furnaces and generators have flow scopes or flow meters for all gases?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
All atmosphere furnaces and generators (output trim/adjustment gas) shall have flow scopes  All furnaces and generators have flow scopes for all 
x
or flow meters for all gases.  gases.

Flow scopes and meters shall be periodically serviced per the heat treater's preventive 
A PM is in place for inspection and servicing of flow  x
maintenance program.
scopes.

Cleaning and proper re-assembly procedures shall be documented. A PM is in place for inspection and servicing of flow  x
scopes.

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Comments:

3.12 Is there a fail-safe system at the front of continuous belt furnaces for austenitizing to prevent non-uniform loading of parts?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
All process load requirments on the work order and 
Sight glass inspection ports shall exist for the visual evaluation of load distribution. verified on the log sheet. We do not have sight glass  x
inspection ports.
Sight glass inspection ports shall be cleaned per the preventive maintenance schedule. x
We do not have have continuous belt furnaces. Only 
continuous basket-pushing furnaces.
There shall be a fail-safe system implemented on continuous belt furnaces to prevent non 
x
uniform loading of the parts. 
Daily LPA from management to audit loading and log 
sheets are used as well.
In the absence of a fail-safe system, a non-contact thermometry device shall be employed 
with the following requirements met:
We have thermocouples in every zone of the furnaces, 
 • A non-contact thermometry device shall be aimed at the center of product mass from the  including those immediately prior to the quench.
discharge end of the furnace (i.e. bulk head portal) in order to acquire part temperature  x
immediately prior to quenching. All zones are continuously monitored via data collection 
 • A non-contact thermometry device temperature alarm shall be -28°C programs.
(-50°F) maximum of the final zone set point temperature.
 • Non-contact thermometry device temperature data shall be continuously recorded.

Comments:

3.13 Is salt chemistry in the austenitizing salt bath monitored?

This is applicable to salt bath heat treating processes listed in Process Tables A and B.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
The heat treater shall check the salt chemistry in the austenitizing salt bath, or part 
We do not have a salt-bath austemper type of process. x
decarburization.

The heat treater shall conform to the frequency of checks defined in the applicable Process 
We do not have a salt-bath austemper type of process. x
Table Sections 3.
Comments:

3.14 Is the quenching medium analyzed?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action

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Special Process: Heat Treat System Assessment
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The heat treater shall periodically have the quenching medium analyzed for specific 
All furnaces have the quenchant checked by an outside 
quenching characteristics, e.g. cooling curve, water content, salt concentration, as specified  x
lab 4 times per year.
in the applicable Process Tables, Section 5.0. 
The quench medium characteristic tolerances shall be specified by the quench medium 
x
supplier or the heat treater. PM and documentation are logged.

Test results shall be reviewed for conformance and documented by the heat treater. x
PM and documentation are logged.
Comments:

FOR INDUCTION HEAT TREATING

3.15 Is the positioning of each part being controlled?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
We are not using this on a part-specific level; only on 
There shall be a method to ensure proper part position such as the use of proximity switches, 
the level of pusher baskets positioning within the  x
optical sensors or mechanical Poka-Yoke system.
furnace as the load moves forward.
Comments:

3.16 Does the heat treater control the energy or power for each part?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action

All process variables are controlled and monitored per 
The heat treater shall control the energy or power for each part. x
an endothermic gaseous atmosphere environment.
Process variables on flow scopes and carbon, 
Signature monitor or energy monitor shall be used to monitor energy or power to the part and 
temperature, quench, and draw continuously recorded  x
record all out of control events. 
with data collection.
Any alternative method shall be approved by the Customer. x
Comments:

3.17 Does the supplier have a coil management system?

Coil refers to the heating coil and the quench plenum.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
We do not utilize electric coil nor induction hardening 
The heat treater shall have a coil management system.  x
methods.
We do not utilize electric coil nor induction hardening 
Spare coils for each part shall be available on-site. x
methods.
We do not utilize electric coil nor induction hardening 
Coils shall conform to the customer approved design. x
methods.

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Comments:

3.18 Is quench system automatic?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
Sensors and timers control the quench timing on 
The quench system shall be automatically initiated and controlled. x
continous furnaces.
Comments:

Is there a procedure that addresses maintenance of the inductor and quench spray nozzle(s)
3.19
(e.g. quench ring, quench shower)?

Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
There is a preventative maintenance record for 
There shall be a procedure that includes regular inspection and cleaning of the inductor and 
maintaining quench agitation via amperage,  x
quench spray nozzle(s).
temperature, and fluid concentration.
Comments:

3.20 Is there a procedure to purge the air pockets from the quench lines?

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. Factors such as quench line diameter, length, geometry, etc., 
should be considered when establishing the time limit of the downtime.
Assessment
Needs Immediate
Requirements Objective Evidence N/A Satisfactory Not Satisfactory
Action
There shall be a procedure to purge the quench lines after downtime. We do not have induction hardening equipment. x
The Heat treater shall establish the time limit (of the downtime) when this procedure is to be 
We do not have induction hardening equipment. x
followed.
Comments:

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 CQI-9
Special Process: Heat Treat System Assessment
Fourth Edition, June 2020
Job (Shop) Order Actual
Related Customer Pass /
or Reference Condition
Question # Job Audit Question HTSA or Internal Fail /
Documentation (Objective
Question # Requirement NA
Requirement Evidence)
Print and
Stated on customer
Does the heat treat facility have the customer Customer incoming
4.1 1.5 prints: verified on Pass
specifications for the part? Requirement paperwork
incoming paperwork.
attached.
Customer
Product is identified Supplied
by customer part and Product tag is
by the incoming attached to the
Is material identification (part numbers, lot 2.2
Internal paperwork to container and
4.2 numbers, heat numbers, contract numbers, etc.) 2.3 Pass
Requirement produce the work load markers
maintained throughout the heat treat process? 2.4
order and the are used in the
Customer Supplied furnace. Work
Product tag. order stays with
the product.
ENT'D
1.6 10/23/2020
Internal Work order 428919
4.3 Are the Loading/Racking requirements identified? 2.7 stamp on Pass
Requirement lists "Layer Load."
2.9 incoming
paperwork.
1.5 Hand Load, Work order 428919
Is the proper recipe or process specification
1.6 Carburize & lists both the process
(cycle times, temperature, atmosphere, etc.) Work order
4.4 2.1 Harden, Wash, (BOM) steps and Pass
used? Refer to Process Tables, Section 3.0, for attached.
2.14 Temper, Hand also the receipt at
specific parameters.
2.15 Unload the bottom.

What are the product inspection requirements per

4.5 2.15 HRC 58-62, Case Depth .025"-.035" Total Pass
the Control Plan?
Surface
Work order
4.5.1 Requirement: (1) Hardness as Work order 428919 Pass
attached.
Quenched
Test Method: Rockwell C Pass
Every load for
batch. Every 4 2 pieces required
Test frequency or quantity: hours for run and checked per 428919 Pass
continuous load. (4 loads)
runs

Selection of samples: Random Pass

Specification: HRC 58-62 Pass
Case Depth as Work order
4.5.2 Requirement: (2) Work order 428919 Pass
Quenched attached.
Section 1
piece per load,
apply etch
solution, and
Test Method: use scope to Pass
visually inspect
case
development
on surface

1 piece per 1 piece required and

Test frequency or quantity: 428919 Pass
load. checked per load.

Selection of samples: Random Pass

Specification: Case Depth .025"-.035" Total Pass
Surface
Work order
4.5.3 Requirement: (3) Hardness after Work order 428919 Pass
attached.
Temper
Test Method: Rockwell C Pass
3 pieces per
3 pieces required
load, 5 pieces
Test frequency or quantity: and checked per 428919 Pass
per order
load.
minimum

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Job (Shop) Order Actual

Related Customer Pass /
or Reference Condition
Question # Job Audit Question HTSA or Internal Fail /
Documentation (Objective
Question # Requirement NA
Requirement Evidence)
Selection of samples: Random Pass
Specification: HRC 58-62 Pass
4.5.4 Requirement: (4)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:

Operator or Inspector Responsibilities

1.4
2.2 Internal Yes; work order
4.6 Were appropriate process steps signed off? Work Order 428919 Pass
2.3 Requirement attached.
2.14
Were all inspection steps, as documented in the 1.2 Internal Yes; work order
4.7 Work Order 428919 Pass
control plan performed? 1.4 Requirement attached.
1.2
Were steps/operations performed that were not
4.8 1.4 No Pass
documented in the control plan?
1.6
1.2
1.4
If additional steps were performed, were they
4.9 1.6 N/A N/A
authorized?
1.11
1.17
Does the governing specification allow
4.10 1.11 N/A No Pass
reprocessing or rework?

If the order was certified, did the certification 2.14

4.11 N/A N/A
accurately reflect the process performed? 2.15

Was the certification signed by an authorized

4.12 1.17 N/A N/A
individual?

Visual inspection and

Are the parts and containers free of inappropriate 2.6 random process
4.13 Yes Pass
objects or contamination? 2.11 audits including trap
points

Packaging Requirements

4.14 Are packaging requirements identified? 2.9 Work order 428919 4 Tubs Pass

Are parts packaged to minimize mixed parts (for Work order

4.15 2.9 N/A Pass
example, parts packed over height of container)? 428919

Shipping Requirements

Shipping/Receiving
Yes - Work
personnel compares
2.3 order 428919
4.16 Were the parts properly identified? shipper to work order Pass
2.9 compared to
after job is complete
shipper 265557
(prior to shipment).

Incoming paperwork
is weighed up and
given an order on the
weight receipt; that Work order
2.3 Internal
4.17 Were the containers properly labeled? order # is transferred 428919 and Pass
2.9 Requirement
to the work order and CSP order #101.
the Customer
Supplied Product tag
on the tub.

2 2020 Copyright AIAG

 CQI-9
Special Process: Heat Treat System Assessment
Fourth Edition, June 2020

Job (Shop) Order Actual

Related Customer Pass /
or Reference Condition
Question # Job Audit Question HTSA or Internal Fail /
Documentation (Objective
Question # Requirement NA
Requirement Evidence)
Print and
Stated on customer
Does the heat treat facility have the customer Customer incoming
4.1 1.5 prints: verified on Pass
specifications for the part? Requirement paperwork
incoming paperwork.
attached.
Customer
Product is identified Supplied
by customer part and Product tag is
by the incoming attached to the
Is material identification (part numbers, lot 2.2
Internal paperwork to container and
4.2 numbers, heat numbers, contract numbers, etc.) 2.3 Pass
Requirement produce the work load markers
maintained throughout the heat treat process? 2.4
order and the are used in the
Customer Supplied furnace. Work
Product tag. order stays with
the product.
ENT'D
1.6 10/19/2020
Internal Work order 428762
4.3 Are the Loading/Racking requirements identified? 2.7 stamp on Pass
Requirement lists "hand load."
2.9 incoming
paperwork.
1.5 Work order 428762
Is the proper recipe or process specification
1.6 Hand Load, lists both the process
(cycle times, temperature, atmosphere, etc.) Work order
4.4 2.1 Solution, Age, (BOM) steps and Pass
used? Refer to Process Tables, Section 3.0, for attached.
2.14 Hand Unload also the receipt at
specific parameters.
2.15 the bottom.

What are the product inspection requirements per

4.5 2.15 BHN 70 Min Pass
the Control Plan?
Surface Work order
4.5.1 Requirement: (1) Work order 428762 Pass
Hardness attached.
Test Method: BHN Pass
Only 2 pieces
3 pieces per
Test frequency or quantity: checked. 3 pieces 428762 Fail
basket
required
Selection of samples: Random Pass
Specification: BHN 70 Min Pass
4.5.2 Requirement: (2)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
4.5.3 Requirement: (3)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
4.5.4 Requirement: (4)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:

Operator or Inspector Responsibilities

1.4
2.2 Internal Yes; work order
4.6 Were appropriate process steps signed off? Work Order 428762 Pass
2.3 Requirement attached.
2.14
Were all inspection steps, as documented in the 1.2 Internal Yes; work order
4.7 Work Order 428762 Pass
control plan performed? 1.4 Requirement attached.

1 2020 Copyright AIAG

 CQI-9
Special Process: Heat Treat System Assessment
Fourth Edition, June 2020

Job (Shop) Order Actual

Related Customer Pass /
or Reference Condition
Question # Job Audit Question HTSA or Internal Fail /
Documentation (Objective
Question # Requirement NA
Requirement Evidence)
1.2
Were steps/operations performed that were not
4.8 1.4 No Pass
documented in the control plan?
1.6
1.2
1.4
If additional steps were performed, were they
4.9 1.6 N/A N/A
authorized?
1.11
1.17
Does the governing specification allow
4.10 1.11 N/A No Pass
reprocessing or rework?

If the order was certified, did the certification 2.14

4.11 N/A N/A
accurately reflect the process performed? 2.15

Was the certification signed by an authorized

4.12 1.17 N/A N/A
individual?
Visual inspection and
Are the parts and containers free of inappropriate 2.6
4.13 random process Yes Pass
objects or contamination? 2.11
audits.
Packaging Requirements

4.14 Are packaging requirements identified? 2.9 Work order 428762 1 Basket Pass

Are parts packaged to minimize mixed parts (for Work order

4.15 2.9 N/A Pass
example, parts packed over height of container)? 428762

Shipping Requirements

Shipping/Receiving
Yes - Work
personnel compares
2.3 order 428762
4.16 Were the parts properly identified? shipper to work order Pass
2.9 compared to
after job is complete
shipper 265528
(prior to shipment).

Incoming paperwork
is weighed up and
given an order on the
weight receipt; that Work order
2.3
4.17 Were the containers properly labeled? order # is transferred 428762 and Pass
2.9
to the work order and CSP order #29.
the Customer
Supplied Product tag
on the basket.

2 2020 Copyright AIAG