CQI-9 Self Assessment in 2018

CQI-9
Special Process: Heat Treat System Assessment

Version 3, Issue 10/11
Facility Name: Kenos Industrial Corporation

Address: No. 25 Ben Gong west 2nd Road Gang Shan district Kaohsiung city
Phone Number: 886-7-622 9969 Type(s) of Thermal Processing at this Facility:

Fax Number: 886-7-6229968 Process Table A - Ferrous
Carburizing Y
Number of Heat Treat Employees at this Facility: 45 Carbonitriding Y
Carbon Restoration N
Internal (Captive) Heat Treater (Y/N): N Neutral Hardening Y
(Quench and Temper)
Commercial Heat Treater (Y/N): Y Austempering / Martempering N
Tempering Y
Date of Assessment: 20-Feb-2018 Precipitation Hardening / Aging N
Date of Previous Assessment: 16-Feb-2017

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

Aluminum Heat Treatment N
Process Table D - Ferrous

Induction Heat Treating N
Process Table E
Annealing N
Normalizing N
Stress-Relieving N
Process Table F
Low Pressure Carburizing N
Process Table G
Sinter Hardening N
Process Table G
Ion Nitriding N
Current Quality Certification(s): ISO 9001:2015
Date of Re-assessment (if necessary):
Personnel Contacted:
Name: Title: Phone: Email:
Spencer Lee General Manager 886-918068066 spencer@kenos.com.tw
Auditors/Assessors:
Name: Company: Phone: Email:
Spencer Lee Kenos industrial Co., 886-7-6229969 spencer@kenos.com.tw
Number of "Not Satisfactory" Findings:

0
Number of "Needs Immediate Action" Findings:

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

0
CQI-9
Assessment
Question Not Needs Immediate

Question Requirements and Guidance Objective Evidence N/A Satisfactory
Number Satisfactory Action
Section 1 - Management Responsibility & Quality Planning

The organizational chart and job
To ensure readily available expertise, there shall
description decribe every employees' job
be a dedicated and qualified heat treat person on
scope and training needed
site. This individual shall be a full-time employee
and the position shall be reflected in the
General manager : 13 years managing
Is there a dedicated and organization chart. A job description shall exist
experience in heat treatment process
1.1 qualified heat treat person on- identifying the qualifications for the position v
site? including metallurgical and heat treat knowledge.
plant manager : 10 years operating and
The qualifications shall include a minimum of 5
maintenance experience in heat treatment
years experience in heat treat operations or a
process
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
Organizational chart and job discription
study shall be performed and internally approved
are issed and documented
for each part. Similar parts can be grouped into
part families for this effort as defined by the
If any equipment or operating parameter
Does the heat treater perform organization. After the part approval process is
1.2 relating quality are changed, Kenos should v
advanced quality planning? approved by the customer, no process changes
notify customer and get approval begore
are allowed unless approved by the customer.
changing.
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 The FMEA meeting has been held to
for each process. In any case, they shall address
1.3 date and reflecting current review each parts' quality request and v
all process steps from part receipt to part shipment
processing? updated them on July, 2017
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
CQI-9
Assessment


The organization shall incorporate the use of a
documented Control Plan procedure and ensure
the Control Plans are updated to reflect current
controls.
The Control Plans shall be written for each part or
part family or they may be process-specific and
written for each process. In any case, they shall
address all process steps from part receipt to part
shipment and identify all equipment used and all
key heat treat process parameters as defined by The control plan has been reviewed and
the organization. updated them on June, 2017.
Are heat treat process control
A cross-functional team, including a production
1.4 plans up to date and reflecting v
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.
To ensure all customer requirements are both

understood and satisfied, the organization shall
have all related heat treat and customer
referenced standards and specifications available
for use and a method to ensure that they are
current. Such standards and specifications include,
but are not limited to, those relevant documents
published by SAE, AIAG, ASTM, ISO, EN, JIS,
Are all heat treat related and General Motors, Ford, and Chrysler. The
referenced specifications organization shall have a process to ensure the
current and available? For timely review, distribution, and implementation of
The international specifications or
example: Industry and all customer and industry engineering standards /
standards of SAE, AIAG, ISO, SAE, Ford,
1.5 customer specific specifications and changes based on customer- v
Toyota, ASME, Mitsubishi and IFI are
specifications such as SAE, required schedule. Timely review should be as
updated and filed on hand.
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 1.The working instruction (WI) of W-P-23
all steps of the process including relevant has specified the operating parameters of
operating parameters. Examples of operating quenching, tempering, and oil
parameters include process temperatures, cycle temperature, quenching and tempering
times, load rates, atmosphere or gas flow settings, time, and CP setting in term of
Is there a written process belt speeds, quench agitation speeds, etc. Such mechanical properities request. All
1.6 specification for all active parameters shall not only be defined, they shall peremetes will be kept in computer for v
processes? have operating tolerances as defined by the tracing in the furture.
organization in order to maintain process control.
All active processes should have a written 2. The operating parameters affected
process specification. quality are organized as a recipe (module)
These process specifications may take the form of that will keep the quality same as previous
work instructions, job card, computer-based baches.
recipes, or other similar documents.
3
CQI-9
Assessment


To demonstrate each process is capable of
yielding acceptable product the organization shall
perform process capability studies for the initial
validation of each process, after relocation of any
process equipment, & after a major rebuild of any
equipment. The organization shall define what
constitutes a major rebuild. Initial process
capability studies shall be conducted for all heat
treat processes per furnace line defined in scope
of work & in accordance with customer The process capability studies will be
Has a valid process capability
requirements. A furnace line may include a conducted when new equipment is
study been performed initially
combination of equipment that is integrated in the completely installed or relocated.
1.7 and after process equipment v
performance of a heat treatment process, e.g.,
has been relocated, or had a
hardening, quenching, and tempering. Capability The CPK study has been conducted in
major rebuild?
study techniques shall be appropriate for the heat accordance with customers' request.
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.
All operating datas were kept in computer

The analysis of products and processes over time
for checking and test result will be
can yield vital information for defect prevention
recorded in ERP system for analysis when
efforts. The organization shall have a system to
Does the heat treater collect necessary.
collect, analyze, and react to product or process
and analyze data over time,
1.8 data over time. v
and react to this data? Surface hardness, code hardness, case
Methods of analysis shall include ongoing trend or
depth and tensile strength are inclued to
historical data analysis of product or process
modify the quenching temperature, time
parameters. The organization shall determine
and tempering temperaure and time.
which parameters to include in such analysis.
Management shall review the furnace monitoring

systems at intervals not to exceed 24 hours. The
heat treat monitoring system includes but is not
Management should check the operating
limited to temperature strip charts, atmosphere
Is management reviewing the data record, alarm system recorded in
strip charts, computer data logs, furnace and
heat treat monitoring system computer historical record and foreman
1.9 operator logs, etc. v
every 24 hours? shifting report everyday.
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 The internal audit will be implemented
1.10 assessments on an annual basis, at a minimum, v
basis, at a minimum, using from Jan. to Feb. 2018.
using the AIAG HTSA.
AIAG HTSA?
4
CQI-9
Assessment

The OEM Section 1 - when

shall be notified Management
parts are Responsibility & Quality Planning
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 1. QCdepartment will issue the reprocess
for reprocessing, the heat treater shall meet the sheet per working instruction when the the
following requirements: test quality is not to meet customer's
• The heat treater shall submit for approval by the requirement.
OEM customer the reprocessing procedure and 2. The reproceess sheet should get plant
this procedure shall be referenced in the heat manager and GM approval prior to
Is the OEM customer notified treater’s FMEA and process control plan
1.11 reprocessing. v
when parts are reprocessed? • The procedure shall describe product
3. QC will notify customer either fax test
characteristics for which reprocessing is report or contact customer by phone to
permissible as well as those characteristics for dicscribe the reason why the part should
which reprocessing is not permissible. be reprocessed.
• Any reprocessing activity shall require a new 4. QC will notify customer when the parts'
processing control sheet issued by qualified quality is OK after reprocess.
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.
1. QC supervisor is resonposile for
documenting test result and discussing
The quality management system shall include a
Does the Quality Department with plant manager the quality issues
process for documenting, reviewing, and
review, address, and when she found.
1.12 addressing customer concerns and any other v
document customer and 2. QC supervisor will call a meeting to
concerns internal to the organization. A disciplined
internal concerns? point out the problem after testing and
problem-solving approach shall be used.
come up with the method of solution in the
meeting.
1. General manager will call a quality
meeting and modify operating parameter
The heat treater shall define a process for
when got major customer's complain
continual improvement for each heat treat process
2. Once the operating parameter are to
Is there a continual identified in the scope of the HTSA. The process
meet customers' quality, these parameters
improvement plan applicable shall be designed to bring about continual
1.13 will be created a new recipe and kept in v
to each process defined in the improvement in quality and productivity. Identified
computer.
scope of the assessment? actions shall be prioritized and shall include timing
3. Management will regularly review
(estimated completion dates). The organization
existing recipe and modify them if
shall show evidence of program effectiveness.
customer change parts' material or
specification.
Does the Quality Manager or

The Quality Manager is responsible for authorizing Quality supervisor and production
designee authorize the
1.14 and documenting appropriate personnel to supervisor will regularly check the v
disposition of material from
disposition quarantine material. disposition of parts from quarantined area.
quarantine status?
All procedrues and work instuctions are

There shall be procedures or work instructions placed at control room, so the production
available to heat treat personnel covering the heat persons are easy to get them when
treating process. These procedures or work necessary.
Are there procedures or work
instructions shall include methods of addressing
instructions available to the
potential emergencies (such as power failure), The procedures of power failure, quality
1.15 heat treat personnel that v
equipment start-up, equipment shut-down, product inspection,furnace startup and shutdown,
define the heat treating
segregation (See 2.8), product inspection, and product segregation and product
process?
general operating procedures. These procedures inspection have been issued and
or work instructions shall be accessible to shop implemented in place. All procedures are
floor personnel. placed in the conrol room that are able to
read them easily.
5
CQI-9
Assessment

Section 1 - Management Responsibility & Quality

All foremen and operators
The organization shall provide employee training
Planning
are trained
once a month.
for all heat treating operations. All employees,
including backup and temporary employees, shall
Periodical meeting will be held to instruct
be trained. Documented evidence shall be
Is management providing and prevent the quality issues happened
maintained showing the employees trained and the
1.16 employee training for heat again which include mixing problem, v
evidence shall include an assessment of the
treating? weigh loss, and wrong location
effectiveness of the training. Management shall
define the qualification requirements for each
The trining and meeting minutes are kept
function, and ongoing or follow-up training shall
at personnel department.
also be addressed.
The organization shall maintain a responsibility 1. The organizational chart is updated

matrix identifying all key management and every year.
Is there a responsibility matrix
supervisory functions and the qualified personnel
to ensure that all key
who may perform such functions. It shall identify 2. The job scope and traing need are
1.17 management and supervisory v
both primary and secondary (backup) personnel specified in job description.
functions are performed by
for the key functions (as defined by the
qualified personnel?
organization). This matrix shall be readily available 3. Which couses should be trained and
to management at all times. passed are decribed in the job description.
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 1. Quenching, tempering thermocouples,
efforts from request to completion to assessment have been calibrated in September 2017
of effectiveness. Equipment operators shall have
Is there a preventive
the opportunity to report problems, and problems 2. All motors and gear reducers of each
maintenance program for all
shall also be handled in a closed-loop manner. conveyor have been ckecked once a
heat treat equipment? Is
month
1.18 maintenance data being v
Company data, e.g., downtime, quality rejects, first-
utilized to form a predictive
time-through capability, recurring maintenance 3. 2 picese of oxygen sensor have been
maintenance program?
work orders, and operator-reported problems, shall calibrated in October 2017.
be used to improve the preventive maintenance
program. 4.All inspection records and calibration
recordsin 2017 are kept in files.
Maintenance data shall be collected and analyzed
as part of a predictive maintenance program.
1. Spare part list have already been

Has the Heat Treater developed and implemented to keep
The heat treater shall develop and maintain a
developed a critical spare part minimum quantiries as internal safety
critical spare parts list and shall ensure the
1.19 list and are the parts available invetory v
availability of such parts to minimize production
to minimize production 2. Maintenace will make up the amount of
disruptions.
disruptions? parts when the quantities of inventory is
lower than minimum safety inventory.
1. When customers change different mill,
Is material from different steel Different steel mill heats or metals which require these parts will see as a new incoming
mill heats or metals which different heat treat parameters, such as but not parts.
may preclude achieving the limited to, austentizing, quenching, or tempering
1.20 v
specified metallurgical times and/or temperatures shall be processed 2. The parts of different mill will be tested
properties prevented from separately in order to achieve specified by sample to obtain proper operating
being processed together? metallurgical properties. parameter in accordance with procedure
of "recipe creation for new incoming parts
Section 2 - Floor and Material Handling Responsibility
6
CQI-9
Assessment

It is criticalSection 1 - Management
that all customer Responsibility & Quality Planning
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
1. Computers staff should check and make
documents. Documented processes and evidence
sure all customers providing information
Does the facility ensure that of compliance shall exist, e.g., shop travelers,
prior to the computer process.
the data entered in the work orders, etc. Sometimes the material
2.1 receiving system matches the received does not precisely correspond to v
2. The parts receiving staffs shall check
information on the customer's customer shipping documents. The facility shall
the parts' quantities, size, and quality
shipping documents? have a detailed process in place to resolve
condition and confirm them with
receiving discrepancies.
customer's providing infprmation .
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.
1. Customers' parts container will be

placed a ID card and triangle flag (green,
Procedures for part and container identification red, yellow, blue) to identify stored
help to avoid incorrect processing or mixing of lots. location and basical information.
Appropriate location and staging within the facility
also help to ensure that orders are not shipped 2. Non-heat treated and already heat
Is product clearly identified until all required operations are performed. treated parts are stored at diffenert
2.2 and staged throughout the Customer product shall be clearly identified and location to prevent mixed problem. v
heat treat process? staged throughout the heat treat process. Non-
heat treated, in-process, and finished product shall 3. Computer staffs will key-in customer's
be properly segregated and identified. All material providing information including basical and
shall be staged in a dedicated and clearly defined mechanical properies request information
area. in the ERP system and then issue new
shop order.
Out-going lot(s) shall be traceable to the incoming

lot(s).
All information for parts heat treating
Is lot traceability and integrity The discipline of precisely identifying lots and
process are kept in computer that is easy
2.3 maintained throughout all linking all pertinent information to them enhances v
to trace back by either customer' shipping
processes? the ability to do root cause analysis and continual
number or shop order number.
improvement.
The control of suspect or non-conforming product

is necessary to prevent inadvertent shipment or
contamination of other lots. Procedures shall be
Non confirming parts will be kept at
Are procedures adequate to adequate to prevent movement of non-conforming
dedicated area and its container will be
prevent movement of non- product into the production system. Procedures
2.4 put a red card to describe what is the v
conforming product into the shall exist addressing proper disposition, product
problems of quality and forbidden to be
production system? identification, and tracking of material flow in and
moved without plant manager authority.
out of the hold area. A non-conforming hold area
shall be clearly designated to maintain segregation
of such material.
1. Periodially check all trap areas such as

Heat-treating furnaces and other processing
quenching, oil conveyor,front/rear washing
equipment contain areas that have a risk of
machine hoppers, if the parts are stopped
trapping or holding parts. Such trapping of parts
there, formen and operators should move
Is there a system to identify can lead to damage, improperly processed parts
them.
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. The top covers or manholes at the back
2.5 mixed parts (inappropriate, process to reduce risk of mixed parts v
of quenching furnace should be opened
non-heat treated, or (inappropriate, non-heat treated, or improperly
twice a year to check the inside of
improperly heat treated heat treated parts). The heat treater shall have
refractory and brick condtion. If the parts
parts)? documented procedures to identify and monitor
are found and stopped beside hopper,
trap points for each process/equipment.
maintence people or vendor of furnace
Monitoring of potential trap points shall occur for
should fix them immediately.
every part changeover.
7
CQI-9
Assessment

1. Formen or operators
Section 1 - Management Responsibility should check
& Quality Planning
Containers handling customer product shall be inside of bins/barrels after finishing
free of inappropriate material. After emptying and feeding parts and remove all parts when
before re-using containers, containers shall be the parts are remained in the inside of
inspected to ensure that all parts and inappropriate container.
Are containers free of
2.6 material have been removed. The source of v
inappropriate material?
inappropriate material shall be identified and 2. The operators working at parts
addressed. This is to ensure that no receiving site should check and clean the
nonconforming heat treated parts or inappropriate inside of container, If the parts are found in
material contaminate the finished lot. the inside of container, they should
remove all parts.
1. The formen or operators should get the
weigh of each batch before feeding to
furnace.
Furnace loading parameters shall be specified,
documented, and controlled. Examples include
Is furnace loading specified, 2.The weight of each batch are recorded
2.7 feed rate, belt speed, number of parts per fixture, v
documented and controlled? at the back of label and daily production
and load weight. Refer to Process Tables, Section
report.
3.0, for frequency of checks.
3. Feeding rate , belt speed of each batch
are recorded at the computer
Unplanned or emergency downtime greatly raises
the risk of improper processing. Operators shall
1. The parts in process will be isolated
be trained in material handling, containment
when power is shutdown over 30 miniutes.
Are operators trained in action, and product segregation in the event of an
( per working instruction W-P-20
material handling, equipment emergency including power failure.
emergency responsse while power failure)
containment action and Training shall be documented. Work instructions
2.8 product segregation in the specifically addressing potential types of v
2. All non-confirming parts affected by
event of an equipment equipment emergencies and failures shall be
power failure will be moved to non
emergency including power accessible to and understood by equipment
confirming area and place a red card in
failure? operators. These instructions shall address
the container to control them.
containment actions related to all elements of the
heat-treating process, e.g., loading, austentizing,
quenching, tempering.
1. All parts are properly stored at the
Handling, storage, and packaging shall be inside of warehouse
adequate to preserve product quality. The heat
treater’s furnace loading system, in-process 2. All hoppers have been instaledl the
handling, and shipping process shall be assessed plastic plate ensuring all parts cannot be
Is the handling, storage and
for risk of part damage or other quality concerns. damaged when parts are contacted
2.9 packaging adequate to v
Some equipment includes conveyors and other mutually or steel hoppers.
preserve product quality?
moving components that may not be able to
handle all part configurations. Other practices 3. All inside of containers should be
such as stacking of overloaded containers can cleaned and placed several papers to
also increase the risk of part damage. prevent oil contamination.
Plant cleanliness, housekeeping, environmental, 1. All Management regularly check the

and working conditions shall be conducive to equipment and working enviroment
controlling and improving quality. The heat treater everyday.
Are plant cleanliness,
should evaluate such conditions and their effect on
housekeeping, environmental
quality. A housekeeping policy shall be clearly 2. Maintenace workers cleaned equipment
2.10 and working conditions v
defined and executed. The facility shall be before furnace starting up every time.
conducive to control and
reviewed for conditions that are detrimental to
improved quality?
quality processing such as loose parts on floor, oil 3. Operators is reponsible for cleaning
around quench tanks, inadequate plant lighting, furnaces and removing the parts that are
smoke, etc. falled or jumped out to outside.
8
CQI-9
Assessment


Many heat-treated parts are subjected to surface
finish or appearance operations such as plating or
coating after heat treatment. Parts shall be free 1. There are two washing machines to be
from contaminants that are detrimental to installed at down stream of quenching oil
subsequent processes or the product. Pre-wash (if conveyor for each furnace that all parts
applicable) and post-wash parameters shall be sufure are able to be cleaned completely.
monitored and documented. Oils and other
contaminants or residues can be difficult to remove 2. Foremen and operators should check
Are parts free from
once subjected to the heat treatment process. all water condition of washing machines
contaminants that would be
2.11 Review the chemical supplier’s recommendation and remove oil, paper and clothes when v
detrimental to the heat
for cleaning the system. Parts shall be free of rust, they find.
treatment of the product?
burrs, chips, detrimental amounts of drawing
compound, cutting fluids, rust preventing oils, 3. Operators should periodically clean all
lubricants, etc., prior to heat treat. spray nozzles of washing machines
Note: Refer to the appropriate heat treater's everyday.
requirements and specifications to determine
acceptability. Refer to Process Table, Section 5.0,
for frequency of checking washer solutions.
1. All parameters such as temperature,

The quenching system shall be monitored,
time, carbon potential set point and
documented, and controlled. The temperature,
process actual reading for quenching
agitation, level, concentration (if applicable), time
furnace, oil quenching, washing machine
in the quenchant, and additions shall be controlled
and tempering furnace are integrated in a
to the heat treater's specifications. Refer to
page that is more easy and convenient to
Process Tables, Sections 3.0 and 5.0, for
know operating situation and revise them
frequency of checks. Computer-monitoring
Is the quenching system when necessary.
equipment, with alarms and alarm logs, satisfy the
2.12 monitored, documented, and v
verification requirement. Quench delay tolerance
controlled? 2. All historical records are kept in the
and alarm is required for furnaces with integral
computer that we are able to check them if
quench tanks.
necessay.
Temper delay time shall be specified by the heat
3. The loction of parts in the furnance are
treater for parts that are quenched and tempered,
well known from computer that is able to
e.g., carburizing, carbonitriding, neutral hardening,
help operators to adjust parameters
solution treating and aging.
according to the parts' size and length.
Parts are often dipped in or sprayed with rust 1. All parts to will be sprayed with rust
preventive solutions immediately after the heat preventive oil after tempering when
treating process. Soluble oil solutions or other rust customers request these parts should be
Is soluble oil or other rust
preventive solutions shall be monitored and dipped in oil.
2.13 preventive monitored and v
controlled, if applicable. The heat treater shall
controlled if applicable?
have and maintain documented tolerances for the 2. The inventory of rust preventive solution
solutions. Refer to Process Tables, Section 5.0, in plantsite is kept in 100 gallons that can
for frequency of checks. be used one month only.
1. There are two computer monitors to be
installed at inside and outside of control
room that foremen and operators can be
easy to monitor the real time reading or
Process control parameters shall be monitored per
correct set point value when needed.
frequencies specified in Process Tables. Refer to
Are process control Process Tables, Section 3.0. Computer
2. Management shall check the alarm
parameters monitored per monitoring equipment with alarms and alarm logs
2.14 record and alarm log sheet from historical v
frequencies specified in satisfy the verification requirement. A designated
record from computer every morning and
Process Tables? floor person shall verify the process parameters,
have signature on shifting report after
e.g., by initialing a strip chart or data log.
checking.
Management review is required per Question 1.9.
3. All management shall check the
operating paramenter from historical
record of computer every morning that will
1. 4 samples at quenching and tempering

in a defined period shall be taken and
tested by foremen. This test results will
Are In-Process / Final Test In-Process / Final Test Frequencies shall be
be shown on the shop order that will be a
2.15 Frequencies performed as performed as specified in Process Tables. Refer v
wittness to take samples in time.
specified in Process Tables? to Process Tables, Section 4.0.
2.QC department will take above same
samples again as the final test.
9
CQI-9
Assessment

Product testSection
equipment1shall
- Management
be verified. Test Responsibility
1. QC shall issue a&schedule
Quality Planning
of yearly
equipment shall be verified/calibrated per calibration to specify which testing
applicable customer-specific standard or per an instruments and when should be
applicable consensus standard such as those calibrated.
Is product test equipment
2.16 published by ASTM, DIN, EN, ISO, JIS, NIST, v
verified?
SAE etc. Verification/calibration results shall be 2. All testing instruments shall be posted a
internally reviewed, approved, and documented. tag to verify these instruments have been
Refer to Process Tables, Section 1.0, for calibrated and complied with the
frequency of checks. calibration schedule.
Section 3 - Equipment
The heat-treat equipment including furnaces,
generators, and quench systems shall have proper The quenching time,temperature and
Do furnaces, generators, and process controls and related equipment. Examples carbon potential, quenching oil
3.1 quench systems have proper include temperature, carbon potential/dew point, temperature and tempering temperature v
process control equipment? gas flows, quench monitoring system including and time are controlled by PLC and
agitation, temperature control, etc. as listed in the computer automatical control system.
applicable Process Tables, Section 1.0.
1. Thermal couples, temperature and CP
controller, standard temperature testing
The calibration and certification of the process instrument and quenching temperature
Are process equipment equipment shall be checked at regular specified profile have been completely calibrated in
3.2 calibrations and/or verification intervals. Refer to the applicable Process Tables, 2017. v
certified, posted, and current? Sections 1.0 and 2.0, for equipment calibration or
certification time tables. 2. The calibration of quenching and
tempering belt speed have been done in
2017.
1. The thermal couples have been
The thermocouples and protection tubes shall be renewed 10 pcs because the deviation is
Are thermocouples &
checked or replaced in compliance to a preventive over 5°C when calibrated in 2017
3.3 protection tubes checked or v
maintenance schedule. Refer to the applicable
replaced per Process Tables?
Process Tables, Section 2.0. 2. Thermal couples shall be changed after
using 5 years althought it is available.
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 The temperature uniformity of quenching
surveys performed per pusher furnaces preclude direct temperature and tempering furnace had been already
3.4 v
requirements in Process profiles. Alternate test methods per Section 3.4.5 tested in 2017. The testing result is very
Tables? are acceptable for furnaces where temperature well.
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 All temperature controller for each furnace
3.5 set point within the v
Process Tables, Section 2.0. For Ion nitriding have been calibrated in 2017.
requirements in the Process
refer to Process Table H Item # H2.5 for specific
Table?
requirements.
1. Alarm system of quenching and
The heat treater shall have a list of heat treat
tempering control system, oil temperature
process and equipment alarms that, if not properly
and level system are tested everyday
working, may have a high probablity of producing
ensuring all alarm systems are in good
non-conforming product. These alarms shall be
condition.
checked quarterly at a minimum or after any repair
Are the process & equipment
or rebuild.
3.6 alarm checks being tested for 2. Plant manager and production v
proper function? supervisor shall check all furnace
Other alarms, including but not limited to safety-
temperature historical records from
related, shall be checked per heat treater's
computer.
requirment.
3.Foremen and operators are responsible
These alarm checks shall be documented.
for alarm testing.
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.
10
1. Quenching furnace has 2 sets of oxygen
NOTE: For rotary retort and shaker furnaces that sensor that is able to control propane flow
CQI-9
Assessment

Question GeneratorRequirements and Guidance
and furnace atmosphere carbon Objective Evidence N/A Satisfactory
potential/dew point shall be continuously
monitored,Section 1 controlled,
automatically - Managementand Responsibility & Quality Planning
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.
1. Quenching furnace has 2 sets of oxygen
NOTE: For rotary retort and shaker furnaces that sensor that is able to control propane flow
preclude in situ control and monitoring, the method into furnace automatically to meet set
Are generators and furnace described in Section 3.4.5 "Property Surveys" shall point value.
atmospheres continuously be used.
monitored, automatically
2. There are 2 sets of flow meters of
controlled, and documented? If generators are not used, the flow rates of the
3.7 propane to be installed at quenching V
NOTE: This requirement is supplied atmosphere gases shall be monitored furnace that enable to ajusted flow by
specific to Process Tables A, and controlled. manual if necessary.
B, E, F, and G; Sections 1.0
and 3.0. The automatic and continuous atmosphere control 3. If atomsphere in quenching furnace fail
system shall consist of sensors such as oxygen to control, we will shut down immediately
probes or on-line Infrared (IR) gas analysis. The for inspection.
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.
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 1. There are 8 sets of spare O2 sensors
not correlate within pre- specified in the control plan or internal procedures. inventory.
established limits with the These range tolerances vary with the specific heat
primary control method treat process and the equipment used. 2. All CP controller have been completely
(carbon potential/dew point The heat treater shall make appropriate technical calibrated on September, 2017
3.8 reading), is correlation of the adjustments and then re-establish/demonstrate the v
carbon-bearing atmosphere to correlation of the actual atmosphere carbon 3. Periodically check the reading of
the primary control method re- potential/dew point reading to the primary control oxygen sensor resistance per instruction
established? and back-up atmosphere reading. The range manual ensuring all sensors are operated
tolerances for correlation between the two in good condition.
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: 1. Foremen shall close ammonia block
• A quick disconnect or physical separation of the valve prior to changing none ammonia
lines parts.
• Three-valve ammonia "fail-safe" vent system is
Are all ammonia lines permitted. See the definition “Three Valve Fail- 2. Plant manager and production
equipped with a fail-safe Safe Vent” and diagram in the glossary. supervisor shall make a notification on the
3.9 v
method to prevent ammonia • 1 manual and 2 electrical magnetic valves in shop order to remind foremen closing
leaks into the furnace? series ammonia valve when change to produce
non ammonia process.
The heat treater shall show evidence that
ammonia lines were disconnected for non-
ammonia bearing atmosphere processes.
11
CQI-9
Assessment

Section
Ammonia pick-up 1 -undesirable
can be Management Responsibility
in parts and & Quality Planning
heat treat processes not specifying/requiring
ammonia as an addition.
1. Operators shall follow the notification
The heat treater shall perform a minimum 3 hours
written on the shop order to shut off
purge prior to processing product not requiring
Is there a miniumum of 3 hour ammonia flow meter valve and purge
ammonia as an addition. Reduction of 3 hours
purge of the furnace ammonia for 3 hours minimum.
purge requires conclusive test data of the
atmosphere when switching
3.10 atmosphere to show no significant amount of v
from an ammonia bearing 2. The purge time for removing ammonia
residual ammonia is present in the furnace
atmosphere to a non- shall be recorded on the computer.
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.
1. The protected gas is generated by

All atmosphere furnaces and generators (output
dipped in methanol instead of generator.
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 2. There are 4 methanol flow meters and 2
3.11 shall be periodically serviced per the heat treater's v
scopes or flow meters for all propane flow meters installed beside
preventive maintenance program. Cleaning and
gases? quenching furnace that are able to adjust
proper re-assembly procedures shall be
the flow of methanol and propane for
documented.
setting CP.
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
1. The temperature of inside furnace shall
Is there a rigorous fail-safe at maintenance/adjustments to ensure proper
be measured by portable infrared
the front of the furnace to efficiencies and physical limitation for part
temerature meter once a week.
prevent non-uniform loading of loading), then the heat treater shall have an
parts? infrared temperature pyrometer at the exit end.
2. All thmometers and controlles installed
at quenching,tempering furnace shall be
In absence of a rigorous fail- The infrared temperature pyrometers are required
3.12 calibrated twice a year v
safe, are all continuous belt at the exit end of continuous belt furnaces to
furnaces equipped with sight monitor for under temperature parts. The
3. The temperaure alarm setting for
glass inspection ports and temperature alarm shall be within 28oC (50oF) of
quenching and tempering furnace shall be
infrared temperature the furnace set point temperature. Results shall set ±5°C of set point temperature
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.
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, V
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 1. Oil suppliers will take samples of each
quenching medium analyzed for specific furnace once a month and will send us the
quenching characteristics, e.g., cooling curve, test report including physical, chemical
water content, salt concentration, as specified in properties and cooling rate for reference
the applicable Process Tables, Section 5.0. This after 2 weeks.
Is the quenching medium does not include Process Table G & H.
3.14 V
analyzed? • The quench media characteristic tolerances shall 2. Kenos shall take 4 parts to test their
be specified by the quench medium supplier or the core hardness and record them everyday.
heat treater. When the core hardness after testing is
• Analysis shall be reviewed for conformance by lower than standard level, we will fill in the
the heat treater. This review shall be documented. oil addtives immediately.
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, V
being controlled?
mechanical probes, etc., is required for each part.
12
CQI-9
Assessment

Section
The heat treater 1 - Management
shall control the energy or powerResponsibility & Quality Planning
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
3.16 the energy or power for each V
(for 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 V
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 V
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 V
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 V
nozzle(s) (for example, nozzle(s).
quench ring, quench shower)?
After downtime of the induction heating system, air
pockets may form in the quench lines. These air
pockets will cause interrupted quenching at start-
up. The Heat treater shall establish the time limit
Is there a procedure to purge
(of the downtime) when this procedure is to be
3.21 the air pockets from the V
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.
13
CQI-9
Special Processes: Heat Treat Systems Assessment
Version 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 /
Question # Job Audit Question Reference Documentation
HTSA Question # Requirement (Objective Evidence) Fail / N/A
Requirement
4.1 Are contract review, advance 1.2
Control plan, FEMA,
quality planning, FMEA, control 1.3
YES YES SPC are performed per Pass
plans, etc., performed by qualified 1.4
customer request.
individuals? 1.17
4.2 Does the heat treat facility have the 1.5 Customer Spec. IFI
customer specifications for the YES YES ,DIN, ISO and JIS spec. Pass
part? are kept in file
4.3 Is a shop traveler created to meet 1.6 ERP sysytem can
YES YES Pass
customer requirements? 2.1 create shop order
4.4 2.2 The material of part can
Is material identification (part
2.3 be identified from the
numbers, lot numbers, heat
2.4 shop order, customer's
numbers, contract numbers, etc.) YES YES Pass
forwarded information,
maintained throughout the heat
shipping No. etc.
treat process?
4.5 2.1 The evidence of
Is there documented evidence of receiving inspection is
YES YES Pass
Receiving Inspection? shown on the receiving
report.
4.6 1.6 The loading and racking
Are the Loading / Racking 2.7 is shown at shop order
2.9 YES YES and identified card Pass
requirements identified?
4.7 Is the proper recipe or process 1.5 The recipe and process
specification (cycle times, 1.6 specification is properly
temperature, atmosphere, etc.) 2.1 created and saved at
used? Refer to Process Tables, 2.14 computer.
YES YES Pass
Section 3.0, for specific 2.15
parameters. List parameters that
were verified in this audit in the
spaces provided below.
4.8 What are the product inspection 2.15 Customer specification
requirements?
4.8.1 Requirement: (1) Core hardness Test result
Test Method: Rockwell (HRC)
Test frequency or quantity: 4
Selection of samples: 4
Specification: HRC 32 ~ 38
4.8.2 Requirement: (2)
Test Method:
Test frequency or quantity:
Selection of samples:
Specification:
Test Method:
Specification:
Test Method:
Specification:
Operator or Inspector Responsibilities
4.9 Were appropriate process steps 1.4 Foreman and assistant
signed off? 2.2 foreman signed their
YES YES Pass
2.3 name on the shop order
2.14
4.10 Were all inspection steps, as 1.2 Meet control plan
documented in the control plan 1.4 YES YES requirement Pass
performed?
4.11 Were steps/operations performed 1.2 Meet control plan
that were not documented in the 1.4 NO NO requirement Pass
control plan? 1.6
4.12 If additional steps were performed, 1.2 Foreman will get the
were they authorized? 1.4 management authority
1.6 YES YES prior to performing the Pass
1.11 additional process
1.17
4.13 Does the governing specification 1.11 Per work instruction
YES YES Pass
allow reprocessing or rework?
4.14 If the order was certified, did the 2.14 Supervisor daily check
certification accurately reflect the 2.15 YES YES the operating history Pass
process performed? record via the computer
4.15 Was the certification signed by an 1.17 Operator has the
YES YES Pass
authorized individual? signature on the label
4.16 Are the parts and containers free of 2.6 Operator should check
inappropriate objects or 2.11 and remove oil and
YES YES Pass
contamination? remaining parts for
container
Packaging Requirements
4.17 Are packaging requirements 2.9 Per customer request
YES YES Pass
identified?
4.18 Are parts packaged to minimize 2.9 The containing level of
mixed parts (for example, parts YES YES container is 90% max. Pass
packed over height of container)?
Shipping Requirements
4.19 Were the parts properly identified? 2.3 The square flag insert
2.9 the container or square
YES YES Pass
paper punch on the tag
when quality is OK
Were the containers properly 2.3 Each container has a
YES YES Pass
4.20 labeled? 2.9 label
14
CQI-9
PROCESS TABLE A - Carburizing / Carbonitriding / Carbon Restoration / Neutral Hardening / Austempering /

Martempering / Tempering / Precipitation Hardening - Aging
All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the auditor shall verify heat
treater is conforming to the customer's requirements.
Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
OK - Complies to requirement
NOK - Does not comply to requirement (Explain noncompliance in 'Related HTSA Question #'
NA - Requirement not applicable
Item # Related HTSA Category/Process Steps

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

shaker, or pusher furnaces
where parts free-fall into
the quench.
OK
A3.10 1.4 Temper Delay Time - Each batch Each load
2.12 The maximum delay time between quenching and
tempering shall be specified on the control plan
and monitored.
OK
Batch Continuous OK / NOK / NA
4.0 IN-PROCESS/FINAL TEST FREQUENCIES
Furnace Furnace
A4.1 1.4 Microstructure shall be checked at a minimum Each batch Daily per furnace
2.15 magnification of 100x and, 400x or above 400x.
Microstructural visual references shall be
available. OK
A4.2 1.4 Surface hardness Each batch Every 2 hours
2.15 OK
A4.3 1.4 Core hardness (when specified) Each batch Every 4 hours
2.15 OK
A4.4 1.4 Case depth (when specified) Each batch Every 4 hours
2.15 OK
QUENCHANT AND SOLUTION TEST Batch Continuous OK / NOK / NA
5.0
FREQUENCIES Furnace Furnace
A5.1 2.12 Polymer Quench Media
3.14 Concentration Daily Daily NA
CQI-9
A5.1 2.12
3.14
Cooling Curve Analysis Semi-annually Semi-annually NA
A5.2 2.12 Water Quench Media
3.14 Suspended solids Semi-annually Semi-annually NA
A5.3 2.12 Salt Quench Media
3.14 Analysis & Contaminants Semi-annually Semi-annually NA
A5.4 2.12 Brine or Caustic Quench Media
3.14 Concentration and/or Specific Gravity. Daily Daily NA
Suspended solids Semi-annually Semi-annually NA
A5.5 2.12 Oil Quench Media
3.14 Water content, suspended solids, viscosity, Semi-Annually Semi-Annually
cooling curve, total acid, and flash point. OK
A5.6 2.13 Rust Preventive - Soluble Oil
Concentration 2x / week 2x / week OK
A5.7 2.11 Washers
Concentration of cleaner Daily Daily OK
Temperature of solution (required if temperature Each shift Each shift
is specified to be above ambient temperature). OK
CQI-9
PROCESS TABLE B - Nitriding (Gas) and Ferritic-Nitrocarburizing (Gas or Salt)
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the auditor shall verify heat treater is conforming
to the customer's requirements.
Item # Related
HTSA 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).
For Continuous Furnaces, this requirement applies to the Qualified Work Zone.
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
CQI-9
Item # Related
Question #
B3.4 1.4 Dissociation of ammonia shall be checked in gas Each batch and every 4 Every 4 hours Daily N/A
3.7 nitriding. hours minimum
B3.5 1.4 Gas ratios for ferritic nitrocarburizing shall be Each batch Every 2 hours minimum
3.7 checked.
B3.6 1.4 Check salt chemistry (soluble oxides) in salt baths Daily
2.14 used for austenitizing, or decarburization on the parts.
3.13
B3.7 1.4 Quench Media Process Parameters
2.12 Temperature Each batch or continuous Each lot or continuous Each batch or
recording with sign-off recording with sign-off continuous
every 2 hours. Alarm every 2 hours. Alarm recording with
systems satisfy the sign-off systems satisfy the sign-off sign-off every
requirement. requirement. 2 hours.
Alarm
systems
satisfy the
sign-off
requirement.
Quench Level Continuous monitor with alarm or daily verification. Daily
Agitation Daily visual check, or monitor the agitation during the Daily
acceptable limits.
B3.8 1.4 Monitor time in furnace, cycle time or belt speed. Each batch Twice/shift & after any Each batch
B3.9 1.4 Monitor load size or fixturing or loading rate as Each batch Twice/shift & after any Each batch
B3.10 1.4 Quench Delay Time if applicable - Each batch Each basket if applicable. Each batch
2.12 Quench delay time shall be based on the time that the
furnace door starts to open to the time the load is at
the bottom of the quench tank.

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

3.14 - Concentration and/or Specific Daily Daily
Gravity
- Suspended solids Semi-annually Semi-annually
B5.5 2.12 Oil Quench Media
3.14 - Water content, suspended solids, Semi-Annual Semi-Annual
viscosity, cooling curve, total acid,
and flash point.
B5.6 2.13 Rust Preventive - Soluble Oil
- Concentration 2x / week 2x / week 2x / week
B5.7 2.11 Washers
- Concentration of cleaner Daily Daily Daily
CQI-9
Item # Related
B5.7 2.11
Question #
- Temperature of solution (required if temperature is Each shift Each shift Each shift
specified to be above ambient temperature).
CQI-9
PROCESS TABLE C - Aluminum Heat Treating
NOK - Does not comply to requirement (Explain noncompliance in 'Related HTSA Question #')
Item # Related Category/Process Steps

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

C2.1 3.2 Thermocouples and calibration of thermocouples shall conform to Section 3.1.
3.3
C2.2 3.2 Pyrometry Instrumentation and Calibration of Instrumentation shall conform to Section 3.2.
3.3
C2.3 3.2 CQI-9 requires a System Accuracy Test (SAT) check of the control thermocouple in the Qualified Work Zone per Section 3.3.
3.3
C2.4 3.4 Temperature Uniformity Survey (TUS) TUS frequency shall be quarterly and after major rebuild per Section 3.4.
Temperature Uniformity tolerance for solution and aging furnaces shall be +/- 5 oC (+/- 10oF).
Temperature Uniformity tolerance for annealing furnaces shall be +/- 15 oC (+/- 25oF)
Minimum and maximum temperature ranges shall be defined. Exception: If the operating range of the Qualified Work Zone
is equal to or less than 85oC (155oF) then only one temperature is required to be tested. The test temperature shall be within
the operating range of the Qualified Work Zone.
C2.5 3.5 For Solution Treating and Aging: Recorded temperature(s) shall be controlled within +/- 5C (or +/- 10F) of the set point as
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
C2.6 3.5 For Annealing Furnaces: Recorded temperature(s) shall be controlled within +/- 10C (or +/- 15F) of the set point as
evidenced by continuous recording pyrometers. Furnace temperature shall be controlled with soak times starting at the
lower tolerance limit (as defined above).
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
C3.2 1.4 Quench Media Process Parameters
2.12
CQI-9
PROCESS TABLE C - Aluminum Heat Treating

HTSA
C3.2 1.4 #
Question
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
3.14 Concentration Daily Daily
Cooling Curve Analysis Semi-annually Semi-annually
C5.2 2.12 Water Quench Media
3.14 Suspended solids Semi-annually Semi-annually
C5.3 2.11 Washers
Concentration of cleaner Daily Daily
Temperature of solution (required if temperature is Each shift Each shift
specified to be above ambient temperature).
CQI-9
PROCESS TABLE D - Induction Heat Treating
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing
the job audit, the auditor shall verify heat treater is conforming to the customer's requirements.

Question #
D1.1 2.16 All hardness test equipment (for each scale used) shall be calibrated annually
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.
CQI-9

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

D4.4 1.4 Core hardness (when specified) 1 part at start-up, end of
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,
5.0 QUENCHANT AND SOLUTION TEST FREQUENCIES
D5.1 2.12 Polymer Quench Media

3.14 Concentration Daily
CQI-9
Item
D5.1# Related
2.12HTSA Category/Process Steps
Question
3.14 #
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
quench tank 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
quench tank 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).
CQI-9
PROCESS TABLE E - Annealing / Normalizing / Stress-Relieving
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the aud
shall verify heat treater is conforming to the customer's requirements.

HTSA
Question #
1.0 PROCESS AND TEST EQUIPMENT REQUIREMENTS
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.
2.0 PYROMETRY
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 +/- 10 oC (or +/- 20oF).
CQI-9

HTSA
Question #
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).
3.0 PROCESS MONITOR Continuous
Batch Furnace Generators
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.
CQI-9

HTSA
Question #
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.
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
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
FREQUENCIES Furnace
E5.1 2.13 Rust Preventive - Soluble
Oil
Concentration 2x / week 2x / week
E5.2 2.11 Washers
Concentration of cleaner Daily Daily
Temperature of solution Each shift Each shift

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

Category/Process Steps
Question #
F1.1 3.1 All furnaces and liquid quench systems shall have temperature indicating instruments.
3.7
F1.2 3.1 All gaseous quench systems shall have pressure indicators and fan operation indicators.
F1.3 3.1 Recording instruments are required for temperature and, hydrocarbon flow and pressure.
3.7
F1.4 3.2 Furnace weigh scales shall be verified quarterly and calibrated annually at a minimum.
F1.5 3.2 Hydrogen sensors and carbon IR combustion analyzers used to verify carbon potential in furnaces, shall be calibrated annually
at a minimum.
F1.6 3.2 Verification of calibration of spectrometers and carbon IR combustion analyzers, shall be checked daily or prior to use.
F1.7 3.2 Vacuum monitoring devices calibrated annually.
F1.8 2.16 All hardness test equipment (for each scale used) shall be calibrated annually minimum, and verified daily or prior to use, per
the applicable ASTM standard, ISO standard, JIS standard, or approved standard.
F1.9 2.16 Files for testing hardness shall be verified per the Customer requirement.
F1.10 3.2 Refractometers (typically used to check polymer quenchants and washer solutions) shall be verified prior to use (with distilled
water) and certified annually per manufacturer's requirements at a minimum.
2.0 PYROMETRY
F2.1 3.2 Thermocouples and calibration of thermocouples shall conform to Section 3.1.
3.3
F2.2 3.2 Pyrometry Instrumentation and Calibration of instrumentation shall conform to Section 3.2.
3.3
F2.3 3.2 CQI-9 requires a System Accuracy Test (SAT) check of the control thermocouple in the Qualified Work Zone per Section 3.3.
3.3
F2.4 3.4 TUS shall be performed annually and after major rebuild per Section 3.4.
Temperature uniformity tolerance for hardening and tempering furnaces shall be +/- 10 C or +/- 20 F.
F2.5 3.5 Recorded temperature(s) for austentizing and tempering processes shall be controlled within +/- 5 C or +/- 10 F of the set point
as evidenced by continuous recording pyrometers. Furnace temperature shall be controlled with soak times starting at the lower
tolerance limit (as defined above).
3.0 PROCESS MONITOR FREQUENCIES
F3.1 1.4 Monitor primary temperature control instrument(s). Continuous recording with sign-off every 2 hours or each batch for
2.14 processes under 2 hours. Alarm systems (if set per limits in F2.5) satisfy the sign-off requirement.
F3.2 1.4 Monitor primary furnace atmosphere control(s) or hydrocarbon flows. Continuous recording with sign-off every 2 hours or each
2.14 batch for processes under 2 hours. Alarm systems (if set per acceptable limits) satisfy the sign-off requirement.
F3.3 3.7
1.4 Monitor pressure in the carburizing and gas quenching process. Continuous recording with sign-off every 2 hours or each batch
2.14 for processes under 2 hours (carburizing process). Continuous recording with sign-off each batch (quenching process). Alarm
systems (if set per acceptable limits) satisfy the sign-off requirement.
F3.4 1.4 Verify primary atmosphere control method by back-up method by microstructural evaluation of parts or coupon, or carbon
2.14 analysis of shim stock or carbon bar. Verification shall be daily.
3.7
3.8
F3.5 1.2 Prior to production (APQP), the surface area of the parts shall be calculated and documented for each load configuration.
2.7
F3.6 1.4 Quench Media Process Parameters - Oil FREQUENCY
2.12 Temperature Continuous recording with alarm system is required.
CQI-9
PROCESS TABLE F - Low Pressure Carburizing
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the auditor shall verify
F3.6 1.4
2.12HTSA
Item # Related
Category/Process Steps
Question #
Quench Level Daily check or alarm system is required.
Agitation Daily check or alarm system is required.
Acceptable methods for checking agitation are using flow

sensors, current sensors, or pressure differential sensors.
F3.7 1.4 Quench Media Process Parameters - Gas
2.12
Pressure in the quench cell Monitor each load. Alarm system is required
Fan speed or power Monitor each load. Alarm system is required
Cooling water temperature and flow rate Monitor each load. Alarm system is required
F3.8 Pressure monitors in cells shall be correlated. Weekly
F3.9 1.4 Temper Delay Time - Each batch

2.12 The maximum delay time between quenching and tempering
shall be specified on the control plan and monitored.
4.0 IN-PROCESS/FINAL TEST FREQUENCY
F4.1 1.4 Microstructure shall be checked at a minimum magnification Daily per furnace (may rotate cells) or any time one of the
2.15 of 100x and, 400x or above 400x. Microstructural visual process parameters is out of specification.
references shall be available.
F4.2 1.4 Surface hardness Each batch
2.15
F4.3 1.4 Core hardness (when specified) Daily per furnace (may rotate cells) or any time one of the
2.15 process parameters is out of specification.
F4.4 1.4 Case depth (when specified) Daily per furnace (may rotate cells) or any time one of the
2.15 process parameters is out of specification.
5.0 QUENCHANT AND SOLUTION TEST FREQUENCY

F5.1 2.12 Polymer Quench Solution
3.14 Concentration Daily
Quenchability Check cooling curve. Check viscosity or Semi-annually
titration.
F5.2 2.12 Water Quenching
3.14 Suspended solids Semi-annually
F5.3 2.12 Oil Quenching
3.14 Water content, suspended solids, viscosity, cooling curve, 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 Each shift
to be above ambient temperature).
CQI-9
PROCESS TABLE G - Sinter Hardening
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the auditor shall verify heat treate
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.
2.0 PYROMETRY
G2.1 3.2 Thermocouples and calibration of thermocouples shall conform to Section 3.1.
3.3
G2.2 3.2 Pyrometry Instrumentation and Calibration of instrumentation shall conform to Section 3.2.
3.3
G2.3 3.2 CQI-9 requires a System Accuracy Test (SAT) check of the control thermocouple in the Qualified Work Zone per Section 3.3.
3.3
G2.4 3.4 TUS shall be performed annually and after major rebuild per Section 3.4.
Temperature uniformity tolerance for hardening furnaces shall be +/- 15ºC (or +/- 25ºF). Temperature uniformity tolerance for tempering
furnaces shall be +/- 10ºC (or +/- 20ºF).
G2.5 3.5 Recorded temperature(s) for sintering processes shall be controlled within +/- 10ºC (or +/- 15ºF) of the set point for processes operating
less than 1000ºC (1830ºF) and +/- 20ºC (+/- 35ºF) for processes operating greater than 1000ºC (1830ºF) as evidenced by continuous
recording pyrometers. Furnace temperature shall be controlled with soak times starting at the lower tolerance limit (as defined above).

PROCESS MONITOR FREQUENCIES Atmosphere Generation
Furnace Furnace
CQI-9

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

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

per batch or 2x per shift 2x per shift or after any
whichever is more change.
frequent.
(2) Continuously record
(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
G3.10 1.4 Quench Delay Time - Each batch Not applicable for belt
2.12 Quench delay time shall be based on the time that the furnaces.
furnace door starts to open to the time the load is at
the bottom of the quench tank (oil) or the start of the
gas pressure quenching (gas quench).
4.0 IN-PROCESS/FINAL TEST FREQUENCIES
G4.1 1.4 Microstructure shall be checked at a minimum Per customer requirement Per customer
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
CQI-9
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
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
55

CQI-9 Self Assessment in 2018

Uploaded by

Document Information

Original Description:

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

CQI-9 Self Assessment in 2018

Uploaded by

Copyright:

Available Formats

CQI-9

Special Process: Heat Treat System Assessment

Special Process: Heat Treat System Assessment

Facility Name: Kenos Industrial Corporation

Phone Number: 886-7-622 9969 Type(s) of Thermal Processing at this Facility:

Date of Previous Assessment: 16-Feb-2017

Process Table C - Aluminum

Process Table D - Ferrous

Current Quality Certification(s): ISO 9001:2015

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

The organization shall incorporate a documented

The organization shall incorporate the use of a

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

Section 1 - Management Responsibility & Quality Planning

To ensure all customer requirements are both

The heat treater shall have written process

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

Section 1 - Management Responsibility & Quality Planning

All operating datas were kept in computer

Management shall review the furnace monitoring

Are internal assessments

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

The OEM Section 1 - when

Does the Quality Manager or

All procedrues and work instuctions are

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

Section 1 - Management Responsibility & Quality

The organization shall maintain a responsibility 1. The organizational chart is updated

The organization shall have a documented

1. Spare part list have already been

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

1. Customers' parts container will be

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

The control of suspect or non-conforming product

1. Periodially check all trap areas such as

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

Plant cleanliness, housekeeping, environmental, 1. All Management regularly check the

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

Section 1 - Management Responsibility & Quality Planning

1. All parameters such as temperature,

1. 4 samples at quenching and tempering

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

Temperature uniformity surveys shall be

The variation between the furnace control

Special Process: Heat Treat System Assessment

Question Not Needs Immediate

When the back-up verification check of the

One of these fail-safe methods shall be used to