CQI-9

Special Process: Heat Treat System Assessment

3rd Edition
A

CQI-9
Special Process: Heat Treat System Assessment
Third Edition
 CQI-9
Special Process: Heat Treat System Assessment
Version 3, Issued 10/2011

ABOUT AIAG
Purpose Statement
Founded in 1982, AIAG is a globally recognized organization where OEMs and suppliers unite to address
and resolve issues affecting the worldwide automotive supply chain. AIAG’s goals are to reduce cost and
complexity through collaboration; improve product quality, health, safety and the environment; and
optimize speed to market throughout the supply chain.
AIAG Organization
AIAG is made up of a board of directors, an executive director, executives on loan from member
companies, associate directors, a full-time staff, and volunteers serving on project teams. Directors,
department managers, and program managers plan, direct and coordinate the association’s activities
under the direction of the executive director.
AIAG Projects
Volunteer committees focus on business processes or supporting technologies and methodologies. They
conduct research and develop, publish, and provide training on standards, conventions, standard
business practices, white papers, and guidelines in the areas of automatic identification, CAD/CAM,
EDI/electronic commerce, continuous quality improvement, health focus, materials and project
management, occupational health & safety, returnable containers and packaging systems,
transportation/customs and truck & heavy equipment.
AIAG PUBLICATIONS
An AIAG publication reflects a consensus of those substantially concerned with its scope and provisions. An
AIAG publication is intended as a guide to aid the manufacturer, the consumer, and the public. The existence of
an AIAG publication does not in any respect preclude anyone from manufacturing, marketing, purchasing, or
using products, processes, or procedures not conforming to the publication.
CAUTIONARY NOTICE
AIAG publications are subject to periodic review and users are cautioned to obtain the latest editions.
MAINTENANCE PROCEDURE
Recognizing that this AIAG publication may not cover all circumstances, AIAG has established a maintenance
procedure. Please refer to the Maintenance Request Form at the back of this document to submit a request.
Published by:
Automotive Industry Action Group
26200 Lahser Road, Suite 200
Southfield, Michigan 48033
Phone: (248) 358-3570 • Fax: (248) 358-3253
APPROVAL STATUS
The AIAG Quality Steering Committee and designated stakeholders approved this document for publication in
October 2011.

AIAG COPYRIGHT AND TRADEMARK NOTICE:

The Automotive Industry Action Group copyrights the contents of all published materials unless otherwise indicated. Copyright is not
claimed as to any part of an original work prepared by a U.S. or state government officer or employee as part of the person’s official
duties. All rights are preserved by AIAG, and content may not be altered or disseminated, published, or transferred in part of such
content. The information is not to be sold in part or whole to anyone within your organization or to another company. Copyright
infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are
registered service marks of the Automotive Industry Action Group.

© 2011 Automotive Industry Action Group

ISBN #: 9 781 60534 236 8

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Special Process: Heat Treat System Assessment
Version 3, Issued 10/2011

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 CQI-9
Special Process: Heat Treat System Assessment
Version 3, Issued 10/2011

FOREWORD
Automotive Industry Action Group (AIAG) committees are made up of volunteers from member
companies in the automotive industry. The work of preparing process audits is done by AIAG technical
committees.
The main task of technical committees is to prepare automotive standards and system requirements. Draft
documents adopted by the technical committees are circulated to the Steering Committee for review and
consensus approval. Publication of the documents requires approval by the Quality Steering Committee.
The Quality Steering Committee would like to acknowledge and thank the following individuals and their
companies who have contributed time and effort to the development of this document.

Philip Mikula (CQI-9 Chairperson) – TRW Automotive, Inc.

Dean Higdon – Acument Global Technologies North America
Pete Batche – Akebono Brake Corporation, North America
Stefan Bruder – Bodycote Warmebehandlung GmbH
Madhu Chatterjee – Bodycote Thermal Processing, North America
Rick Howell –Chrysler Group LLC, North America
Darrell Rydzewski – Controls Service, Inc.
Virender Choudhri – Delphi Corporation
Stephen Toltesi – Eaton Corporation
Suranjeeta Dhar – Ford Motor Company
Peter Schiefer – Ford Motor Company, Germany
Medina Kaknjo – Ford Motor Company
Rick Metcalf – General Motors Company, North America
David Paluch – General Motors Company, North America
Werner Schwan – Robert Bosch GmbH Germany
Jeff Martin – ZF Friedrichshafen, AG
Luiz Tubino – LTC Desenvolvimento Empresarial LTDA, Brasil
Kevin Bauer – Keystone Powdered Metal Company
Delbert Clubine, Advance Heat Treat Corporation

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 CQI-9
Special Process: Heat Treat System Assessment
Version 3, Issued 10/2011

CHANGES TO CQI-9 3RD EDITION

The Special Process: Heat Treat System Assessment, 3rd edition contains some new requirements,
changed requirements, and clarifications that the supply organization will need to consider in making its
self-assessment. This 3rd edition is a collaborative work of OEM, Tier 1 suppliers, heat treat suppliers,
and calibration companies that service the heat treat industry. Below is a summary of the important
changes in this 3rd edition.
1. Three new Process Tables have been added:
x Low Pressure Carburizing
x Sinter Hardening
x Ion (Plasma) Nitriding
2. The format and layout of the Process Tables have been improved to facilitate the heat treat system
assessment.
3. References to AMS 2750D have been removed and replaced with AIAG CQI-9 specific
requirements.
4. Frequency for SAT and Instrument Calibration have been changed. The requirement in the 3rd
Edition allows the heat treater to choose one of the two following options:
Option 1: Quarterly SAT (Probe Method A or B) or Monthly SAT (Comparative Method),
and Quarterly Control Instrument Calibration (single-point or multi-point
calibration).
Option 2: Quarterly SAT (Method A only) and Semi-Annual Control Instrument
Calibration (multi-point calibration; 1-point calibration not allowed with semi-
annual frequency).
5. The 3rd Edition allows two options for the frequency for calibrating oxygen probe controllers
(used in carbon-bearing atmospheres):
x Quarterly (single-point calibration or multi-point calibration is allowed)
x Semi-annual (multi-point calibration method; single-point calibration is not allowed)
6. Frequency for checking the quench oil cooling curve was changed to semi-annual (2nd Edition
required quarterly frequency checks).
7. The temperatures given in oC and oF were harmonized. That is, the direct conversion from oC to
o
F is not used but rather the common tolerances for oC and oF were used. For example, the TUS
tolerance for carburizing furnaces is + 15 oC (+ 25oF).
8. Questions 1.20, 3.20, and 3.21 were added to the CQI-9 Heat Treat System Assessment.
9. Question 1.11 was modified. This question addresses re-processing procedures.
10. Question 3.7 – The oxygen probe controller (carbon controller) shall control the carbon potential
+/- 0.05%.
11. Question 3.12 was modified. This question addresses the proper height of the workload on a
continuous belt furnace.

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 CQI-9
Special Process: Heat Treat System Assessment
Version 3, Issued 10/2011

TABLE OF CONTENTS
ABOUTAIAG......................................................................................................................................................1
FOREWORD.......................................................................................................................................................3
TABLEOFCONTENTS..........................................................................................................................................5
INTRODUCTION..................................................................................................................................................7
GENERAL......................................................................................................................................................................7
PROCESSAPPROACH.......................................................................................................................................................7
HEATTREATSYSTEMASSESSMENTGOALS..........................................................................................................................7
ASSESSMENTPROCESS....................................................................................................................................................7
ASSESSORQUALIFICATIONS..............................................................................................................................................8
OTHERREQUIREMENTS...................................................................................................................................................8
1SCOPE.............................................................................................................................................................9
1.1GENERAL................................................................................................................................................................9
1.2APPLICATION...........................................................................................................................................................9
1.3REFERENCE............................................................................................................................................................10
2THEHEATTREATSYSTEMASSESSMENTPROCEDURE......................................................................................11
3SPECIALPROCESS:HEATTREATASSESSMENT.................................................................................................13
3.1THERMOCOUPLES...................................................................................................................................................39
3.2INSTRUMENTATION.................................................................................................................................................45
3.3SYSTEMACCURACYTEST(SAT).................................................................................................................................49
3.4TEMPERATUREUNIFORMITYSURVEYS(TUS)...............................................................................................................57
APPENDIXA–PROCESSTABLES.........................................................................................................................69
PROCESSTABLEA:CARBURIZING/CARBONCORRECTION/NEUTRALHARDENING/AUSTEMPERING/
MARTEMPERING/TEMPERING/PRECIPITATIONHARDENINGAGING.............................................................70
PROCESSTABLEB:NITRIDING(GAS)ANDFERRITICNITROBARBURIZING(GASORSALT)....................................73
PROCESSTABLEC:ALUMINUMHEATTREATMENT............................................................................................76
PROCESSTABLED:INDUCTIONHEATTREATING................................................................................................78
PROCESSTABLEE:ANNEALING/NORMALIZING/STRESSRELIEVING................................................................80
PROCESSTABLEF:LOWPRESSURECARBURIZING..............................................................................................83
PROCESSTABLEG:SINTERHARDENING.............................................................................................................85
PROCESSTABLEH:IONNITRIDING....................................................................................................................88
GLOSSARY.........................................................................................................................................................89

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Special Process: Heat Treat System Assessment
Version 3, Issued 10/2011

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Special Process: Heat Treat System Assessment
Version 3, Issued 10/2011

INTRODUCTION

General
The work of preparing CQI 9: Special Process: Heat Treat System Assessment (HTSA), Third Edition,
was carried out through the AIAG Heat Treat Work Group. These heat treat requirements are
complementary to customer and product standards.
The HTSA can be used to assess an organization’s ability to meet the requirements in this assessment, as
well as customer, regulatory, and the organization’s own requirements. The HTSA can also be used
between an organization and its suppliers.
In the HTSA, the word “shall” indicates a requirement for purposes of the self assessment. Failure to meet
the requirements results in an assessment that is either “Not Satisfactory” or “Needs Immediate Action”.
The word “should” indicates a recommendation. Where the term “such as” is used, any suggestions given
are for guidance only.

Process Approach
The HTSA supports the automotive process approach as described in ISO/TS 16949.

Heat Treat System Assessment Goals

The goal of the HTSA is the development of a heat treat management system that provides for continual
improvement, emphasizing defect prevention and the reduction of variation and waste in the supply chain.
The HTSA, coupled with an internationally recognized quality management system and applicable
customer-specific requirements, defines the fundamental requirements for heat treat management systems.
The HTSA is intended to provide a common approach to a heat treat management system for automotive
production and service part organizations.

Assessment Process
Ongoing assessments shall be conducted, at a minimum, annually, unless otherwise specified by the
customer, to ensure continuous compliance with the HTSA. Each assessment shall include a review of the
organization’s systems using the HTSA. Successive Job Audits (Section 4.0 of this document) shall
sample parts from different automotive component manufacturers that require compliance to the HTSA
document.
The assessment shall use the process approach to auditing as identified by the requirements of ISO/TS
16949.

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Special Process: Heat Treat System Assessment
Version 3, Issued 10/2011

Use of CQI-9, HTSA, and Process Tables

CQI-9 HTSA and Process Tables address the most common thermal processes employed by the
automotive industry. Due to the vast differences in the various thermal processes currently available, it
may be necessary to incorporate requirements across the provided process tables.
The assessor has the availability to employ requirements from multiple Process Tables if an element of
the thermal process being assessed requires such.

Assessor Qualifications
Assessor(s) shall have the following specific experience to conduct the HEAT TREAT SYSTEM
ASSESSMENT:
1. Be an experienced quality management system (QMS) internal auditor (for example,
ISO/TS 16949, ISO 9001)
2. Assessor shall possess heat treating knowledge. Evidence shall include a minimum of 5
years experience in heat treating or a combination of formal metallurgical education and
heat treating experience totaling a minimum of 5 years.
3. Assessor shall possess knowledge of and be familiar with the application of automotive
quality core tools including statistical process control, measurement systems analysis,
part approval, failure mode and effects analysis, and advanced quality planning.
Note: If more than one assessor is required to meet the above qualifications, the lead
assessor shall be the person meeting the requirements in item #1.

Other Requirements
The organization shall keep records as evidence of compliance to the requirements identified in the HTSA,
as well as all appropriate action plans to address any unsatisfactory ratings. These records shall be readily
available for review by any customer requiring compliance to the requirements within this document.
Documentation recovery shall meet TS16949 or ISO 9001 requirements for process control and
inspection records.

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Special Process: Heat Treat System Assessment
Version 3, Issued 10/2011

1 SCOPE

1.1 General
This document specifies process requirements for an organization or its suppliers performing applicable
heat treating, who need to:
x demonstrate ability to consistently provide product that meets customer and applicable
regulatory requirements, and
x enhance customer satisfaction through the effective application of the system, including
processes for continual improvement of the system.
The Heat Treat System Assessment is applicable to sites where customer-specified parts for production
and/or service are processed throughout the automotive supply chain.

1.2 Application
All requirements of the HTSA are generic and are intended to be applicable to all organizations
performing the heat treat operations addressed in this document, regardless of type, size, and product.
Eight Process Tables have been developed and the appropriate table(s) is to be referenced during the
assessment. The Process Tables are specific to heat treat processes as noted below:
Process Table A – Ferrous
x Carburizing
x Carbonitriding
x Carbon Restoration or Correction
x Neutral Hardening (Quench and Temper)
x Austempering
x Martempering
x Tempering
x Precipitation Hardening – Aging
Process Table B – Ferrous
x Nitriding (Gas)
x Ferritic-Nitrocarburizing (Gas or Salt)
Process Table C – Aluminum
x Aluminum Heat Treating
Process Table D –Ferrous
x Induction Heat Treating
Process Table E - Annealing, Normalizing, and Stress-Relieving
x Conformance to CQI-9 is required for all organizations that perform annealing,
normalizing, or stress-relieving to achieve desired final characteristics of the part.
Process Table F – Low Pressure Carburizing

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