Cqi 9

CQI-9Special Process: Heat Treat System Assessment Version 3, Issue 10/11
Special Process: Heat Treat System Assessment
Assessment
Questio Needs
Not LVH
n Question Requirements and Guidance Objective Evidence N/A Satisfactory Immediate Responsible Due Date
Satisfactory Actions
Number Action
Section 1 - Management Responsibility & Quality Planning
To ensure readily available expertise, there shall
be a dedicated and qualified heat treat person on
site. This individual shall be a full-time employee Mr.Karuppaiya having 7+ years
and the position shall be reflected in the combination of metallurgical education
organization chart. A job description shall exist and heat treatment experience.
Is there a dedicated and
identifying the qualifications for the position Mr.Sanjay having 9+ years experience in
1.1 qualified heat treat person on- x
including metallurgical and heat treat knowledge. heat treatment process.
site?
The qualifications shall include a minimum of 5 Doc.No : LVH-F/SKM/02
years experience in heat treat operations or a Org. chart to be updated for Mr.
combination of a minimum of 5 years of formal Karruppaiya.
metallurgical education and heat treat
experience.
The organization shall incorporate a documented

advance quality planning procedure. A feasibility
study shall be performed and internally approved
for each part. Similar parts can be grouped into
part families for this effort as defined by the
Does the heat treater perform organization. After the part approval process is Updated WI, PFD, CP & PFMEA are
1.2 x
advanced quality planning? approved by the customer, no process changes available for FORD Engine valve(3222).
are allowed unless approved by the customer.
The heat treater shall contact the customer when
clarification of process changes is required. This
clarification of process changes shall be
documented.
The organization shall incorporate the use of a

documented Failure Mode and Effects Analysis
(FMEA) procedure and ensure the FMEA's are
updated to reflect current part quality status.
The FMEA shall be written for each part or part
family or they may be process-specific and written
Are heat treat FMEA's up to for each process. In any case, they shall address Updated PFMEA is available in AIAG
1.3 date and reflecting current all process steps from part receipt to part format x
processing? shipment and all key heat treat process MSR/FMEA/SPRL/01
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.
1
Assessment
Questio Needs
Not LVH
Number Action
The organization shall incorporate the use of a
documented Control Plan procedure and ensure
the Control Plans are updated to reflect current
controls.
The Control Plans shall be written for each part or
part family or they may be process-specific and
written for each process. In any case, they shall
address all process steps from part receipt to part
shipment and identify all equipment used and all
key heat treat process parameters as defined by
the organization.
Are heat treat process control
A cross-functional team, including a production Updated CP is available in AIAG format
1.4 plans up to date and x
operator, shall be used in the development of MSR/CP/SPRL/01(Model-3222)
reflecting 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,
Are all heat treat related and EN, JIS, General Motors, Ford, and Chrysler. The
referenced specifications organization shall have a process to ensure the
current and available? For timely review, distribution, and implementation of Process Specifications Sheet having
example: Industry and all customer and industry engineering standards / process parameters mentioned are
1.5 customer specific specifications and changes based on customer- available and displayed. WI also x
specifications such as SAE, required schedule. Timely review should be as available.
AIAG, ASTM, ISO, EN, JIS, soon as possible and shall not exceed two LVH-F/QA-PPS-VHF-03
General Motors, Ford, and working weeks. The organization shall document
Chrysler. this 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.
2
Assessment
Questio Needs
Not LVH
Number Action
The heat treater shall have written process
specifications for all active processes and identify
all steps of the process including relevant
operating parameters. Examples of operating
parameters include process temperatures, cycle
times, load rates, atmosphere or gas flow
Process Specifications Sheet having
settings, belt speeds, quench agitation speeds,
Is there a written process process parameters mentioned are
etc. Such parameters shall not only be defined,
1.6 specification for all active available and displayed. WI also x
they shall have operating tolerances as defined
processes? available.
by the organization in order to maintain process
LVH-F/QA-PPS-VHF-03
control.
All active processes should have a written
process specification.
These process specifications may take the form
of work instructions, job card, computer-based
recipes, or other similar documents.
To demonstrate each process is capable of

yielding acceptable product the organization shall
perform process capability studies for the initial
validation of each process, after relocation of any
process equipment, & after a major rebuild of any
equipment. The organization shall define what
constitutes a major rebuild. Initial process
capability studies shall be conducted for all heat
treat processes per furnace line defined in scope
of work & in accordance with customer
Has a valid process capability
requirements. A furnace line may include a Capability study has been done for Initial
study been performed initially
combination of equipment that is integrated in the Batches for Ford model- 3222.(Cpk-1.43)
1.7 and after process equipment x
performance of a heat treatment process, e.g., CpK can be checked for one current
has been relocated, or had a
hardening, quenching, and tempering. Capability batch(30 samples).
major rebuild?
study techniques shall be appropriate for the heat
treat product characteristics, e.g., tensile
strength, case depth, hardness. Any specific
customer requirements shall be met. In the
absence of customer requirements, the
organization shall establish acceptable ranges for
measures of capability. An action plan shall exist
to address the steps to followed in case capability
indices fall outside customer requirements or
established ranges.
The analysis of products and processes over time

can yield vital information for defect prevention
Daily Process cards, Rejection,
efforts. The organization shall have a system to
Does the heat treater collect Breakdown details are reviewed
collect, analyze, and react to product or process
and analyze data over time, periodically and Rejection & Rework
1.8 data over time. x
and react to this data? register is available.
Methods of analysis shall include ongoing trend
Reason for the Rejection along with
or historical data analysis of product or process
information to customer to maintained.
parameters. The organization shall determine
which parameters to include in such analysis.
3
Assessment
Questio CQI-9Special Process: Heat Treat System Assessment Version 3, Issue 10/11
Needs
Not LVH
Number Action
Management shall review the furnace monitoring
systems at intervals not to exceed 24 hours. The
heat treat monitoring system includes but is not
limited to temperature strip charts, atmosphere
Is management reviewing the Daily auditing is in Practice for heat
strip charts, computer data logs, furnace and
heat treat monitoring system treatment. Process Details are verified &
1.9 operator logs, etc. x
every 24 hours? recorded daily by CQI-09 champion.(L-VH-
The management review shall include efforts to
F/DA).
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 Internal assesment was done and
1.10 assessments on an annual basis, at a minimum, x
annual basis, at a minimum, documented on Dated: 31.08.2017.
using the AIAG HTSA.
using AIAG HTSA?
The OEM shall be notified when parts are

reprocessed in the heat treat operation. It is
preferred that the notification be on a case-by-
case basis. However, it is understood that some
reprocessing (such as but not limited to re-
tempering operations) may be pre-approved
during the APQP or PPAP phase. To be pre-
approved for reprocessing, the heat treater shall
meet the following requirements:
• The heat treater shall submit for approval by the
OEM customer the reprocessing procedure and
this procedure shall be referenced in the heat
No Rework is allowed for Ford Engine
Is the OEM customer notified treater’s FMEA and process control plan
1.11 Valve which is also mentioned in WI x
when parts are reprocessed? • The procedure shall describe product
(MSR/WI/SPRL/01).
characteristics for which reprocessing is
permissible as well as those characteristics for
which reprocessing is not permissible.
• Any reprocessing activity shall require a new
processing control sheet issued by qualified
technical personnel denoting the necessary heat
treat process modifications.
• Records shall clearly indicate when and how any
material has been reprocessed.
• The Quality Manager or a designee shall
authorize the release or reprocessed product.
The quality management system shall include a

Does the Quality Department process for documenting, reviewing, and Internal rejection are analysed and
review, address, and addressing customer concerns and any other mentioned in test certificate. 8D
1.12 x
document customer and concerns internal to the organization. A methodology is adapted for Customer
internal concerns? disciplined problem-solving approach shall be Complaints(LVH-F/MKT-CCL).
used.
The heat treater shall define a process for

continual improvement for each heat treat
Is there a continual process identified in the scope of the HTSA. The
improvement plan applicable process shall be designed to bring about Continual improvement plan is available
1.13 to each process defined in continual improvement in quality and productivity. and reviewed periodically but not updated x
the scope of the Identified actions shall be prioritized and shall for FY18-19.
assessment? include timing (estimated completion dates). The
organization shall show evidence of program
effectiveness.
4
Assessment
Questio Needs
Not LVH
Number Action
Section 1 - Management Responsibility & material
Yes, Qurantine Quality Planning
disposition
Does the Quality Manager or
The Quality Manager is responsible for decisions are taken by Quality manager.
designee authorize the
1.14 authorizing and documenting appropriate WI also displayed.Register also x
disposition of material from
personnel to disposition quarantine material. mainatained.
quarantine status?
LVH-P/WI-QMH.
There shall be procedures or work instructions

available to heat treat personnel covering the
heat treating process. These procedures or work
Are there procedures or work
instructions shall include methods of addressing
instructions available to the
potential emergencies (such as power failure), Work Instruction is available (LVH-F-
1.15 heat treat personnel that x
equipment start-up, equipment shut-down, WI/03) .
define the heat treating
product segregation (See 2.8), product
process?
inspection, and general operating procedures.
These procedures or work instructions shall be
accessible to shop floor personnel.
The organization shall provide employee training

for all heat treating operations. All employees,
including backup and temporary employees, shall
be trained. Documented evidence shall be Training Plan is available documented
Is management providing
maintained showing the employees trained and and updated.(LVH-QA-001).
1.16 employee training for heat x
the evidence shall include an assessment of the Effectiveness not monitored after
treating?
effectiveness of the training. Management shall Trainings.
define the qualification requirements for each
function, and ongoing or follow-up training shall
also be addressed.
5
Assessment
Questio Needs
Not LVH
Number Action
The organization shall maintain a responsibility
matrix identifying all key management and
Is there a responsibility matrix
supervisory functions and the qualified personnel
to ensure that all key
who may perform such functions. It shall identify Skill matrix chart avaialble(LVHF/SKM-
1.17 management and supervisory x
both primary and secondary (backup) personnel 02).Skill matrix not updated after Aug.
functions are performed by
for the key functions (as defined by the 2017.
qualified personnel?
organization). This matrix shall be readily
available to management at all times.
The organization shall have a documented

preventive maintenance program for all heat treat
process equipment. The program shall be a
closed-loop process that tracks maintenance
efforts from request to completion to assessment
of effectiveness. Equipment operators shall have
Is there a preventive
the opportunity to report problems, and problems
maintenance program for all
shall also be handled in a closed-loop manner.
heat treat equipment? Is Preventive Maintenance for all
1.18 maintenance data being Equipments are available and reviewed x
Company data, e.g., downtime, quality rejects,
utilized to form a predictive daily by CQI-9 Champion.
first-time-through capability, recurring
maintenance program?
maintenance work orders, and operator-reported
problems, shall be used to improve the preventive
maintenance program.
Maintenance data shall be collected and analyzed

as part of a predictive maintenance program.
6
Assessment
Questio Needs
Not LVH
Number Action
Has the Heat Treater Section 1 - Management Responsibility & Quality Planning
The heat treater shall develop and maintain a
developed a critical spare Updated Critical spare parts list is
critical spare parts list and shall ensure the
1.19 part list and are the parts available for VHF-03.(LVHF/MTN- x
availability of such parts to minimize production
available to minimize SL)Updated on 11.07.2018.
disruptions.
production disruptions?
Is material from different steel Different steel mill heats or metals which require
mill heats or metals which different heat treat parameters, such as but not
Only Ford Engine valves are processed
may preclude achieving the limited to, austentizing, quenching, or tempering
1.20 with all the provided specifications as per x
specified metallurgical times and/or temperatures shall be processed
customer.
properties prevented from separately in order to achieve specified
being processed together? metallurgical properties.
7
Assessment
Questio Needs
CQI-9Special Not System LVH
n Question Requirements and Guidance Objective Evidence N/A SatisfactoryProcess: Heat Treat
Immediate Assessment Version 3,
Responsible DueIssue 10/11
Date
Number Action
Section 1 -2Management
Section Responsibility
- Floor and Material & Quality
Handling Planning
Responsibility
It is critical that all customer requirements and lot
identification be adequately transferred to internal
heat treat documents. The facility shall ensure
that the data entered in the receiving system
match the information on the customer's shipping
documents. Documented processes and
Does the facility ensure that evidence of compliance shall exist, e.g., shop
Data Route card entered is same of
the data entered in the travelers, work orders, etc. Sometimes the
Dispatch and verified by Test Certificate
2.1 receiving system matches the material received does not precisely correspond x
to internal records such as incoming
information on the customer's to customer shipping documents. The facility
register, invoice etc. and found OK.
shipping documents? shall have a detailed process in place to resolve
receiving discrepancies.
The requirements stated above also apply to
captive heat treat departments. This process
refers to receiving and shipping the parts in and
out of the heat treat department.
Procedures for part and container identification

help to avoid incorrect processing or mixing of
lots. Appropriate location and staging within the
Separate places are made for different
facility also help to ensure that orders are not
stage processing of material with proper
Is product clearly identified shipped until all required operations are
identification tag.Area for Incoming ,
2.2 and staged throughout the performed. Customer product shall be clearly x
Inprocess material and Dispatch are
heat treat process? identified and staged throughout the heat treat
made and identified and material is
process. Non-heat treated, in-process, and
adentified with Process Tag/Job Card.
finished product shall be properly segregated and
identified. All material shall be staged in a
dedicated and clearly defined area.
Out-going lot(s) shall be traceable to the incoming
lot(s). Process Tag(LVH-F/PRD/WIP-00) system
Is lot traceability and integrity The discipline of precisely identifying lots and is followed further by job card system for
2.3 maintained throughout all linking all pertinent information to them enhances tracebility for each Batcha and same is x
processes? the ability to do root cause analysis and continual mentioned in Test certificate as provided
improvement. along with PDIR.
The control of suspect or non-conforming product

is necessary to prevent inadvertent shipment or
contamination of other lots. Procedures shall be
Are procedures adequate to adequate to prevent movement of non-
For non conformance
prevent movement of non- conforming product into the production system.
2.4 materials"Quarntine area" ia made with x
conforming product into the Procedures shall exist addressing proper
adequate distance from ok materials.
production system? disposition, product identification, and tracking of
material flow in and out of the hold area. A non-
conforming hold area shall be clearly designated
to maintain segregation of such material.
Heat-treating furnaces and other processing

equipment contain areas that have a risk of
trapping or holding parts. Such trapping of parts
Is there a system to identify can lead to damage, improperly processed parts
trap points in the entire heat or lot mixing/contamination. A system shall exist
treat process to reduce risk of to identify trap points in the entire heat treat
2.5 mixed parts (inappropriate, process to reduce risk of mixed parts LVH-WI/PRD-TRP x
non-heat treated, or (inappropriate, non-heat treated, or improperly
improperly heat treated heat treated parts). The heat treater shall have
parts)? documented procedures to identify and monitor
trap points for each process/equipment.
Monitoring of potential trap points shall occur for
every part changeover. 8
Assessment
Questio Needs
Not LVH
Number Action
Containers handling customer product shall be
free of inappropriate material. After emptying and
before re-using containers, containers shall be
inspected to ensure that all parts and
Are containers free of Yes Containers are free of foreign
2.6 inappropriate material have been removed. The x
inappropriate material? materials.
source of inappropriate material shall be identified
and addressed. This is to ensure that no
nonconforming heat treated parts or inappropriate
material contaminate the finished lot.
Furnace loading parameters shall be specified,

documented, and controlled. Examples include Yes, documents such as process card,
Is furnace loading specified,
2.7 feed rate, belt speed, number of parts per fixture, WI are proof of furnace loading x
documented and controlled?
and load weight. Refer to Process Tables, parameters.
Section 3.0, for frequency of checks.
Unplanned or emergency downtime greatly raises

the risk of improper processing. Operators shall
be trained in material handling, containment
Are operators trained in action, and product segregation in the event of an
material handling, equipment emergency including power failure.
Reaction plan for handling abnormality is
containment action and Training shall be documented. Work instructions
avaialble (LVH/MSR/FL/01)
2.8 product segregation in the specifically addressing potential types of x
.Abnormal condition reaction plan to be
event of an equipment equipment emergencies and failures shall be
addaed in Training plan.
emergency including power accessible to and understood by equipment
failure? operators. These instructions shall address
containment actions related to all elements of the
heat-treating process, e.g., loading, austentizing,
quenching, tempering.
Handling, storage, and packaging shall be

adequate to preserve product quality. The heat
treater’s furnace loading system, in-process
handling, and shipping process shall be assessed
Is the handling, storage and Separate places are designated for all
for risk of part damage or other quality concerns.
2.9 packaging adequate to process viz Incoming x
Some equipment includes conveyors and other
preserve product quality? ,Inprocess,dispatched etc further
moving components that may not be able to
handle all part configurations. Other practices
such as stacking of overloaded containers can
also increase the risk of part damage.
Plant cleanliness, housekeeping, environmental,

and working conditions shall be conducive to
controlling and improving quality. The heat
Are plant cleanliness,
treater should evaluate such conditions and their
housekeeping, environmental Daily Audit, 5S are in practice keeping an
effect on quality. A housekeeping policy shall be
2.10 and working conditions eye on clealliness and further reviewed x
clearly defined and executed. The facility shall be
conducive to control and by CQI-9 champion.
reviewed for conditions that are detrimental to
improved quality?
quality processing such as loose parts on floor, oil
around quench tanks, inadequate plant lighting,
smoke, etc.
9
Assessment
Questio Needs
CQI-9Special Not System LVH
n Question Requirements and Guidance Objective Evidence N/A SatisfactoryProcess: Heat Treat
Immediate Assessment Version 3,
Responsible DueIssue 10/11
Date
Number Action
Many heat-treated parts are subjected to surface
finish or appearance operations such as plating
or coating after heat treatment. Parts shall be
free from contaminants that are detrimental to
subsequent processes or the product. Pre-wash
(if applicable) and post-wash parameters shall be
monitored and documented. Oils and other
contaminants or residues can be difficult to
Are parts free from
remove once subjected to the heat treatment
contaminants that would be Proper handling is taken for
2.11 process. Review the chemical supplier’s x
detrimental to the heat materials.(MSR/CP/SPRL/01)
recommendation for cleaning the system. Parts
treatment of the product?
shall be free of rust, burrs, chips, detrimental
amounts of drawing compound, cutting fluids, rust
preventing oils, lubricants, etc., prior to heat treat.
Note: Refer to the appropriate heat treater's
requirements and specifications to determine
acceptability. Refer to Process Table, Section
5.0, for frequency of checking washer solutions.
The quenching system shall be monitored,

documented, and controlled. The temperature,
agitation, level, concentration (if applicable), time
in the quenchant, and additions shall be
controlled to the heat treater's specifications.
Refer to Process Tables, Sections 3.0 and 5.0, for
frequency of checks. Computer-monitoring Yes Quenching system is monitored
Is the quenching system
equipment, with alarms and alarm logs, satisfy through Human Machine Interface(HMI)
2.12 monitored, documented, and x
the verification requirement. Quench delay and data logger and are under
controlled?
tolerance and alarm is required for furnaces with specification and are documented.
integral quench tanks.
Temper delay time shall be specified by the heat

treater for parts that are quenched and tempered,
e.g., carburizing, carbonitriding, neutral
hardening, solution treating and aging.
Parts are often dipped in or sprayed with rust

preventive solutions immediately after the heat
treating process. Soluble oil solutions or other
Is soluble oil or other rust
rust preventive solutions shall be monitored and
2.13 preventive monitored and Not applicable x
controlled, if applicable. The heat treater shall
controlled if applicable?
have and maintain documented tolerances for the
solutions. Refer to Process Tables, Section 5.0,
for frequency of checks.
Process control parameters shall be monitored

per frequencies specified in Process Tables.
Are process control Refer to Process Tables, Section 3.0. Computer Yes, Process parameters are monitored
parameters monitored per monitoring equipment with alarms and alarm logs through job card, process card, data
2.14 x
frequencies specified in satisfy the verification requirement. A designated logger etc.AS PER Process sheet:-(LVH-
Process Tables? floor person shall verify the process parameters, F/QA/PPF/VHF-03)
e.g., by initialing a strip chart or data log.
Management review is required per Question 1.9.
Are In-Process / Final Test In-Process / Final Test Frequencies shall be Frequency of sampling is mentioned in
2.15 Frequencies performed as performed as specified in Process Tables. Refer CP,WI and are same mentioned in Test x
specified in Process Tables? to Process Tables, Section 4.0. Certificate(LVH/F/TC). 10
Assessment
Questio Needs
Not LVH
Number Action
Section
Product test 1 -shall
equipment Management
be verified. TestResponsibility & Quality Planning
equipment shall be verified/calibrated per
applicable customer-specific standard or per an Daily Hardness checklist on Hardness
applicable consensus standard such as those Tester(LVH/QA/F-03) for hardness is
Is product test equipment
2.16 published by ASTM, DIN, EN, ISO, JIS, NIST, available on site with standard test block x
verified?
SAE etc. Verification/calibration results shall be (NABL) and calibration is done
internally reviewed, approved, and documented. periodically.
Refer to Process Tables, Section 1.0, for
frequency of checks.
11
Assessment
Questio Needs
Not LVH
Number Action
Section 1 - Management
SectionResponsibility
3 - Equipment& Quality Planning
The heat-treat equipment including furnaces,
generators, and quench systems shall have
proper process controls and related equipment. Furnace is equipped with temperature
Do furnaces, generators, and
Examples include temperature, carbon controller,over temperature controller
3.1 quench systems have proper x
potential/dew point, gas flows, quench monitoring vacuum gauges, pressure gauges, PLC
process control equipment?
system including agitation, temperature control, etc.
etc. as listed in the applicable Process Tables,
Section 1.0.
The calibration and certification of the process All calibrated certificates are available on
Are process equipment equipment shall be checked at regular specified site.Verified for Temp. controller(ID No.-
3.2 calibrations and/or verification intervals. Refer to the applicable Process Tables, IN13714-001-046-04) and found x
certified, posted, and current? Sections 1.0 and 2.0, for equipment calibration or calibrated done on 17.06.2018 due on
certification time tables. 16.12.2018 for VHF-03.
The thermocouples and protection tubes shall be

Are thermocouples &
checked or replaced in compliance to a Thermo couples are checked periodically
3.3 protection tubes checked or x
preventive maintenance schedule. Refer to the and changed as per standard.
replaced per Process Tables?
applicable Process Tables, Section 2.0.
Temperature uniformity surveys shall be
conducted per the requirements in the applicable
Process Tables, Section 2.0. Certain furnace
designs, e.g., rotary retorts & some continuous
Are temperature uniformity TUS is carried out 17.06.2018 for VHF-03
pusher furnaces preclude direct temperature
surveys performed per by 3rd party(Adarsha Calibration,
3.4 profiles. Alternate test methods per Section 3.4.5 x
requirements in Process Bangalore). Cert. No.- ACS/TH/18-
are acceptable for furnaces where temperature
Tables? 19/S1241-01.Due 16.12.2018.
uniformity studies are not possible. TUS studies
are not required for Ion Nitriding. Refer to
Process Table H Item # H2.4 for specific
requirements.
The variation between the furnace control

Is the variation of the furnace
thermocouple value and the set point temperature
controlled thermocouple from
shall be within the limits defined in the applicable
3.5 set point within the Variations observed upto 30 C is in range. x
Process Tables, Section 2.0. For Ion nitriding
requirements in the Process
refer to Process Table H Item # H2.5 for specific
Table?
requirements.
The heat treater shall have a list of heat treat

process and equipment alarms that, if not
properly working, may have a high probablity of
producing non-conforming product. These
alarms shall be checked quarterly at a minimum
Are the process & equipment
or after any repair or rebuild.
3.6 alarm checks being tested for Alarms list to be made for VHF-03 and
proper function? same to be recorded.
Other alarms, including but not limited to safety-
related, shall be checked per heat treater's
requirment.
These alarm checks shall be documented.
12

Assessment
Questio Needs
Not LVH
Number Action
Generator Section 1 atmosphere
and furnace - Management carbon Responsibility & Quality Planning
potential/dew point shall be continuously
monitored, automatically controlled, and
documented. Recorded carbon potential shall be
controlled within +/- 0.05 of the set point.
Recorded dew point shall be controlled within
acceptable limits specified in the control plan or
internal procedures.
NOTE: For rotary retort and shaker furnaces that

Are generators and furnace preclude in situ control and monitoring, the
atmospheres continuously method described in Section 3.4.5 "Property
monitored, automatically Surveys" shall be used.
controlled, and documented? Furnace vacuum is monitoried through
3.7 If generators are not used, the flow rates of the X
NOTE: This requirement is vacuum gauge.
specific to Process Tables A, supplied atmosphere gases shall be monitored
B, E, F, and G; Sections 1.0 and controlled.
and 3.0.
The automatic and continuous atmosphere
control system shall consist of sensors such as
oxygen probes or on-line Infrared (IR) gas
analysis. The 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.
The back-up atmosphere monitoring system
A back up verification of the
reading and the automatically controlled
atmosphere is required.
atmosphere dew point/carbon potential reading
When the back-up verification
shall be maintained within the correlation limits
check of the atmosphere
specified in the control plan or internal
does not correlate within pre-
procedures. These range tolerances vary with
established limits with the
the specific heat treat process and the equipment
primary control method
used.
(carbon potential/dew point
The heat treater shall make appropriate technical
3.8 reading), is correlation of the Not applicable x
adjustments and then re-establish/demonstrate
carbon-bearing atmosphere
the correlation of the actual atmosphere carbon
to the primary control method
potential/dew point reading to the primary control
re-established?
and back-up atmosphere reading. The range
tolerances for correlation between the two
NOTE: This requirement is
readings shall be in the control plan or internal
specific to Process Tables A,
procedures. The back-up carbon potential/dew
B, E, F, and G; Sections 1.0
point reading shall be established using one or
and 3.0.
more of the following methods:
• Carbon bar, slug, or surface carbon of part
• Shim stock
• 3-gas analyzer
• Dew point
• Hot wire resistance
13
Assessment
Questio Needs
Not LVH
Number Action
Section
One of these fail-safe1methods
- Management
shall be used Responsibility
to & Quality Planning
prevent ammonia to leak into the furnace:
• A quick disconnect or physical separation of the
lines
• Three-valve ammonia "fail-safe" vent system is
Are all ammonia lines permitted. See the definition “Three Valve Fail-
equipped with a fail-safe Safe Vent” and diagram in the glossary.
3.9 Not applicable x
method to prevent ammonia • 1 manual and 2 electrical magnetic valves in
leaks into the furnace? series
The heat treater shall show evidence that

ammonia lines were disconnected for non-
ammonia bearing atmosphere processes.
Ammonia pick-up can be undesirable in parts and

heat treat processes not specifying/requiring
ammonia as an addition.
The heat treater shall perform a minimum 3 hours

purge prior to processing product not requiring
Is there a miniumum of 3 ammonia as an addition. Reduction of 3 hours
hour purge of the furnace purge requires conclusive test data of the
atmosphere when switching atmosphere to show no significant amount of
from an ammonia bearing residual ammonia is present in the furnace
atmosphere to a non- atmosphere.
ammonia bearing?
Log book, data logger, or other records shall
document the actual purge time and that
sufficient time has been allocated to remove
ammonia from the furnace prior to processing
parts in heat treat processes not specifying
ammonia.
All atmosphere furnaces and generators (output

trim/adjustment gas) shall have flow scopes or
Do all atmosphere furnaces
flow meters for all gases. Flow scopes and
and generators have flow
3.11 meters shall be periodically serviced per the heat Not applicable x
scopes or flow meters for all
treater's preventive maintenance program.
gases?
Cleaning and proper re-assembly procedures
shall be documented.
In absence of a rigorous fail-safe at the front of

the furnace to prevent non-uniform loading of
parts (this includes the combustion system
Is there a rigorous fail-safe at maintenance/adjustments to ensure proper
the front of the furnace to efficiencies and physical limitation for part
prevent non-uniform loading loading), then the heat treater shall have an
of parts? infrared temperature pyrometer at the exit end.
In absence of a rigorous fail- The infrared temperature pyrometers are required

safe, are all continuous belt at the exit end of continuous belt furnaces to
furnaces equipped with sight monitor for under temperature parts. The
glass inspection ports and temperature alarm shall be within 28oC (50oF) of
infrared temperature the furnace set point temperature. Results shall
pyrometers at discharge end be strip charted or continuously data logged.
of the hardening furnace? Infrared temperature pyrometers shall be
calibrated annually at a minimum and certified.
All sight glasses shall be cleaned per the
preventive maintenance schedule.
14
Assessment
Questio Needs
Not LVH
Number Action
Is salt chemistry in the Section 1 - Management Responsibility & Quality Planning

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, Not applicable x
Note: This is applicable to
Section 3.0, for frequency of checks.
salt bath heat treating
processes listed in Process
Tables A & B.
The heat treater shall periodically have the
quenching medium analyzed for specific
quenching characteristics, e.g., cooling curve,
water content, salt concentration, as specified in
the applicable Process Tables, Section 5.0. This
does not include Process Table G & H.
Is the quenching medium
3.14 • The quench media characteristic tolerances Not applicable x
analyzed?
shall be specified by the quench medium supplier
or the heat treater.
• Analysis shall be reviewed for conformance by
the heat treater. This review shall be
documented.
15

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CQI-9Special Process: Heat Treat System Assessment Version 3, Issue 10/11

Special Process: Heat Treat System Assessment

The organization shall incorporate a documented

The organization shall incorporate the use of a

To ensure all customer requirements are both

To demonstrate each process is capable of

The analysis of products and processes over time

Are internal assessments

The OEM shall be notified when parts are

The quality management system shall include a

The heat treater shall define a process for

Special Process: Heat Treat System Assessment

There shall be procedures or work instructions

The organization shall provide employee training

Special Process: Heat Treat System Assessment

The organization shall have a documented

Maintenance data shall be collected and analyzed

Special Process: Heat Treat System Assessment

Procedures for part and container identification

The control of suspect or non-conforming product

Heat-treating furnaces and other processing

Furnace loading parameters shall be specified,

Unplanned or emergency downtime greatly raises

Handling, storage, and packaging shall be

Plant cleanliness, housekeeping, environmental,

The quenching system shall be monitored,

Temper delay time shall be specified by the heat

Parts are often dipped in or sprayed with rust

Process control parameters shall be monitored

Special Process: Heat Treat System Assessment

The thermocouples and protection tubes shall be

The variation between the furnace control

The heat treater shall have a list of heat treat

These alarm checks shall be documented.

CQI-9Special Process: Heat Treat System Assessment Version 3, Issue 10/11

NOTE: For rotary retort and shaker furnaces that

When the back-up verification check of the

The heat treater shall show evidence that

Ammonia pick-up can be undesirable in parts and

The heat treater shall perform a minimum 3 hours

All atmosphere furnaces and generators (output

In absence of a rigorous fail-safe at the front of

In absence of a rigorous fail- The infrared temperature pyrometers are required

Special Process: Heat Treat System Assessment

Is salt chemistry in the Section 1 - Management Responsibility & Quality Planning

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