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•• · CQl-9
•• Automotive lndustry Action Group

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•• Special Process: Heat Treat System Assessment
•• 3rd Edition

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CQl-9
Version 3. lssued 10/2011

•• ABOUTAIAG
•• 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,
EDl/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 publica/ion ref/ects a consensus of those substantially concemed 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 publica/ion .

•• CAUT/ONARY NOT/CE
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 ali circumstances, AIAG has established a maintenance
procedure. Please refer to the Maintenance Request Form al the back of this document to submit a request.

•• Published by:
Automotive lndustry Action Group
26200 Lahser Road, Suite 200
Southfield, Michigan 48033

•• APPROVAL STATUS
Phone: (248) 358-3570 • Fax: (248) 358-3253

The AIAG Quality Steering Committee and designated stakeholders approved this document far publication in

•• October 2011 .

AIAG COPYRIGHT ANO TRADEMARK NOTICE:

•• The Automotive lndustry Action Group copyrights the contents of ali published materials unless otherwise indicated. Copyright is not
claimed as to any part of an original work prepared by a U. S. or state govemment officer or employee as part of the person 's official
duties. Ali rights are preserved by AIAG, and content may not be altered or disseminated, published, or transferred in part of such
content. The informa/ion is not to be sold in part or whole to anyone within your organization orto another company. Copyright

•• infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive lndustry Action Group are
registered service marks of the Automotive lndustry Action Group .

© 2011 Automotive lndustry Action Group

•• ISBN #.· 9 781 60534 236 8

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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
comrnittees .
The main task of technical committees is to prepare automotive standards and system requirements. Draft

•• documents adopted by the technical comrnittees 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 - Del phi 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

Wemer Schwan - Robert Bosch GrnbH Germany

•• Jeff Martin - ZF Friedrichshafen, AG

Luiz Tu bino - LTC Desenvolví mento Empresarial LTDA, Brasil

•• Kevin Bauer - Keystone Powdered Metal Company

Delbert Clubine, Advance Heat Treat Corporation

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CHANGES TO CQl-9 3Ro EDIT/ON

The Special Process: Heat Treat System Assessment, 3rd edition contains sorne new requirements,
changed requirements, and clarifications that the supply organization will need to consider in making its ••
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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 3'd edition.
1. Three new Process Tables have been added:
• Low Pressure Carburizing
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Sinter Hardening
Ion (Plasma) Nitriding
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2. The format and layout of the Process Tables have been improved to facilitate the heat treat system
assessment. ••
3. References to AMS 27500 have been removed and replaced with AIAG CQI-9 specific
requirements. ••
4. Frequency for SA T and Instrument Calibration have been changed. The requirement in the 3rct
Edition allows the heat treater to choose one of the two following options:
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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- ••
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annual frequency) .
5. The 3'd Edition allows two options for the frequency for calibrating oxygen probe controllers
(used in carbon-bearing atmospheres):
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Quarterly (single-point calibration or multi-point calibration is allowed)
Semi-annual (multi-point calibration method; single-point calibration is not allowed)
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6. Frequency for checking the quench oil cooling curve was changed to semi-annual (2ªd Edition
required quarterly frequency checks).
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7. The temperatures given in ºC and ºF were harmonized. That is, the direct conversion from ºC to
ºF is not used but rather the common tolerances for ºC and ºF were used. For example, the TUS ••
8.
tolerance for carburizing fumaces is ± 15 ºC (± 25ºF).
Questions 1.20, 3.20, and 3.21 were added to the CQI-9 Heat Treat System Assessment. ••
9.
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Question 1.11 was modified. This question addresses re-processing procedures.
Question 3.7 -The oxygen probe controller (carbon controller) shall control the carbon potential
+/- 0.05%.
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11. Question 3. 12 was modified. This question addresses the proper height of the workload on a
continuous belt fumace .
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•• TABLE OF CONTENTS
•• ABOUT AIAG ...................................................................................................................................................... 1

•• FOREWORD .....................•................................................................•.......................•..........•...•......................... 3

TABLE OF CONTENTS ...............................................................................................•.......................................... 5

•• INTRODUCTION ................. ...........................................•................................•.................................................... 7

GENERAL ............. .... . ...................... ........................ .. . .... .. ................. ................... .. ........... ....... ....... .. ......... .. ................. 7

•• PROCESS APPROACH ........ ............. ........................... .... ..... ...... .......... .... ............... .. .. ..... ..... ......... .. ..... ......................... .... 7
HEAT TREAT SYSTEM ASSESSMENT GOALS ........................ . .. .... ................................................... .. ...................................... 7
ASSESSMENT PROCESS ................ ................................. ........... ........................................ ....... ...................................... ... 7

•• ASSESSOR QUALIFICATIONS . ...•........•.......... ..•.. . .....•............ •.... .. .. ..............•.... . .....•.......... •.... .. •... .............. ....• ... •............... 8
ÜTHER REQUIREMENTS ...................................................................................................................................................8

1 SCOPE ............................................................................................................................................................. 9

•• 1.1 GENERAL ..... .. ....... .. ...... . .. ..... ........ ... ...................................... ....... ...................... ..... . ............ . .. .. ... .......................... 9
1.2 APPLICATION .. .. .. . .....•.. . .. ... .. ........ . .. ........ .•...... . ... •. ........... .... .... . .. .... .... .•....•. •.•.. ... .. . ........ ... .. .. . .. .. .. .. . .. ..... . ..•....... ..•.... 9

•• 1.3 REFERENCE ....... .............. .. ........................................ ....... ...................................................................................... 10

2 THE HEAT TREAT SYSTEM ASSESSMENT PROCEDURE ...................................................................................... 11

•• 3 SPECIAL PROCESS: HEAT TREAT ASSESSMENT ................................................................................................. 13

3.1 THERMOCOUPLES ...................................................................................................................................................39

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3.2 INSTRUMENTATION .................................................................................................................................................45
3.3 SYSTEM ACCURACY TEST (SAT) .... .......... ..... ..... .......... ............ ....... ...... ........... .. ............ ............. ..... ..... .... .. .... .... ...... . .49
3.4 TEMPERATURE UNIFORMITY SURVEYS (TUS) ................. . ............. ................ ...... ...... . .. .................... . ...... . .. ................. . . 57

•• APPENDIX A - PROCESS TA BLES .........................................................................................................................69

PROCESS TABLE A: CARBURIZING / CARBON CORRECTION / NEUTRAL HARDENING / AUSTEMPERING /

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MARTEMPERING / TEMPERING / PRECIPITATION HARDENING - AGING ............................................................. 70

PROCESS TABLE B: NITRIDING (GAS) AND FERRITIC-NITROBARBURIZING (GAS OR SALT) .................................... 73

•• PROCESS TABLE C: ALUMINUM HEAT TREATMENT ............................................................................................ 76

PROCESS TABLE D: INDUCTION HEAT TREATING ................................................................................................78

•• PROCESS TABLE E: ANNEALING / NORMALIZING / STRESS-RELIEVING ................................................................ 80

PROCESS TABLE F: LOW PRESSURE CARBURIZING ..............................................................................................83

•• PROCESS TABLE G: SI NTER HARDENI NG .............................................................................................................85

PROCESS TABLE H: ION NITRIDING ....................................................................................................................88

•• GLOSSARY ......................••...........................................••...........................................•........................................89

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•• 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

•• welJ 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 continua!
improvement, emphasizing defect prevention and the reduction of variation and waste in the supply chain .
The HTSA, coupled with an intemationally 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, ata 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 ofISO/TS

•• 16949 .

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Use of CQl-9, HTSA, and Process Tables ••
CQI-9 HTSA and Process Tables address the most common thermal processes employed by the
automotive industry. Dueto 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) interna\ auditor (for example,
ISO/TS 16949, ISO 9001) ••
2. Assessor shall possess heat treating knowledge. Evidence sha\1 include a mínimum 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 ítem #1.
••
Other Requirements
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The organization sha\1 keep records as evidence of compliance to the requirements identified in the HTSA,
as wel\ as ali appropriate action plans to address any unsatisfactory ratings. These records shall be readily
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available for review by any customer requiring compliance to the requirements within this document.
Documentation recovery shall meet TS 16949 or ISO 9001 requirements for process control and ••
inspection records.
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•• 1 SCOPE

•• 1.1 General

•• This document specifies process requirements for an organization or its suppliers perfonning applicable
heat treating, who need to:

•• •

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demonstrate ability to consistently provide product that meets customer and applicable
regulatory requirements, and
enhance customer satisfaction through the effective application of the system, including

•• processes for continua\ 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
Ali requirements of the HTSA are generic and are intended to be applicable to ali organizations

••
perfonning 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

• Carburizing

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Carbonitriding
Carbon Restoration or Correction

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Neutral Hardening (Quench and Temper)
Austemperíng

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Martempering
Tempering

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Process Table B - Ferrous
Precipitation Hardening - Aging

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Nitriding (Gas)
Ferritic-Nitrocarburizíng (Gas or Salt)

•• Process Table C - Aluminum

• Aluminum Heat Treating

•• Process Table D -Ferrous

• Induction Heat Treating

•• Process Table E - Annealing, Normalizing, and Stress-Relieving

• Confonnance to CQI-9 is required for ali organizations that perfonn annealing,

•• nonnalizing, or stress-relieving to achieve desired final characteristics of the part .

Process Table F - Low Pressure Carburizing

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Process Table G - Sinter Hardening

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Process Table H - Ion Nitriding
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Note: Material producers of primary or raw materials, or any intermediate thermal
treating process step(s) that do not affect the final characteristics of the part are exempt ••
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from conforming to the requirements in CQI-9.

These Process Tables contain requirements for:

1. Process and Test Equipment ••
2.
3.
Pyrometry
Process Monitor Frequencies ••
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5.
In-Process/Final Test Frequencies
Quenchant and Solution Test Frequencies ••
The Process Tables specify the tolerances of process parameters and the frequencies for checking process
control parameters and parts. The requirements and guidance in the HTSA form will notify the assessor
when to refer to the Process Tables.
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1.3 Reference
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The following standards are referenced in this document. The applicability is limited to the subject matter
referenced. ••
Standard Number Title Standard's Organization
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ISO/TS 16949 Quality management systems Intemational Organization for
Standardization
ISO/IEC 17025 General Requirements for the Intemational Organization for

ISO 9001
competence of testing and
calibration laboratories
Quality management systems
Standardization

International Organization for

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IEC 60584-1
requirements
Thermocouples Reference Tables
Standardization
International Electrotechnical
Commission
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ASTM E230 Standard Specification and
Temperature-Electromotive (EMF)
for Standardized Thermocouples
American Standards of Testing and
Methods ••
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•• 2 THE HEAT TREAT SYSTEM ASSESSMENT PROCEDURE

•• 1. Obtain current copy of CQI-9 Special Process : Heat Treat System Assessment, 3rd edition
from AIAG .

•• 2. Identify all heat treat processes to which CQI-9 Special Process : Heat Treat System
Assessment, 3rd edition applies (see CQI-9, 1.2 Application). Record these processes on the
HTSA, Page 1.

•• 3. Complete the HTSA, determining the leve! of compliance. A mínimum of one job audit
(Section 4) shall be performed during each assessment.

•• 4. Address each "Not Satisfactory" item and determine corrective action, including root cause
analysis and implementation of the corresponding corrective action(s). The corrective

•• 5.
action(s) shall be completed within 90 days. Records of the corrective action, including
verification, shall be maintained .
"Needs Immediate Action" requires immediate containment of suspect product. Address each

•• "Needs Immediate Action" item and determine corrective action(s), including root cause
analysis and implementation of the corresponding corrective action(s). The corrective

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action(s) shall be completed within 90 days. Records of the corrective action, including
verification, shall be maintained .
6. Assessments shall be conducted annually unless otherwise specified by the customer.

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•• 3 SPECIAL PROCESS: HEAT TREAT ASSESSMENT

•• INSTRUCTIONS FOR COMPLETING THE COVER SHEET ...................................................................... 14

COVER SHEET FORM .....................................................................................................................16

•• INSTRUCTIONS FOR COMPLETING SECTIONS 1 - 3 ............................................................................. 17

SECTION 1: MANAGEMENT RESPONSIBILITY & QUALITY PLANNING ................................. 18

•• SECTION 2: FLOOR AND MATERIAL HANDLING RESPONSIBILITY ....................................... 26

SECTION 3: EQUIPMENT ................................................................................................................31

•• INSTRUCTIONS FOR COMPLETING THE JOB AUDIT .............................................................................64

SECTION 4: JOB AUDIT FORM ......................................................................................................65

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lnstructions for completing the Cover Sheet

l. Facility Name: Name of the facility being assessed.
One form shall be used for each facility. The facility may have several buildings or physical
locations in the same general area. If there is a separate management team (Quality Manager and
••
Metallurgist) or different management system, then these locations shall be considered as
separate facilities. ••
2. Address: The street address of the facility being assessed; P.O. Box numbers may be given as
additional information. ••
3. Phone Number: The phone number of the facility.
If there is no common phone number for the facility, the phone number ofthe Operations
Manager or Quality Manager shall be used. ••
4.
5.
Fax Number: The fax number of the facility.
Number of Heat Treat Employees at this Facility: The number of employees, salaried and
••
6.
hourly, associated with the heat treat operation at this facility.
Captive Heat Treater (YIN): Enter "Y" if this facility heat treats components for their own ••
••
company. Enter "N" if the company <loes not heat treat any components for their own company.
7. Commercial Heat Treater (YIN): Enter "Y" if this facility heat treats components for
companies other than their own company. Enter "N" if this facility <loes not heat treat any

8.
components for other companies.
Date of Assessment: Enter the date(s) of the assessment. An alphanumeric format shall be used ••
to avoid confusion with different numeric formats.
Example: May 3 - 4, 2011
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9. Date of Previous Assessment: List the date of the previous CQI-9 Special Process: Heat Treat
System Assessment of this facility.
10. Type(s) ofThermal Processing at this Facility: Place a checkmark to designate all thermal
process( es) performed at this faci lity. This information determines the appropriate Process Table
that shall be used during the assessment. Processes not listed on the cover sheet are not part of the
Heat Treat System Assessment.
••
11. Current Quality Certification(s): The heat treater shall list their current qua\ity certifications,
e.g., ISO/TS 16949, ISO 9001. Certifications may be from 3rd party sources or customer quality
••
certifications. If customer quality certification is given, then the year of the last assessment by the
customer shall a\so be given. ••
12. Date ofRe-assessment (ifnecessary): If"Not Satisfactory" findings were observed from the
original assessment, then the heat treater shall address each item and determine correct action,
including root cause analysis and implementation of the corresponding corrective action(s). ••
The date of the re-assessment shall be given here, and the appropriate Question(s) from Sections
1 - 4, in the original assessment, shall be modified to reflect that the evidence, relating to the ••
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implementation of the corrective action(s), has been observed. Also, the "Number ofNot
Satisfactory Findings" shall be modified as appropriate.
13. Personnel Contacted: List the name(s), title(s), phone number(s), and email address(es), if
available, of the principal participants from the heat treater's organization.
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14. Auditors/Assessors: List the name(s), Company(ies), phone number(s) and email address(es), if
available, of the auditor/assessor(s) .

•• 15. Number of "Not Satisfactory" Findings: Enter the number of ''Not Satisfactory" findings
observed during the assessment.

•• 16. N umber of "Needs lmmediate Action" Findings: Enter the number of "Needs Immediate
Action" findings observed during the assessment.

•• 17. Number of "Fail" Findings in the Job Audit(s): Enter the number of "Fail" findings observed
from the job audit.

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Cover Sheet Form

Special Process: Heat Treat System Assessment

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Facilitv Name:
Address:
••
Phone Number:
Fax Number:

Number of Heat Treat Emo lovees al this Facilitv:

Tvoelsl of Thermal Processina at this Facilitv :
Process Table A - Ferrous
Cartiurizino
Carbon itrid inA
••
Interna! (Captive) Heat Treater (YI N) :

Commercial Heat Treater (YIN):

Carbon Restoration
Neutral Hardening
(Quench & Temoer)
Austemoerina I Martemoerina
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Temoerina
Date of Assessment: Precioitation Hardenina I Aaino

Date of Previous Assessment: Process Table B - Ferrous

••
Nitrid inA (Gas)
Ferritic-NitrocarburizinA (Gas or Sal!)

Process Table C -Aluminum

Aluminum Heal Treatmenl

Process Table D - Ferrous

lnduct ion Heat Treatina ••
Process Table E
Annealina
Normalizing
Stress-Reliev ina
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Process Table F
Low Pressure Carburizina
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Process Table G
Sinter Hardenina

Process Table H

••
Ion NitridinA

Curren! Quality Certification(s) :

Date of Re-assessment lif necessarv):

Personnel Contacted :
Name: ITitle: Phone · IEma il:
••
Auditors/Assessors :
••
Name: IComoanv: Phone : IEmail

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Number of "Not Satisfactorv" Findinas :

Number of "Needs lmmediate Action" Findings:

Number of "Fail" Findinos in the Job Auditls\:

••
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The C8talyst for peak per1ormance
Special Process: Heat Treat System Assessment
CQl-9
Version 3. lssued 10/2011

•• lnstructions for completing Sections 1 - 3

•• Sections 1 - 3 contain questions and the requirements and guidance for each question. The Sections are:
• Section 1 - Management Responsibility & Quality Planning

•• •
•
Section 2 - Floor and Material Handling Responsibility
Section 3 - Equipment

•• The assessor shall assess the heat treater's compliance to Sections 1 - 3 by comparing the evidence
presented by the heat treater to the requirements listed in the "Requirements and Guidance" column .

•• NOTE 1: In the "Requirements and Guidance" column, the word "shall" indicates
a requirement and the term "such as" indicates that any suggestions

•• NOTE2:
given are for guidance only .
The "Requirements and Guidance" column will indicate to the assessor

•• when the Process Tables are pertinent to the questions. When the Process
Tables are pertinent to the question, the assessor shall assess the heat
treater's compliance to the specified section(s) in the Process Tables .

•• NOTE 3: lf the question is not applicable to the heat treater, then the assessor shall
place a checkmark in the "N/A'' Assessment column. Ifthe observed

•• evidence is in compliance to the question, the assessor shall note the

evidence in the "Objective Evidence" column and place a check mark in
the "Satisfactory" column. If the observed evidence is not in compliance

•• to the question, then the assessor shall note the non-compliance in the
"Objective Evidence" column and place a check mark in the "Not
Satisfactory" column .

•• NOTE4: Where nonconforming product is identified in the assessment of a given

question the assessor shall place a check mark in the "Needs Immediate

•• Action" (NIA) colurnn. NIA requires imrnediate containment of suspect

product.

••
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Special Process: Heat Treat System Assessment

Assessment
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Section 1 - Manaaement Responsibility & Quality Plannina J ~(!)

To ensure readily available experhse. there shall

be a dedicatad and quahfied hea1 treat person on
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site. This indTVidual shall be a full-time employee Q)
and the posi1ion shall be reflected in the C'D
Is there a dedicated and organization chart. A job description shal! exist (/)
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1.1 qualified heat treat person on- 1dentifying the qualifications for the posi1ion
site? including rnetallurgical and heat treat knowledge.
The qualifications shall include a mínimum of 5
years experience in heat treat operations or a
comb1nation of a mínimum of 5 years of formal
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metallurgical education and heat treat experience. ""C (1)

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The organization shal! incorporate a docurnented t/1
advance quality planning procedure. A feasibility
-· 3
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study shall be perlormed and inlernally approved
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for each part. Similar parts can be grouped into
par! families for lhis effort as defined by lhe
Does lhe haat treater parfom, organization. After the part approval process is
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advanced quality planning? approved by the customer, no process changes
are allov,..ied unless approvad by the customer. Toa QO
heat treater shall contad the cus1omer when
clarifica1ion of process changas is required. This
clarification o! process changes shall be
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documented.

The organization shall incorporate the use of a

documented Failure Mode and Effects Analysis
(FMEA) prooedure and ensure the FMEA's are
updated to reflect curren! par! qualily status.
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The FMEA shall be written lor each par! or par!
family ar they may be process-specific and v.rritten ~-
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Are heat treal FMEA's up to
date and reflecting curren1
processing?
lor each process. In any case, they shall address
all process sleps from part receipl to part shipment
a.nd a.11 key heat treat process parameters as
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defined by the organization. A cross-funcHona1
leam shall be used in the developrnent of the !
FMEA. AII special characteristics, as defined by o'
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the organization and its customers, shall be
idenlified, defined, and addressed in the FMEA. ¡
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A$:Sessment

Question Not Needs lmmediate

Questlon Requlrements and Guldance ObJectlve Evldence NIA Satlsfactory
Number Satistactory Action

The organization shall incorporate the use of a

documented control plan procedure and ensure
the control plans are updated to reflect curren!
controls.
The control plans shall be written for each part or
part family or lhey may be process-specific and
wntten for each process. 1n any case, they shall
address aU process steps from part receipl lo part
shipment and ident~y all equipment used and ali .g,
(1)
key heal treat process parameters as defined by

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the organization.
Aáe heat treat process control
A cross-functional team , including a production iii'
1.4 plans up to date and reflecting
operator, shaD be used in the development of
curren! processing?
control plans, which shall be consisten! with all
assoclated documentation such as work (')
instructions, shop travelers, and FMEA's. Ali (1)
special characteristics, as defined by the
organization and ils customers, shall be identified, ..~
defined, and addressed in the control plans.
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Sample sizes and frequencies for evaluation of
process and product characterislics shall also be
addrassad consistan! wilh the mínimum - Q¡

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requirernents listed in !he Process Tables, (1)
Sec1ions 3.0 and 4.0. Q¡

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Question Requirements and Guidance Objective Evidence N/A Satlsfactory
Satistactory Action
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To ensure all cuslomer requirements are both
understood and satisfied, the organiza1ion shaN
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have ali relaled heat treat and customer (1)
referenced standards and specifícations available Q)
for use and a method to ensure that they are
current. Such standards and specifications include,
but are not limited to, those relevant documents
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published by SAE, AIAG, ASTM, ISO, EN, JIS, CD'
Are ali heat treat related and
referenced specifications
General Motors, Ford, and Chrysler. The
organization shall have a process to ensure the
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current and available? Far
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timely reviev\l, distribution, and implementation of
eicample: lndustry and all customer and industry engineering standards / ~
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1.5 customer specific specifica1ions and changas based on customer-
specifications such as SAE, required schedule. Timely review should be as (/)
AIAG. ASTM, ISO, EN, JIS, soon as possible and shall nol exoeed tv.o working
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General Motors, Ford, and 1Neeks. The organization shall document this
Chrysler. process of review and implementation, and it shall ~
address how customer and índustry documents are
obtained. how they are maintained wnhin the
organizalion, hON the curren! status is established,
and hov.r the relevant information is cascaded to
lhe shop floor 1/1/ithin the two-week perioct. The
organization shall idenlify who is responsible lor
perfonning lhese
tasks.

The heat treater shall have wriHen process

specifications for ali active processes and identify
ali steps of lhe process including relevan!
operaling parameters. Examples of operating
parameters inciude process temperatures, cycle
times, load ratas, atrnosphere or gas flov,¡ settings,
Is there a written process belt speeds, quench agnation speeds. ele. Such
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1.6 specification for all active parameters shall no! only be defined, they shali oo,
processes? have operating tolerances as defined by lhe ¡¡;
organization in arder to maintain process control.
Ali active processes should have a wrilten process !
specification. o'
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These process specifications may take the fonn of
v,.iork instructions, job card, computer-based "ffi
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recipes, or other similar documents.

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Questlon Requirements and Guidance Objective Evidence NIA SatiSfactory
Not Needs lmmediate "
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Number Satistactory Action

To demonstrate each process is capable of

yielding acceptable product the organizalion shall
perform process capabilily studies for the initia l
validation or each process, alter relocation of any
process equipment , & after a major rebuild of any
equipment. The organizatioo shall define whal
oonstitutes a major rebuild. 1nitial process
capability studies shall be conducted for ali heat
treat processes per fumace line defined in scope
oí worl< & in accordance with customer
Has a valid process capabitity
requirements. A fu mace line rnay includa a
study been performed initially
combination of equiprnent that is integrated in the
17 and alter process equipment
has been relocated, or had a
major reb uitd?
performance of a heat treatmant process, e.g .,
hardening. quenching, and tempering. Capability .g,
(1)
study techniques shall be appropriate for the heat

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treat product characteristics. e.g ., !ensile strength,
case deplh, hardnass. Any specific cuslomer
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requirements shall be met. In the absence ol
customer requirements, the organization shall
eslablish acceptable ranges for measures of (')
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capability. An action plan shall exist to address the (lj
steps to followed in case capability indices fati
outside customer requirements or established
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ranges.

The analysis or products and processes over time :;t

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can yield vital information for defect prevention (1)
eflorts. The organization shall have a s,¡stem to 111
Does lhe heat treater coAect
collecl , anatyze, and react to product or process
1.8
and analyze data over time,
data over time. <!R
and react to this data?
Methods of analysis shatt include ongoing trend or
historical data analysis ol product or process
?3rameters. The organization shatt determine
which parameters to include in such analysis.
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Questlon ReqUirements and Guidance ObJective Evldence NIA Sati sractory Not
Satlsfactory
Needs lmmedlate
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Management shall review the fu mace monitoring
systems at intervals nct to exceed 24 hours. The -
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heat treat monitoring system in eludes but is not (1)
limitad to temperatura strip charts, atrnosphere Q)
Is management reviewing the
strip charts, computer data logs, fumace and
heat treat monitoring system
1.9
every 24 hours?
operator logs, etc.
The management review shall include efforts to ~
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detect out-of-control conditions or alarm
conditions. The process of reviewing the fumace
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data shall be documentad and this requirement
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also applies to computerized data. :t.
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Ale interna! assessments CI)
The organization shall conduct interna! CI)
being completad on an
1.10 assessments on an annual basis, ata mínimum,
annual basis, ata minimum, 3
-
using the AIAG HTSA (1)
using AIAG HTSA?
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The OEM shall be notified when parts are
reprocessed in the heat treat operation. lt is
preferred that the n otification be on a case-by-
case basis. However, it is understood thal sorne
reprocessing (such as but not limited to re-
tempering operations) may be pre-approved
during the APQP or PPAP phase. To be pr&-
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

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Is the OEM customer notified treater's FMEA and process control plan
1.11
when parts are reprocessed? • The procedure shall describe proó.Jct
characteristics for which reprocessing is
permissible as well as !hose characteristics for
which reprocessing is nct permissible. Cl)

• Any reprocessing activity shall require a new ¡;i

processing control sheet issued by qualified ¡;;-
technical personnel denoting the necessary heat
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treat process modifications.
• Records shall clearly indicate when and how any
material has been reprocessed.
• The Ouality Manager ora designee shall t
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authorize the ralease or reprocessed product.
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Question
Questlon Requlrements and Guldance Ob)ectlve Evldence NIA Satlsfactory
Assassment

Not Needs lmmediate

1
Number Satlstactory Action

The quality management system shall include a

Does the Qualiy Department
process far documenting . reviewing, and
review, address, and
1.12 addressing customer ooncerns and any other
doc:ument customer and
concerns interna! to the or¡¡anization. A disciplined
interna! concerns?
problem-solving approach shall be usad.

The heat treater shall define a process for

continua! improvement for each heal lreat process
Is there a contínual identilled in the scope of !he HTSA. The process
improvement plan applicable shall be designed to bring about continua!
1.13
to each process defined in the improvement in quality and productivity. ldentilled
SC<lpe of the assessment? actions shall be prioritized and shall include timing
(estimated complet lon dates). The organization .g>
shall show evidence of program effecfr,eness . t'D

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Does the Quality Manager or "ti
1.14
designee authori..ze the
disposition of material from
The Quality Manager is responsible for aulhorizing
and documenting appropriate personnel to
disposition quarantine material.
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quaran1ina status? t'D
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Are there procedures ar 1J.J0rk

There shall be procedures Of wor1c instructions
available to heat treat pcrsonnel covering the heat
trealing process. These procedures or work
instnuctions shall include methods al addressing
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1.15
instructions available to the
heat treat personnet that
define the heat treating
process?
potential emergencies (such as power failure).
equipmant start-up, equipment shut-<lown, product
segregation (See 2.8). product inspection , and
general operatmg proceduras. Toase procaduras
or work inslnuctions shall be accessible to shop
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floor personnel.
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Question Not Needs lmmediate

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Question Requirements and Guidance Objective Evidence NIA Sati sf a ctory ~:r::
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Number Satisfactory Action (!)
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The organization shall provide employee training

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for ali heat treating operations. Ali employees, (!)
including backup and temporary employees, shall Q)
be trained. Documented evidence shall be
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Is managemen1 providing
maintained showing the employees 1rained and the
1.16 employee training far heal
evidence shall include an assessment of the (/)
treating?
effecOveness of the 1raining. Management shall cD'
define the qualification requirements far each
function, and ongoing or follow-up 1raining shall
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also be addressed. (/)
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The organization shall maintain a responsibilily (/)
(/)
matrix iden1ifying all k")' managemen1 and
Is there a respcnsibility rnatrix
supervisory functions and lhe qualified personnel 3

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to ensure that all key (!)
who may perform such funct,ons. lt shall idenlify
1.17 management and supervisory :::i
both primary and secondary (backup) personnel far
functions are performed by
the key functions (as definec by the organization).
qualified personnel?
This matrix shall be readily available to
management al al\ times.

The organization shall have a documented

prevenlive maintenance program for all hea1 treat
process equipmenl. The program shall be a
closed-loop process that 1racks maintenance
efforts from request to completion to assessment
of eflectiveness. Equipmen1 operalors shall have
Is there a preventiva
the opportunily to repcrt problems, and problems
maintenance program for ali
shall also be handled in a closed-loop manner .
heat treat equipment? Is
1.18 maintenance data being
COmpany dala, e.g .. do""'1ime, qualily rejects, fin;t-
utilizad to form a predictiva
time-through capability, recurring rnaintenance :=;J
rnaintenance program? CD
oork orders, and operator-reported problems. shall
be used to improve the preventive maintenance @
program.
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Maintenance data shall be c:ollected and analyzed

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Assas.ment

Question Not Needs lmmediate

Question Requirements and Guidance Objective Evidence NIA Satisfactory
Number Satistactory Action

Has the Heat Treater

The heat treater shall develop and maintain a
1.19
developed a critica! spere part
list and are the parts available
cr~ical spa re parts list and shall ensure the
availability of such parts to minimiza production
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to minimize production

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disruptions. C')
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Is material from different steel Differenl steel mili heats or rnetals which require
mili heats or metals which different heat treat parameters , such as but not ~
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may preclude achieving the limited to, austentizing, quenching, or tempering
1.20
specified metallurgical times and/or temperatures shall be processed (D
properties preve nted from separately in arder to achieve specified e,,
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being processed together? metallurgícal properties. '•
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Sec:tion 2 • Floor and Material Handlina Resoonslbilitv

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(/)
lt is crilical that all customer requirements and lot
identification be adequarety transferred 10 Interna! o.., ~
heat tre-at documents. The faciHty shall ensure that ¡¡;-
the data entered in lhe receivlng system match the Q)
mfarma1ion on the customer's shipping documcnts. ::::, 3
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Documenled processes and evidence of
Q)eS the facílity ensure that compliance shall exist, e.g., shop trav~ers , work
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!he data enlered in lhe orders, ele. Sometimes the material received does
2.1 receivmg system malches the no1 precisely correspond to customer shipping
information on the cuslomer"s documents. Toe facility shal have a detailed Q)
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shipping documents? procass in place to resolve receiving
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diSC1epancies. CI)
The requirement& s1ated above also apply to :l
captive heat treat departments. This prooess Q)
refers to receiving and shipping the parts in and
ou1 of !he hea1 treat department.
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Procedures for part and container identification ::::,
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help to avoid incorrect procassing or rni:xilg of lots.
Appro¡,riate location and staging wilhin the facU:y
also help to ensure that orders are not shipped
Is ¡:,-oduct clearly ioentified un1il all required operations are performed.
2.2 and staged throughou1 the
heat !real process?
Customer product shall be c6earty tdentified and
slaged throuyhou1 the heal !real process. Non-
ce
heat treated, in-process. and finished product shall ::::a
be property segregaled and identified. Ali material CD
shall be staged in a dedicated and clearty defined
area.
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Out-going lot(s) shan be traceable to !he incoming
lot(s).
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Is lol lraceabilily and inlegrity The discipline of precisely idenlifying kJts and (!)
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2.3 mainlained throughoul all
processes?
linking ali pertinent informalion to them enhances
lhe abilily lo do roo! cause anr.1lysís and oonli nua l -· @
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Questlon Not Needs lmmediate ()
Question Requircments and Guidance Objec:tive Evidence NIA Satistacto,y (1)
Number Satisfactory Action

The control of suspect ar non-conforming product

is necessary to prevent inadvertent shipment or
contamination oí other lots. Procedures shall be
Are procedures adequate to adequate to prevent movement of non-conrorming
prevent movement of non- product in1o the production system . Pnx:edures
2.4
conforming produd into the shall exist addressing proper disposition, product
produd10n system? identif¡cation, and tr:acking of material flow in and
out of the hokJ area. A non-conforming hold area
shall be clearly designated to mainta!n segregation
of such malerial.

l-leat-treating rumaces and other processing

equipmenl oontain a reas that have a risk of
trapping or holding pans. Such trapping o( pans
Is lhere a system to ideotify
can leed to darrege, improperly prooessed parts or
trap points ;n the entire heat
treat process lo reduce risk of
lot mixing/contaminatbn . A sySlem shall exlst to
!dentify trap points in 1he entire heal treat process
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2.5 mixed par1s {inappropriate. (?)

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lo redua! risk of mixed parts (inappropriale. non- (')
non-heat treated, or
improperly hea11reated
hoot lreated, ar improperly heat treated parts).
The heat treater shall have documenled
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parts)?
procedures to idenlify and monitor trap points for
each process/equipment. Monrtoring of potential
trap poin1s shall occur for every part changeover. (')
(?)
11)
Conlainers handling C\Jstomer produc:t shall be free
oí inappropriate material. Mer empfying and
..
11)

before re-using CCM1tainers. containers shall be ¡f

2.6
Are containers free of
tnappropnate matenal?
inspec1ed to ensure thal a!I parts and inappropriate
material have been removed. Toe source of
inappropriate material shall be identñied and -
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addressed. This is lo ensure thal no
nonconfO(ming heal treated parts or inappropriete 111
malerial conlaminate the finished lol .

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Fumace loading parameters shaU be specified, ~ 11)

2.7
Is fumace loading specified,
documented, and oontrolled . Examp'es indude
feed rate, bert speed, number of parts per fbcture,
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documentad and con1rolled?
and load weght. Refer to Process Tables, Section ~3
3.0, for frequency of checks. :..... )::.
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Unplanned ar emergency downtime greatty raises
the risk of improper pmcessing. Operators shall

Are operators trained in

be trained in material handling, containment action,
and product segregation in the event of an
~
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material handling, equipment emergency includlng pov..er failure. ¡;-
2.8
containmen1 action and
product segregation in the
Training shall be documentad. Work instruc1ions
specifically addressing potential types of
3
):,,.
event of en equipment equipment emergencies and feilures shell be CI)
emergency including power aaoessible to and understood by equipment CI)
failure? operalors. These instructions shall address CI)
CI)
containment actions related to all elements of the CI)
heat-trealing process, e.g., loading , austenlizing,
3
-
quenchlng, tempering. CI)
:::s
Handling, slorage, and packaging shall be
adequate to prese,ve prcxluct quality. The heat
treater's fu mace loading system, in-process
handling, and shipping process shall be assessed
Is the handling, storage and
for risk of part damage oral her quality concerns.
2.9 packaging adequate to
Sorne equipmenl includes conveyors and other
preserve product quallty?
moving components that may not be able to
handle ali part configurations. Olher practioes
such as stacking of overloaded containers can also
increase the risk of part damage .

Planl deanliness. housekeeping , env ironmental,

and =rl<ing oondiions shall be oonducive to
controlling and improving qualily. Toe heat trealer
Are plan! cleanliness,
should evaluate such oonditions and their effect on

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housekeeping, environmental
quality . A housekeeping policy shall be dearty
2 .10 and working conditions (!)
defined and executed . The facility shall be
conducive to control and @
reviewed for condiions 1hal are detrimental to
improved quality?
qualily processing such as loose parts on floor, oil
around quench tanks, inadequate plant lighting,
smoke, etc.
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Many heat-traated parts are subjected to surface

rinish or appearance operalions such as pla\ing or
coating alter heat treatment. Parts shall be froo
frorn contaminanls lhal are detrimental to
subsequenl processes or the product. Pre-wash (if
applicable) and posl-wash parameters shall be
monitored and documentad. Oils and other
contaminants or residues can be drfficult to remove
Are par1s free from
once subjected to the hea1 trea1ment process.
contaminants that would be
2 11 Review the chemical supplier's rax>mmendation
detrimental 1o the heat
for cleanrng the system. Parts shall be free of rus!,
lrea\men1 ol the product?
burrs, chips, de1rimental amounts of drawing
compound, cuthng fluids, rust preventing oils,
lubricants, ele., prior to heat treat.
Note: Refer to the appropriate heat treater's .g>
requirements and specifications to determine (!)
(')
acceptability. Refer to Process Table, Sect,on 5.0,
for frequency ol checking washer solutions.
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Toe quenching system shall be moni1ored,
en
documented, and controlled. Toe temperature,
agitat1on, level, concentration 01 applicable), time
..en
in the quenchent, and addítions shall be controlled :e
-
(!)
to the heat treater's specifications. Refer to Q)
Process Tables, Sections 3.0 and 5.0, for

Is the quenching syslem

frequency of checks. Computer-monitoring
equipment, with alarms and alarm logs, salisfy \he
;t

-
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2.12 monitored, documented, and Q)
ver[ication requirement. Q.Jench detay tolerance
controlled?
and alarm is required for fu maces with integral
quench tanks <~
~ en
Temper detay time shall be specified by the heat c:dl'
trea\er for parts that are quenched and tempered,
e.g, carburizing, carboni1riding, neutral hardening,
~ :3
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solu1ion trea1ing and aging. rn en
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Parts are often dipped in or sprayed wlth rust

preventive solutions imrnediately after the heal
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Is soluble oil or other rust

treating process. Soluble oil solutions or other rust cii
2 13 pre\lentive monitored and
preventiva solutions shall be monitored and
controlled, J applicable. The heat trealer shall
:3
controlled if applicable? )::.
have and maintain documented tolerances ror the
(11
srnutions. Refer to Process Tables, Section 5.0, (11
for frequency of checks. (!)
(11
(11
Process control paramaters shall be monitored per
:3
-
frequencies specified in Process TabkIB. Refer to (!)
Are process control Process Tables, Section 3.0. Compu1er momloring ~
parameters monrtored per equipmenl Vvith alarms and alarm logs satisfy the
2.14
frequencies specified in veriflcation requirement. A designated floor person
Process Tables? shall verify the process parameters. e.g .. by
initiaJing a strip chart or data log. Management
reviev, is required per Question 1.9.

Are ln-Procass I Final Test ln-Process/ Final Test Frequencies shall be

2.15 Frequencies perfcnned as performecl as specified in Process Tables. Refer
specified in Process Tables? to Process Tables, Sect1on 4.0.

PrcxJuct test equipmenl shall be verified. Test

aquipment shall be verifiedJcalibrated par
applicable customer-speciftc standard or per an

r¡
applicable consensus standard such as those
Is produc1 test equipment
2.16 published by AS1M. DIN, EN, ISO. JIS, NIST. SAE
verified?
etc. Verification/calibration resuhs shall be
internalty reviev-.ed, approved, and documenled.
Referto Process Tables, Section 1.0, far frequency
of checks.
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Section 3 - Equipment 3

3.1
The heat-treat equipment including furnaces,
generators. and quench systems shall have proper
Do furnaces, generators, and process conlrols and related equipment. Elcamples
quench systems have proper include temperature, carbon potentiaVdew point,
process control equipment? gas flows, quench monrtoring system including
agijation, temperature control, etc. as listed in the
-
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applicable Process Tables, Seclion 1.0.

The calibration and certification of the process

Are process equipmenl equipmenl shall be checked al regular specified
3.2 calibrations andlor verification intervals. Reíer to the applicable Process Tables,
certified. posled. and current? Sectíons 1.0 and 2.0, for equipmenl calibralion or
certification time tables.
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3.3
Are thermocouples &
protection tu bes checked or
replaced per Process Tables?
The thermocouples and protection tubes shall be
checked or replaced in compl1ance to a preventive
maintenance schedule. Reíer to the applicable
Process Tables, Secton 2.0.
-
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Temperature uniformity surveys shall be conducted
per !he requirements in the applicable Process en
Tables, Section 2.0. Certain rumace designs, e.g .. !'!
Are temperature unformity rotary retorts & sorne continuous pusher furnaces
if
3.4
surveys performed per
requirements in Process
Tables?
preclude direct temperature profiles. Al1emate test
methods per Section 3.4.5 are accepteble for
furnaces where temperature uniformity studies are
no! possible. TUS studies are not required for Ion
-
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Nitriding. Refer to Process Table H ltem # H2.4 far Q)
specific requirements.
<~
The variation between the furnace control ~ en
Is the variation of the rurnace ~ .......
thermocouple value and the set point temperature o (!)
controlled thermocouple from
shall be wrthin the limits defined in the applicable
3.5 set point wi1hin the
Process Tables, Secton 2.0. For Ion nrtriding ~3
requirernents in the Process
refer to Process Table H ltem # H2.5 far speciflc
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requirements. ~ en
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The heat treater shall have a lis! of heat treat
process and equipment alarms that, rt not properly
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working, may have a high probability of producing
non-conforming product. These alarms shall be
checked quarterty ata mínimum or after any repair
Are !he process & equipment
or rebuild.
3.6 alarm checks being tesled for CI)
proper function?
Other alarms, including bu! not limíled to safety- <D
related, shall be checked per heat treate(s 3
requirement. ):.

These alarm checks shall be documented. ~

~
CI)
Generator and fu mace atmosphere carbon
3
potentiaVdew poinl shall be continuousty
monitored, automatically controlled. and
documented. Recorded carbon potential shall be
controlled wilhin +/- 0.05 of the set point. Recorded
dew point shall be controlled within acceptable
limits specified in the control plan or interna!
-
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procedures.

NOTE: For rotary retor! and shaker fu maces that

preclude in situ control and moníloring, the method
Are generators and fumace described in Section 3.4.5 "Property Surveys· shall
atmospheres continuously be used.
monrtored, automatically
controlled, and documenled? lf generators are not used, the flow rates of the
3.7
NOTE: This requirement is supplied atmosphere gases shall be monfored and
specific to Process Tables A. controlled.
B, E, F, and G; Sections 1.0
and 3.0. The automatic and continuous atmosphere control
31
syslem shall consisl af sensors such as oxygen CD
probes or on-line lnfrared (IR) gas analysis. The ¡;;
heal trealer shall also have a back-up melhod of <ii
checking the carbon potentiaVdew point.
'<e
~
Examples are dew poi ni. eleclrical wire resislance. o'
gas analysis, shim stock, carbon bar, etc. See .....
Process Tables. Sect. 3.0 far verification
frequencies of primary and t>ack up method.
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When the back-up ver[icatlon check ol the

atmosphere daes not correlata v.iithin pre-
eslablished imits with the primary control me1hod
(carbon potentiaVdew point reading), the heat
lrealer shall resolve the out-of-limil díscrepancy.
A back up verification of the The back-up atmosphere monforing system
atmosphere is required. reading and lhe automalicalty conlrolled
Whan tha back-up verification atmosphere dew point/carbon potential reading
check of the atmosphere does shall be maintained v.áthin the correlation limits
not correlata Vvithin pre-specified in the control plan or interna! procadures.
established limits with theThese range tolerances vary with the specific heat
primary control method treat process and the equipment usad.
(carbon potenlial/dew poinl The heat treater shall make appropriate technical
3.8 adjustments and then re-establish/demonstrate the
reading), is correlation of the
carbon-bearing atmosphere to correlalion of lhe actual atmosphere carbon
the primary control method re-
established?
potentialldew point reading to !he primary control
and back-up atmosphere reading. The range
.g,
(b
tolerances for correla1ion betv,een the tvJo readings

,-,
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NOTE: This requirement is shall be in the control plan or interna! procedures. ¡¡:;·
specific to Process Tables A, The back-up carbon potentiaUdew point reading
B. E, F. and G; Sections 1.0 shall be estabtished using one ar more of the
and 3.0. folto""ng methods:
• Carbon bar, slug. ar surface carbon of part
a(")
• Shim stock (b
CI)
• 3-gas analyzer
• Dew point ..
CI)

• Hot wire resistance

i
One ol these fail-safe rnethods shall be used to
prevenl ammonia to leak into the fumace: - Q)

:;t

fi-
• A quick disconnect or physical separation of the (D
Q)
lines
• Three-valve ammonia "fail-safe~ vent system is
Are all ammonia lines permitted. See the defin~on "Toree Valve Fail-
3.9
equipped with a fail-sale
method to prevent ammonia
Sale Ven!" and diagram in the glossary.
• 1 manual and 2 eledrical magnetic valves in
~
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(b
leaks into the furnace? series
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The heat treater shall show evidence that V, CI)
ammonia lines ......ere disconnected far non- ~ CI)
ammonia bearing almosphere processes. CD (b C')
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Ammonia pick-up can be undesirable in parts and
heat treat processes no! specífying/requiring
:3
ammonia asan addition. :b
CII
CII
The heat treater shall peñorm a mínimum 3 hours (1)
purge prior to processing product not requiring CII
ls there a mínimum of 3 hour CII
ammonia asan addition. Reduction of 3 hours
purge of lhe fumace :3
-
purge requires conclusive test data of the (1)
atmosphere when swi1ching
3.10
from an ammonia be-aring
atmosphere to show no significant amount of ::;:¡
residual ammonia is present in lhe furnace
atmosphere to a non-
atmosphere.
ammonia bearing?
Log t>ook, data logger, or other records shall
document the actual purge time and that sufficient
time has been allocated to remove ammonia from
the fumace prior to processing parts in heal trea1
processes not specifying ammonia.

Ali atmosphere fu maces and generators (output

trimladjus1ment gas) shall have fbw scopes or flow
Do ali atmosphere fu maces
meters for ali gases. Flow scopes and meters
and generators have ílow
3.11 shall be period<:al~ seiviced per the heat trea1er's
scopes or flow meters for ali
preventive maintenance program. Cleaning and

11
gases?
proper re-assemb~ procedures shall be
docu mented.

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In absencc of a rigorous fail-safe al the front of the

furnace to prevent non-uniform loading of parts
(lhis includes the combustion system
Is there a rigorous lall-sale al maintenance/adjustments to ensure proper
!he lronl of the fu mace to efficiencies and physical limitation far part loading),
prevent non-uniform loading of then the heal trealer shall have an infrared
parts? temperatura pyromeler at the exi1 end.

In absence of a rigorous fail- The 1nfrarad temperatura pyromaters are required

3.12
sale, are ali continuous belt al the exil end of conlinuous belt lurnaces to
lurnaces equipped with sighl monitor for under temperatura parts. The
glass inspeclion ports and temperatura alarm shall be within 28°C (50°F) ol
infrared temperature the furnace set poinl temperature. Results shall be
pyromelers al discharge end strip charted or continuously data logged. lnlrared
ol !he hardening fumace? temperatura pyrometers shall be calibrated
annually al a mínimum and certified. Ali sight
glasses sllall be cleaned per the preventive
.g>
(1)
malntenance schedule. (")

Is salt chemistry in the

austeníli2ing salt bath
monitored?
The heat treater shall check !he sali chemistry in
-~
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the austentizing san bath, or part decarburization, (")

3.13 daily. Refer to the applicable Process Tables, (1)
Note: This is applicable to sal! CII
bath heat lreating processes
listed in Process Tables A &
Section 3.0, far frequency af checks
..CII
B. if111
The heat treater shall periodically have the
quenching medium analyzed for speclfic -
;t

3.14
Is the quenchlng medium
analyzed?
quenching characieristics, e.g., ccoling curve,
v.r.ater content, sah concentrat1on, as specified in
the applicable Process Tables. Section 5.0. This
does not include Process Table G & H.
• The quench media characteristic tolerances shall
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-
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111

!:!2 .......
be specif,ed by the quench medium supplier or the o (1)
heat trea1er.
• Analysis shall be revlewed for confomiance by
~3
the heat treater. This review shall be documented.
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FOR INDUCTION HEAT TREATING

~
3.15
Is the posttioning of each part
being controlled?
A method to detect proper part posttion, such as
the use of proximily switchas, oplical sensors,
mechanical probas, etc., is required for eadl part.
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The heat treatar shall control !ha anargy or powar 11)
for eadl part. 11)
(!)
·Asignatura monftor for each machine is 11)
preferred. A signatura monitor gives the energy 11)
Does the heal lreatar control
untt (voltaga, kilowatl, etc.) vs. time or distance (for :3(!)
-
3.16 the energy or po1Neí for each
scanning systems). ::,
part?
• An anergy monttor or equivalen! is acceptabla if
approved by the authorized cuslomer
representativa.

The haal lraaler shall hava a coil rnanagamenl

syslem. Coil refers to the heating coil and lhe
quench plenum.
Does the supplier have a coil • Spare coi Is for each part shall be available on-
management systam? Coil site.
3.17
refers to lhe heating coil and • Coils shall conforrn to lhe approved original
tha quanch plenum. design .
• Engineering changa approval from the customer
is required whanaver lha coil design is changad.

The quench system shall be an automalic ':'i

(!)
operalion. No manual quenching is allowed unless @
3.18 Is quench system automatic? specifically approved by the authorized customer ¡¡;
representativa. Quenching shall be aulomatically
initialed and controllad. 1
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Number Satlsfactory Action

Does each lol ol parts have The heat treater shall perform firsl piece set-up for
3.19
first piece set-up? each lot of parts.

Is there a procedure that

addresses maintenance oí the Procedure shall include regular inspection and
3.20 induclor and quench spray
noule(s) (far example,
cleaning oí the inductor and quench spray
noule(s).
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quench ring, quench shower)?

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Afier dovmtime of the indudion heating sysiem, air
pcckets may form in the quench lines . These air "ti
pockets will cause interrupted quenching al start- el
(')
up. The Heat treater shall establish the time limit (!)
Is there a procedure to purge
(of lhe downtime) vrnen this procedure is to be (/)
321 the air pockets from the
quench lines?
followad. [Example: The quench lines silall be
purged alter induction heating system is down
!'!
1
greater than 4 hours.] Factors such as quench line
diameler. lenglh, geomelry, etc. shall be
considerad.
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Specia/ Process: Heat Treat System Assessment
Version 3. lssued 10/2011
AIA<bl. ••
••
The cata/yst far peak performance

••
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•• AIA~ Special Process: Heat Treat System Assessment
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The catalyst far peak performance Version 3. lssued 10/2011

•• 3.1 Thermocouples

3.1.1 Application of Thermocouples: Thermocouples shal\ be selected as appropriate for their

•• intended use. Where a process is to be controlled, consideration shall be given to variables that can have
an impact upon thermocouple performance such as, but not limited to, atmosphere, temperature, electrical
interference, etc .

•• Guidelines established for recommended temperature ranges or upper temperature limits for

•• thermocouples in publications such as ASTM E230, IEC 60584-1, or other national standards or by the
thermocouple manufacturer should be adhered to .

•• 3.1.1.1 Ali thermocouples shall comply with Tables 3.1.1, 3.1.2, 3.1.3, 3.1.4 and 3.1.5 requirements .

3.1.1.2 Extension wire shall not be spliced. Only compensated jacks, plugs, connectors and terminal

•• strips may be used .

3.1.2 Calibration of Thermocouples: Thermocouples shall be calibrated traceable to the National

•• Institute of Standards and Technology (NIST) or other national institute of calibration, such as PTB
(Germany). Agrace period of 2 weeks is allowed for ali calibrations .

•• 3.1.2.1 Thermocouples shall be calibrated in the temperature range in which they will be employed and
prior to first use. Calibration temperature intervals shall not exceed l 50ºC or 250ºF. Refer to Tables 3.1.1,

••
3.1.2, 3.1.3, and 3.1.4 for appropriate thermocouple calibration and replacement requirements .

3.1.2.2 Calibration certificates shall include the following detail: the actual test temperature reading, the

•• nominal test temperature, the corresponding correction factor for each calibration temperature test point,
the provider of the calibration data, and the calibration method used .

•• 3.1.2.3 The interpolation of correction factor values between calibration test points is allowed. No
determinations shall be made concerning values either above the highest calibration temperature or below
the lowest calibration temperature .

•• 3.1.2.4 Externa! sources providing calibrations shall be accredited to ISO/IECl 7025 or other national
equivalent. Interna! sources providing calibrations shall do so in accordance with the intent of

•• ISO/IEC 17025 or other national equivalen t. Records shall be kept of training and qualifications for
interna! personnel performing calibrations .

•• 3 .1.2.5 Thermocouples may be individually calibrated or made from calibrated ro lis provided that both
ends of the rol! are sampled and the accuracy requirements established in Tables 3.1.1, 3.1.2, 3.1.3, and

••
3 .1.4 are satisfied .

3.1.3 Reuse of Thermocouples: The date that any thermocouple 1s placed m serv1ce shall be

•• documented. Requirements are indicated within 3.1 and Table 3.1.5 .

3.1.3.1 A "use" for thermocouples is defined as one cycle of heating and cooling of the thermocouple

•• (see glossary). See Table 3.1.5 for maximum number of uses of a thermocouple .

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3.1.3.2 Damaged expendable or non-expendable base metal SAT and TUS thermocouples shall not be
re used.

3.1.3.3 For reuse of Type K and Type E test thermocouples, the depth of insertion shall be equal to, or ••
greater than, the depth of insertion of any previous use.
••
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•• Table 3.1.1 Calibration and Replacement Requirements for Thermocouples Used for Control,

•• Monitoring and Recording .

•• THERMOCOUPLE OPERATING CALIBRATION I CALIBRATED CALIBRATION

•• TYPE (1) TEMPERATURE REPLACEMENT

INTERVAL
AGAINST ACCURACY
REQUIRED

•• Base Metal Types

(K,N,J ,E)
~ 760ºC (1400ºF) Calibrate befare first use.
Replace Annually (2,3,5)
Primary or
Secondary
± 1.1 ºC (± 2.0ºF)
or

••
Standard . ±0.4%

Calibrate befare first use . ± 1.1 ºC (± 2.0ºF)

Base Metal Types < 760ºC (1400°F) Primary or

••
Replace Every Two Years or
(K,N,J,E) Secondary
(2,3,5) ± 0.4%
Standard .

•• Noble Metal Types

(B,R,S)
~ 760ºC (1400ºF)
Calibrate befare first use.
Replace Every Two Years
Primary or
Secondary
Standard.
± 1.1°C (± 2.0ºF)
or
± 0.4%

••
(2,4,5)

•• 1.
2.
Non-Expendable
Thermocouples shall be replaced whenever needed, e.g. failed SAT, or damaged thermocouple;
however, thermocouples shall be replaced minimally as stated above .

•• 3.
4.
5.
Base metal thermocouples shall not be recalibrated .
Nobel metal thermocouples Type B, R, and S may be recalibrated in lieu of replacement.
Does not apply to Load Sensing Thermocouples. See Tables 3.1.4 and 3.1.5

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Table 3.1.2 - Calibration and Replacement Requirements for Thermocouples Used for Primary
and Secondary Standards
••
••
THERMOCOUPLE THERMOCOUPLE
TYPE
USE CALIBRATION I
REPLACEMENT
INTERVAL
CALIBRATED
AGAINST
CALIBRA TION
ACCURACY
REQUIRED ••
Primary
Standard (1)
Types R and S
Noble Metal
Secondary
Standard
Calibration
Befare first use.
Recalibrate each
three (3) years.
Reference
Standard (3)
± 0.6°C (± 1.0ºF)
or
± 0.1 % whichever ••
••
is greater

Secondary Types R and S Test Befare first use. Primary ± 0.6°C (± 1.0ºF)
Standard (2) Noble Metal Thermocouple Recalibrate each Standard . or

Secondary Type B
Calibration

Test
two (2) years.

Befare first use. Primary

± 0.1 % whichever
is qreater

± 0.6°C (± 1.0ºF)
••
Standard (2) Noble Metal Thermocouple
Calibration
Recalibrate each
two (2) years.
Standard. or
± 0.25%
whichever is
Qreater
••
Secondary
Standard (2)
Base Metal Test
Thermocouple
Calibration
Befare first use.
Replace each
one (1) year period
Primary
Standard.
± 1.1°C (± 2.0ºF)
or
± 0.4% whichever
••
mínimum.
Recalibration
prohibited (4)
is greater

••
1. A primary standard thermocouple together with a primary standard instrument shall be used to
calibrate secondary standard thermocouples.
••
2. Use is limited to the calibration of temperature uniformity, system accuracy, controlling,
recording, monitoring, and load thermocouples. ••
3.

4.
A Type R or S noble metal thermocouple calibrated against a NIST (or equivalent) reference
standard. No error permitted.
Base metal thermocouples shall not be recalibrated. ••
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••
•• Table 3.1.3 - Calibration and Replacement Requirements for Thermocouples Used for
Temperature Uniformity Survey (TUS) and System Accuracy Test (Sat)

••
••
THERMOCOUPLE USE CALIBRATION I CALIBRATED CALIBRATION
TYPE REPLACEMENT AGAINST ACCURACY
INTERVAL REQUIRED

•• Types B, R and S
Noble Metal
Temperature Uniformity
Surveys
Befare first use. Replace or
Recalibrate every 2 years.
Primary or
Secondary
Standard .
± 1.1ºC (± 2.0ºF) or
± 0.4%

•• Types B, R and S
Noble Metal SAT - Probe Methad
Befare first use. Replace ar
Recalibrate every 2 years .
Primary or
Secandary
Standard .
± 1.1ºC (± 2.0ºF) ar
± 0.4%

•• Types B, R and S
Noble Metal
SAT -
Method
Camparative Befare first use. Replace or
Recalibrate per Table 3.1.1
Primary or
Secondary
Standard .
± 1.1ºC (± 2.0ºF) ar
± 0.4%

•• Base Metal Temperature Uniformity

Surveys
Befare firsl use. Replace per
Table 3.1.5 (1)
Primary ar
Secondary
Standard .
± 1.1ºC (± 2.0ºF) ar
± 0.4%

•• Base Metal
SAT - Probe Method
Befare first use. Replace per
Table 3.1.5 (1)
Primary or
Secondary
Standard .
± 1.1°C (± 2.0ºF) or
± 0.4%

•• Base Metal SAT -

Method
Comparative Befare first use. Replace per
Table 3.1.1 (1)
Primary ar
Secandary
Standard .
± 1.1ºC (± 2.0ºF) or
± 0.4%

•• 1. Base metal thennocouples shall not be recalibrated .

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••
Table 3.1.4 - Calibration and Replacement Requirements for Thermocouple Used for Load
Sensing

THERMOCOUPLE
TYPE
CALIBRATION I
REPLACEMENT
CALIBRATED
AGAINST
CALIBRATION
ACCURACY
REQUIRED
••
••
INTERVAL
Primary or
Types B, R and S Befare first use. Replace or ± 1.1ºC (± 2.0ºF) or
Secondary
Noble Metal Recalibrate every six (6) months. ±0.4%

••
Standard.
Befare first use. Replace per Primary or
± 1.1 ºC (± 2.0ºF) or
Base Metal Table 3.1.5 Recalibration Secondary
±0.4%
prohibited. (1) Standard.

1. Base metal thermocouples shall not be recalibrated. ••

Table 3.1.5 - Allowable Number of Uses for Thermocouples in Specific Applications
••
OPERATING MAXIMUM
••
••
THERMOCOUPLE TYPE USE
TEMPERATURE PERMITTED USES

Temperature Uniformity Surveys /

Expendable Base Metal :5 980°C (1800°F) 15

Expendable Base Metal

SAT
Temperature Uniformity Surveys /
SAT
> 980°C (1800ºF) 1 ••
Expendable Base Metal Control (1) AII 1
••
Expendable Base Metal

Expendable Base Metal

Monitor/Record/Load Sensing (4)

Monitor/Record/Load Sensing (4)

> 650ºC (1200ºF)

:5 650ºC (1200°F)
1

30
••
Non-expendable Base
Metal
Temperature Uniformity Surveys,
SAT and Load Sensing :5 980°C (1800ºF) 180 (2,3)
••
Non-expendable Base
Metal
Thermocouples (5)
Temperature Uniformity Surveys,
SAT and Load Sensing > 980ºC (1800ºF) 90 (2,3) ••
1.
Thermocouples (5)

Includes Load Sensing Thermocouples used as a Control Thermocouple. ••

2. When a non-expendable base metal thermocouple is used above 980ºC (l 800ºF), the maximum
total number of uses is 90 uses which shal I include any previous or subsequent temperature
readings taken with the subject thermocouple.
••
3.

4.
In the absence of documentation of the number of uses far non-expendable base metal
thermocouple used for TUS and SA T, then the thermocouples shall be replaced after 6 months.
Expendable base metal thermocouples for load sensing, are allowed more than one use if
••
5.
thermocouple shows no visual degradation . Documentation is required to show compliance.
Non-expendable base metal thermocouples far load sensing, are allowed more than one use if
thermocouple shows no visual degradation. Documentation is required to show compliance.
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•• 3.2 lnstrumentation

•• 3.2.1 General Instrumentation Requirements: Instrumentation shall be selected as appropriate for

their intended use and shall meet or exceed the accuracy requirements indicated in Table 3.2.1 .

•• 3.2.1.1 Ali instrumentation calibrations shall be traceable to the National Institute of Standards and
Technology (NIST) or national or international standard .

•• 3.2.1.2 Externa! sources providing calibrations shall be accredited to ISO/IECl 7025 or other national
equivalent. Interna! sources providing calibrations shall do so in accordance with the intent of

••
ISO/IEC 17025 or other national equivalent. Records shall be kept of training and qualifications for
interna! personnel performing calibrations .

•• 3.2.1.3 Calibration frequencies and accuracies are specified in the applicable Process Tables and in the
Instrumentation Table 3.2.1. Agrace period of2 weeks is allowed for ali ca\ibrations .

•• 3.2.1.4 The temperature for each control zone shal I be recorded by a recording instrument.

3 .2. l.4.1 Recorder shall be operating during the entire time that product is in the furnace

•• and print intervals/sample rates shall not exceed five (5) minutes for analog recorders and two (2)
minutes for digital recorders. Process record shal\ be legible .

•• 3.2.2 Readability and Resolution: The following represent minimally acceptable requirements:

3.2.2.1 Test instruments shall be digital and have a mínimum readability of l.OºC or l.OºF .

•• 3.2.2.2 At least one controlling, monitoring, or recording instrument for each furnace or oven zone shall

••
have a mínimum readability of 1.0ºC or 1.0ºF for digital instruments or 2.0ºC or 4.0ºF for analog
recorders .

•• 3.2.2.3 Temperature resolution requirements for digital and/or analog furnace chart recorders shall
comply with the following:
• 55ºC maximum per centimeter of chart paper

•• •

•
5 ºC maximum per chart line increment

250ºF maximum per inch of chart paper

•• • 1OºF maximum per chart line increment

••
3.2.3 Offsets: The use of offsets is generally discouraged, however when used, a documented
procedure shall exist which at a mínimum describes when their use is permitted, how to perform manual
and electronic offsets, how to document the basis for the offset (calibration, SAT or TUS), how to account

•• for the offset when performing calibrations, SA T's or TUS's and how to reintroduce any intentional
offsets .

•• The procedure shall also indicate who has the authority to approve the use of offsets and how this
approval is documented .

•• 3.2.3.1 Offset or bias applied to the instrumentation calibration shall not exceed 2.0ºC or 4.0ºF .

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3.2.4 Calibration: Calibration of control, monitoring, and recording instruments shall be performed to

••
the manufacturer's instructions; however calibration may be performed as described in 3.2.4.1.

3.2.4.1 For the calibration of control, monitoring or recording instruments on fumaces that are in
operation and running at typical operating temperatures, a single point calibration is acceptable
(parallel reading of thermocouple input). For fumaces with a load in process, the fumace
temperature shall remain within processing tolerance. ••
3.2.4.2 For each channel or group of channels in use that can be altered or adjusted, a calibration shall be
required.
••
3.2.4.3 Calibration Frequency of the control, monitoring, and recording instruments shall be one of the
two options listed below:
••
3.2.4.3.1 Option 1: Quarterly (single-point or multi-point calibration; see Glossary for ••
••
definitions)
3.2.4.3.2 Option 2: the frequency may be semi-annual provided that the SA T is performed
quarterly per Probe Method A (per 3.3.4.1) AND the multi-point calibration is

3.2.5
employed for the instrument calibration

Calibration Records: Calibration status and results shall be reported as follows. ••

3.2.5.1 A calibration label shall be affixed to the instrumentation device, or in the case ofpanel mounted
control, monitoring or recording instrumentation, on the device or as near as practica] to the
••
•
device(s) to indicate its (their) most recent successful calibration. The label(s) at a mínimum
shall include:
Date the calibration was performed .
••
•
•
Due date of the next calibration.
Technician who performed the calibration (initials are acceptable) . ••
•
••
Serial number of instrument

3.2.5.2 Instrumentation calibration results shall be documented. The instrument calibration report

•
•
or certificate shall include the following information:
Fumace or unit identification number
Make, model and serial number of instrument calibrated (not applicable to PLC
••
•
•
controlling devices).
Standard or test instrument used during calibration .
Method of calibration .
••
•
•
Ambient temperature and humidity
Required accuracy . ••
•
•
Initial and final values at each calibration point (if no adjustment is made then the final
value will equal the initial value).
Initial and corrected offset/bias values (if no adjustment is made then the corrected
••
•
•
offset/bias value will equal the initial value).
Statement of acceptance
Any limitations or restrictions of the calibration
••
•
•
Date the calibration was performed .
Due date of next calibration . ••
•
••
Technician who performed the calibration .
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• Signature of the technician who performed the calibration .

••
• Calibration company if not performed in-house .
• Sign-off by responsible person in the heat treat organization .

•• 3.2.6 Electronic Records: When using a system that creates electronic records the system shall create
write-once, read-only electronic records that cannot be altered without detection .

••
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TABLE 3.2.1 - INSTRUMENT CALIBRA TION REQUIREMENTS

INSTRUMENT INSTRUMENT MAXIMUM CALIBRATED CALIBRATION

TYPE CALIBRATION AGAINST ACCURACV USE
PERIOD REQUIRED
(MONTHS)

Reference Zener voltage 36 NIST or equivalent Per NIST or ISO EN Limited to primary standard calibration.
Standard reference National Standard Standard.

Primary Potentiometer, 36 Reference Standard ± 0.05ºC (± 0.1 ºF) or Limited to laboratory calibration of secondary
Standard digital volt meter ± 0.015% of reading, standard and test instruments and primary and
or equivalen!. whichever is greater. secondary standard sensors.

Secondary Potentiometer, 12 Primary Standard ± 0.2ºC (± 0.3ºF) or Limited to laboratory calibration of field test
Standard digital volt meter ± 0.05% of reading, instruments, system accuracy test sensors,
or equivalen!. whichever is greater. temperature uniformity survey test sensors, load
sensors, and controlling, monitoring, or recording
sensors.
SAT!TUS portable
potentiometer or Primary or Secondary ± 0.6ºC (± 1.0ºF) or Limited to controlling, monitoring, or recording
Field Test digital instrument, standard. ± 0.1 % of reading instrument calibration, performance of system
lnstrument electronic data 12 whichever is greater. accuracy tests and temperature uniformity
recorder or data surveys.
acquisition svstem.
Field Test lnstrument
Control, Digital lnstrument 3 (single-point or multi- ± 2.0ºC (± 4.0ºF) Limited to measuring, recording , and controlling
Monitoring or Electro mechanical oint calibration the temperature of thermal processing
Recording instrument. equipment.
Primary Standard
lnstruments 6 (1)
(multi-point calibration)

Control, Mechanical 3 Field Test lnstrument ± 2.0ºC (± 4.0ºF) Limited to measuring the temperature of
Monitoring or (analog) or (single-point or multi- refrigeration and quench bath thermal
Recording Thermal element. oint calibration processing equipment.
lnstruments Primary Standard
6 (1)
multi-point calibration

1. Semi-annual calibration is allowed provided that the instrument is calibrated with a primary standard (multi-point calibration) and the SAT
is performed quarterly per Method A (See 3.3.4.1 ). See glossary for definitions of single-point calibration and multi-point calibration.

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•• 3.3 System Accuracy Test (SAT)

••
3.3.1 The SAT shall be made in accordance with 3.3, and the System Accuracy Test Table 3.3.1
requirements .

•• 3.3.2 The SAT shall be performed using a test thermocouple conforming to the requirements of
Thermocouple Table 3.1.3 coupled with a test instrument meeting the requirements of Instrumentation
Table 3.2.1.

•• 3.3.3 A new SAT shall be performed after any maintenance that could affect the SAT accuracy, e.g.,
the replacement of the lead wire, control thermocouple, or the replacement of the control instrument.

•• 3.3.4 The SAT shall be performed while the fumace is operating at a typical operating temperature
using either the Probe Method (Section 3.3.4.1 or Section 3.3.4.2) or the Comparative Method (Section

•• 3.3.4.3) .

3.3.4.1 Probe Method A:

•• 3.3.4.1.1 Probe Method A is a check between the uncorrected reading of the control

••
temperature system (control instrument, leadwire, and thermocouple) and the corrected reading of
a test temperature system (test instrument and test thermocouple). See Illustration 3.4.1

•• 3.3.4.1.2 The tip (measuring junction) of the test thermocouple shall be no further than 50
mm (2 inches) from the tip (measuring junction) of the control thermocouple. Existing fumaces
that have physical limitations preventing compliance to the 50 mm tip-to-tip distance shall be

•• reviewed and approved by the assessor.

3.3.4.1.3 The temperature indication of the control instrument connected to the control

•• thermocouple shall be within +/- 5ºC ( or +/- 1OºF) of the corrected temperature indication of the
test thermocouple on a test instrument. After insertion of the test thermocouple, allow sufficient
time to achieve equilibrium between the test thermocouple and the control thermocouple .

•• 3 .3 .4.1.4 If the calculated SA T d ifference exceeds 5ºC (1 OºF) the appropriate corrective

••
action sha\l be taken before commencing with additional thermal processing. Control
thermocouples failing to meet the requirements shall be replaced. A new SA T shall be conducted
on the replacement thermocouple. Actions taken shall be documented .

•• Note that when using Probe Method A, any electronic offset value introduced
into the control instrument for the purpose of centering a TUS result shall be

•• 3.3.4.1.5
included in the SAT difference calculations .

SAT frequency shall be quarterly.

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Example of Probe Method "Au ••

Control
Over-Temp
Thermocouple
••
Thermocouple
~ ••
Over-Temp
Protection
••
••
Part or Raw
Material
••
••
(B) Test lnstrument
Thermocouple
Furnace
Work Zone
••
Lead Wire
••
EXAMPLE OF ACCEPT ABLE SYSTEM ACCURACY TEST (SAT) PRO BE METHOD - A
••
••
CONTROL
INSTRUMENT
TEMPERATURE
TEST
INSTRUMENT
TEMPERATURE
TEST
THERMOCOUPLE
CORRECTION
FACTOR
TEST
INSTRUMENT
CORRECTION
FACTOR
TRUE TEST
TEMPERATURE
CALCULATED
SAT
DIFFERENCE
••
••
(A) (B) (C) (D) (E)=(B)+(C)+(D) (A)_ (E)

900°C 901.5°C -0.5°C +0.1°C 901.1°C -1.1°C

••
(1652°F) (1655°F) (-1.0ºF) (+0.2°F) (1654.2°F) (-2.2°F)

••
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•• 3.3.4.2 Probe Method B:

•• 3.3.4.2.1 The Probe Method B is a comparison between the uncorrected reading of the
control temperature thermocouple indicated on a test instrument and the corrected reading of a
test temperature system (test instrument and test thermocouple). See Illustration 3.4.2

•• 3.3.4.2.2 The tip (measuring junction) of the test thermocouple shall be no further than 50
mm (2 inches) from the tip (measuring junction) of the control thermocouple. Existing fumaces

•• that have physical limitations preventing compliance to the 50 mm tip-to-tip distance shall be
reviewed and approved by the assessor.

•• 3.3.4.2.3 After insertion of the test thermocouple sufficient time shall be allowed to
achieve equilibrium between the test thermocouple and the control thermocouple under test.

•• 3.3.4.2.4 The uncorrected reading of the control thermocouple connected to a test

instrument shall be recorded at the highest point in its temperature cycle. Immediately following,
the test instrument shall be connected to the test thermocouple. The corrected reading of the test

•• temperature system shall be recorded at the highest point in its temperature cycle .

3.3.4.2.5 If the calculated SAT difference between the uncorrected reading of the control

•• temperature thermocouple indicated on the test instrument and the corrected reading of the test
temperature system (test instrument and test thermocouple) exceeds ±5ºC (±IOºF) the control

•• temperature thermocouple shall be replaced and any other appropriate corrective actions shall be
taken before commencing with additional thermal processing. All actions taken shall be
documented .

•• 3.3.4.2.6 SA T frequency shall be quarterly

••
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Example of Probe Method "B .. ••

Control
Over-Temp
Thermocouple
••
Thermocouple
~ ••
.
Over-Temp
Protection ••
••
Part or Raw
Material
••
Chart Recorder
••
(B) Test
lnstrument
Thermocouple Furnace Wall
Furnace
Work Zone
••
' - - - - - - - - - - Lead Wire
••
(A) Test lnstrument
••
EXAMPLE OF ACCEPTABLE SYSTEM ACCURACY TEST (SAT) PROBE METHOD - B ••
CONTROL
- - - - - - - - - - - - -

TEST TEST CALCULATED ••

••
THERMOCOUPLE TEST THERMOCOUPLE INSTRUMENT TRUE TEST SAT
TEMPERATURE INSTRUMENT CORRECTION CORRECTION TEMPERATURE DlFFERENCE
INDICATED ON TEMPERATURE FACTOR FACTOR
TEST INSTRUMENT (B) (C) (D) (E)=(B)+(C)+(D) (A) _ (E)
(A)

900°C
(1652°F)
901.5°C
( 1655°F)
-0.5°C
(-1.0ºF)
+O. 1°C
(+0.2°F)
901.1°C
(1654.2°F)
-1.1 ºC
(-2.2°F) ••
I Note: Test lnstrument A and Test lnstrument B are typically the same test instrument. ••
••
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•• 3.3.4.3 Comparative Method:

•• 3.3.4.3.1 The Comparative Method is a comparison between the uncorrected reading of the
control temperature system (control instrument, leadwire and therrnocouple) and the uncorrected
reading of any other perrnanently installed monitoring system (instrument, leadwire and

•• therrnocouple) in the same work zone, such as an over temperature control system. See
lllustration 3.4.3

•• 3.3.4.3.2 The temperature difference (delta) between the control system (control
instrument, leadwire and therrnocouple) reading and the reading of any other perrnanently

••
installed monitoring system, at the time of the most recent conforrning instrument calibration test,
shall be established (e.g., the control temperature system indicates 600ºC and the over
temperature control system indicates 605ºC; the delta between these two devices is +5ºC) .

•• 3.3.4.3.3 This established delta shall not differ by more than +/-\ ºC (or +/-2ºF) when
checked at a typical operating temperature. lt is strongly recommended that the comparative

•• check be perforrned at or near the original comparison test temperature. See example below for
ca\culation of delta .

l.•• 3.3.4.3.4 If both devices have their respective therrnocouples in the same protection tube
they sha\l be of a different type (e.g., Type K with Type N, Type R with Type S). This is to
prevent false readings due to similar degradation rate .

•• 3.3.4.3 .5 Corrective actions shal\ be taken to correcta failed SAT before commencing with
additional thermal processing. A new delta shall be established after any maintenance that could
affect the SA T accuracy, e.g., the replacement of the lead wire, thermocouple, control instrument,

•• or calibration adjustment for either the control temperature device or temperature monitoring
system. Actions taken shall be documented .

•• 3.3.4.3.6 See Table 3.1.3, SAT Comparative Method for the resident therrnocouple
replacement schedule .

•• 3.3.4.3.7 SAT frequency shall be monthly.

••
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Example of Comparative Method

Over-Temp
Thermocouple
••
Control
Thermocouple
~ ••
Over-Temp ••
Protection

••
Part or Raw
Material ••
••
(B,E) Resident
Thermocouple Furnace Wall
Furnace
WorkZone ••
Thermocouple Monitor

Note 1: lt is recommended that the comparative check be performed at ornear the initial temperature at ••
the time of instrument calibration (See A & B temperature in example below).

Note 2: Resident thermocouple and over-temp thermocouple may be the same thermocouple ••
EXAMPLE OF ACCEPT ABLE SYSTEM ACCURACY TEST (SA T) COMPARA TIVE METHOD
••
••
CONTROL
TEMPERATURE AT
TIME OF
PERMANENTL Y
INSTALLED
MONITORING
INITIAL DELTA
CONTROL
TEMPERATURE
AT TIME OF
PERMANENTL Y
INSTALLED
MONITORING
TEMPERTURE AT
DEVIATION
FROM INITIAL
DELTA [SHALL
BE
••
••
INSTRUMENT TEMPERTURE AT MONTHLY
TIME OF < 1°C
CALIBRATION TIME OF CHECK
MONTHLY (~ 2°F)]
CALl8RATION
(A) (8)
(C) = (8) - (A) (D)
CHECK
(E) (E)-(D)-(C)

600°C
(1112°F)
605°C
(1121 °F)
+5°C
(+9°F)
606°C
(1123°F)
610°C
(1130°F)
-1°C
(-2°F) ••
Deviation from the initial delta = E- D- C ••
••
••
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3.3.5 System Accuracy Test Records shall include the following:

•• •
•
Identification of the thermocouple being tested
Identification of the test thermocouple

•• •
•
•
Identification of the test instrument
Date and time of day of the test
Observed control instrument reading

•• •
•
Observed test instrument reading
Test thermocouple and test instrument correction factors

••
• Corrected test instrument reading
• Calculated system accuracy test difference
• lndication of test acceptance or failure

•• •
•
•
ldentification of technician performing the test
Externa! calibration company if applicable
Sign-off by responsible person in the heat treat organization

••
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TABLE 3.3.1 - SYSTEM ACCURACY TEST REQUIREMENTS

••
METHOD SAT SENSOR
TYPE
REOUIRED
SAT TESTING
FREQUENCY
MAXIMUM
SAT DIFFERENCE
ALLOWED
••
1

Probe Method Types B, R and S Quarterly ± 5.0ºC (± 1O.OºF)

••
••
Noble Metal (1,3)

Types K, N, J and E
Base Metal

Comparative
Method
Types B, R and S
Noble Metal
Monthly ± 1.0ºC (± 2.0ºF)
(2,3)
••
Types K, N, J and E
Base Metal ••
l.
2.
Maximum value of the Calculated SAT difference (see 3.3.4.1.3 and 3.3.4.2.5).
Maximum deviation from initial delta (see 3.3.4.3.2)
••
3. Total offset/bias assigned to the correction of a SAT error shall not exceed 2.0ºC (4.0ºF). This
permissible offset/bias is separate from offset/bias assignable to a Calibration error or TUS . ••
••
••
••
••
••
••
••
••
••
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•• 3.4 Temperature Uniformity Surveys (TUS)

•• 3.4.1 General TUS Requirements: Temperature uniformity characteristics, qualified work zones, and
operating temperature ranges of fumaces or ovens are validated by performing a TUS .

•• The TUS shall be performed in accordance with the appropriate Process Table and the requirements of
this section .

•• 3 .4.1.1 Any fumace modification or repair that could alter the temperature uniformity characteristics of
the fumace shall result in a temperature uniformity survey being performed prior to the fumace system
being used for processing. See "Fumace Modifications" and "Fumace Repairs" in the Glossary for further

•• guidance .

3.4.1.2 Ali furnace modifications or repairs shall be documented and include the determination made by

•• the responsible authority within the organization as to whether these modifications or repairs could alter
the temperature uniformity characteristics of the furnace .

•• 3.4.1.3 TUS Test Temperatures: If the operating temperature range of the qualified work zone is equal
to or less than l 70ºC (305ºF) then only one temperature within the operating temperature range is

•• required to be tested. If the operating temperature range of the qualified work zone is greater than l 70ºC
(305ºF) then the mínimum and maximum temperatures of the operating temperature range shall be tested .
For aluminum heat treating, a tighter temperature range is given in Process Table C, C2.4 .

•• 3 .4.1.4 TUS Fu mace Parameters: When performing any temperature uniformity survey the furnace
system parameters during the test shall replicate the fumace system parameters during normal production.

•• If atmospheres used during production present safety risks or could affect the accuracy of test
thermocouples during a TUS an atmosphere of air or inert gas may be used .

•• The TUS may be performed with an empty furnace. If the furnace is empty then the thermocouples shall
be attached to a fixture to insure required test locations are securely held .

•• If the TUS is performed with a loaded fumace the load shall replicate typical operations and the
thermocouples shall be attached to or buried in the load .

•• 3.4.1.5 Use of Heat Sinks: lf the TUS is performed without a load the TUS test thennocouples may be
attached to or inserted into heat sinks, however the heat sink shall represent the typical section size of the

•• heat treated product. In addition, the heat sink shall possess similar heat transfer characteristics of the
material that is typically processed in the furnace under test.

•• 3.4.1.6 Furnace Vacuum Leve) during TUS: The furnace vacuum shall be run at the lowest set point
employed in normal production but need not be less than 1 micron Hg ( 1 x 10-3 Torr, or 1.3 x 10-3
millibar) when performing a TUS .

•• 3.4.2 Continuous and Semi-Continuous Furnaces

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3.4.2.1 TUS Methods: Continuous and semi-continuous fumaces shall be surveyed so that the volume
defined as the qualified work zone is tested. TUS test sensors shall be arranged either three dimensionally
(Volumetric Method) orina plane (Plane Method).
••
3.4.2.2 Number and Location of TUS Thermocouples

3.4.2.2.1Volumetric Method: Shall be used with continuous pusher fumaces. See Table 3.4.1 for
••
number of TUS thermocouples. See Figure 3 .4. 1 for the location of the TUS thermocouples.

3.4.2.2.2Plane Method: Shall be used for continuous fumaces where the product is continuously
••
moving through the fumace, e.g., belt fumaces. See Table 3.4.2 for number of thermocouples.
Refer to table 3.4.2 for the location of the TUS thermocouples. ••
3.4.3. TUS Data Collection:
••
••
3.4.3.1 TUS test thermocouples shall be traversed through the fumace at a traverse speed typically used
in production and representing ali test locations as required in Table 3.4.1 and Figure 3.4. l or Table 3.4.2
as appropriate.

3.4.3.2 Data collection shall begin when the TUS test thermocouples are loaded into the fumace.
••
Ali temperature data generated by the TUS test thermocouples shall be recorded automatically at least
every thirty seconds. The process record for fumace zone temperature shall be compared to the TUS data
to ensure compliance to TUS requirements. Manual data collection is not allowed.
••
TUS data collected shall clearly show the soak period achieved so that the responsible Quality Assurance
organization can determine compliance with interna! process specifications defining suitable soak time.
••
3.4.4 Furnaces Other Than Continuous or Semi-Continuous ••
3.4.4.l Number of TUS Thermocouples: The required number of TUS thermocouples shall be in
accordance with the TUS Test Thermocouple Table 3 .4.1. ••
3.4.4.2 Location of TUS Thermocouples: See Figure 3.4. l for the typical location of thermocouples in
rectangular and cylindrical shaped fumaces. For furnace work zone volumes greater than 8.5m3 (300ft3), ••
the thermocouple locations shall be similar to the example in Figure 3.4.1 and the additional
thermocouples shall be located to best represent the qualified work zone.
••
3.4.4.3 TUS Data Collection: Data collection shall begin when the TUS thermocouples are loaded into
the furnace. Ali temperature data generated by the TUS thermocouples and recorded on the process record
for furnace zone temperature shall be recorded automatically at a frequency of at least one set of readings
••
every two minutes for the duration of the survey. Manual data collection is not allowed.

The process record for fumace zone temperature shall be compared to the TUS data to ensure compliance
••
to TUS requirements.
••
••
3.4.4.3. l When the fumace temperature control achieves set point temperature, displaying a
normal control cycling around set point, and the TUS test thermocouples have stabilized, then the
TUS data collection shall continue for an additional thirty minutes mínimum.

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•• 3.4.5. Alternative TUS Testing Methods: Design characteristics of certain fumaces may prevent the
traversing or insertion of TUS test thermocouples through or into the fumace work zone(s) .

•• In such instances it is incumbent upan the Heat Treater to develop acceptable alternative methods to
provide objective evidence that temperature uniformity characteristics of the thermal processing
equipment meet the requirements of the applicable Process Tables and satisfy the intent of this document.

•• The alternative approach taken shall be reviewed and approved by the customer.

3.4.5.1 Property Surveys: In the event an acceptable alternative TUS testing method cannot be

•• developed employing traversing or insertion of TUS test thermocouples through or into the fumace work
zone(s), property surveys shall be accepted as objective evidence of thermal processing capabilities .

•• Initial property surveys of the selected product shall analyze those characteristics that are sensitive to
variations in process temperatures and shall establish baseline data against which monthly product

••
property trends shall be performed. If possible the selected product is processed frequently. The normal
process size range shall be represented in the selected product. When a two-step process is under review,
the second step can be run on the samples independent from the remainder of the lot.

•• If the furnace qualified operating temperature range is equal to or less than 170ºC (305ºF), the highest and
lowest operating temperatures shall be represented by the product property survey. If the furnace qualified

•• operating temperature range is greater than l 70ºC (305ºF), the product property surveys shall include an
intermediate temperature in addition to the highest and lowest operating temperatures .

•• At least five product property surveys shall be performed at each survey temperature. Samples far product
property surveys shall be taken from the extremes and center of the load .

•• Monthly property survey trends shall include selected characteristics of heat-treated product analyzed by
an appropriate statistical technique. Trends shall be examined monthly with defined control limits .
Processing will be halted if any property trend exhibits a shift beyond assigned control limits until the

•• cause of the shift is corrected .

••
3.4.6 Permissible TUS Test Thermocouple Failures: The permissible TUS test thermocouple
failure rate is defined below:

•• When using 3 to 9 thermocouples

When using 1O to 16 thermocouples
When using greater than 16 thermocouples
O failures are permitted
1 failure is permitted
Less than or equal to 10%

•• failures

A temporary condition such as a short or loose connection where normal temperature readout is restored

•• shall not be considered a failed TUS test thermocouple. No comer position failures of a TUS test
thermocouple are allowed .

•• 3.4.7. TUS PassfFail Requirements:

•• 3.4.7 .1 A temperature uniformity survey shall be acceptable if ali prev10us requirements are met
including the following:

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• All readings of all TUS thermocouples and control thermocouples are within the respective
temperature tolerance requirements shown in the applicable Process Table during the defined
soak period and the upper temperature tolerance was not exceeded at any time.
••
• The time required achieving recovery, stabilization or recurrent temperature pattern did not
exceed the time limit specified in any applicable process specifications. TUS is run for the
minimum required time.
••
• The organization's interna! process specification defining suitable soak time was met.
Interna! process specification shall define suitable soak time at temperature requirements.
••
3.4.7.2 Reaction to TUS Failures: If the temperature uniformity tolerance is not within the established ••
••
limits in the applicable Process Table, the cause of the deviation shall be determined and documented.
The equipment shall not be used for additional processing until the cause has been corrected and the TUS
has been performed successfully.

3.4.7.2.1 If the correction takes the form of adjusting (offsetting) the control instrument,
and if the Qualified Operating Temperature Range does not exceed l 70ºC (305ºF) a resurvey is
••
not required, but the adjustment shall not exceed the limits of 2ºC or 4°F. If the Qualified
Operating Temperature Range exceeds l 70ºC (305ºF) then the mínimum and maximum
temperatures of the operating temperature range shall be resurveyed.
••
3.4.8 TUS lnstrumentation: TUS's shall be performed using independent test instrumentation
meeting the requirements of Table 3.2.1 - Instrument Calibration Requirements and independent test
••
thermocouples meeting the requirements of Table 3 .1.3 - Thermocouples.

Compensation for known deviations in the test instrumentation shall be made by electronic or
••
mathematical corrections.
••
••
3.4.9 TUS Report: The items listed below shall be included in the temperature uniformity survey
report:

•
•
•
Furnace identification name or number.
Method of TUS .
Survey test temperature(s) .
••
•
•
TUS thermocouple quantity and location identification including a detailed diagram in three
dimensional space, or detailed description or photograph(s) of any load, rack or set-up. ••
••
TUS thermocouple calibration report to include correction factors .
• Survey test instrument calibration report to include calibration data and correction factors for
each adjustable channel or input.
•
•
Corrected readings of ali TUS thermocouples at each survey temperature. Readings shall be
identified as corrected or uncorrected.
Any limitations or restrictions of the TUS .
••
•
•
•
Testing company identification (if not performed in-house ) .
Name & Signature of the technician performing the TUS .
Survey start / stop time and start / stop date .
••
•
•
The data collection period or soak period as applicable shall be identified .
Survey test instrument identification number. ••
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• Control instrument tuning parameters, e.g., PID values

•• •
•
Documentation of any furnace survey thermocouple catastrophic failures .
Time and temperature profile data for ali TUS thermocouples and control thermocouples for ali
zones tested. Control thermocouple data shall be generated by the associated process recorder or

•• •
•
process data acquisition system .
Indications of test pass or test fai I status .
Summary of final plus and minus readings at each test tempera tu re.

•• • Sign-off by responsible person in the heat treat organization .

••
••
••
••
••
••
••
••
••
••
••
••
••
••
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Table 3.4.1 - TUS Test Thermocouple

(VOLUMETRJC METHOD) ••
••
••
0.1 to 8.5m 3
Workspace Volume < 0.1 m 3 (3ft3)
(3ft3 to 300ft3 )
Number of Thermocouples 5 9

Note 1. For fumace volumes greater than 8.5 m3 (300ft 3), add at a minimum one
thermocouple for each additional 3 m3 (105 ft3). For example, for a 17.50 m3 ••
Note 2.
(620 ft 3) fumace, 12 thermocouples shal\ be used ata minimum.

Total offset/bias assigned to the correction of a skewed TUS shall not exceed
••
2.0ºC (4.0ºF). This permissible offset/bias is separate from offset/bias
assignable to a Calibration or SAT error. ••
••
••
o ••
o
••
o
••
o ••
••
O Represents thermocouple locations ••
••
Figure 3.4.1 - TUS Test Thermocouple Locations
••
••
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•• Table 3.4.2 - Number and Location of the TUS Thermocouples

(PLANE METHOD)

••
•• < 0.75 m
~ 300 mm (1 ft.)
see Note 1
3
> 300 mm (1 ft.)
see Note 2
5

•• 0.75 m to 1.5 m (2.5 ft- 5 ft)

1.5 m to 2.4 m (5 ft - 8 ft)
3
3
7
8

•• > 2.4 m (8 ft)

Add one thermocouple
for each 0.6 m (2 ft.) of
additional width
8

•• Note 1: Two TUS thermocouple locations shall be within 50 mm (2 inches) of the

••
work zone corners. One TUS thermocouple Jocation shall be at the center.
Additional TUS thermocouples shall be uniformly distributed throughout a
plane perpendicular to the conveyance direction .

•• Note 2: Four TUS thermocouple locations shall be within 50 mm (2 inches) of the

work zone comers and the remainder shall be at the center and symmetrically

•• distributed about the center of a plane perpendicular to the conveyance

direction .

••
••
••
••
••
••
••
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lnstructions for completing the Job Audit

••
••
The organization is to complete a mínimum of one heat treat part job audit during each assessment. This
should be done preferably on a part identified for one of the customers requiring compliance to this
document. More part job audits may be done if time permits. Preferably, safety or critica) parts should be
audited. This may not be easily determined with fasteners, especially if the fastener manufacturer <loes not
identify the end customer (auto manufacturer, tier one, etc.). It is recommended that the job audit be
performed at the end of the heat treat system assessment. ••
The job audit is not the only or main focus of the HTSA. The other three sections on Management
Responsibility and Quality Planning, Floor and Material Handling Responsibility, and Equipment are ••
••
equally if not even more important. The job audit of one part, one heat process, and one fumace is not
sufficient to use as a basis to complete the other sections of the complete HTSA.
The job audit is a compliance type audit/review of a specific part and its related paperwork and
processing, including heat treat equipment and processing records for that job from the beginning receipt
of a part through processing in the heat treat operation and inspection to packaging. Parts shall be taken
from the shipping area at the dock or the end ofthe heat treat operation. If an automotive manufacturer's
••
part is not available or identifiable, then parts from other customers requiring compliance with this
document shall be used for the assessment. ••
The part or lot checked shall represent a major heat treat operation such as quench and tempering,
carburizing and tempering, induction hardening for steel, solution treating and aging of aluminum, etc. In
subsequent heat treat system assessments, different parts and heat treat processes shall be checked.
••
The specific heat treat processing parameters (applies to 4.7 in the Job Audit) that are required in the job
audit shall be added to the job audit form. This can be done by reviewing the customer specification(s), ••
the Control Plan, the FMEA, and the floor work/job order. Each processing step shall be reviewed for
proper production records/compliance/inspection. These steps can be compared to those in the Heat Treat
System Assessment for the actual job/heat treat process being reviewed for compliance. The heat treat and
••
fumace records for the actual time frame/shift etc. that the job was processed shall also be checked. The
actual fumace equipment and instrumentation certification shall be verified as being in compliance to the
appropriate equipment requirements in the equipment section.
••
For specific heat treat parameters that are proprietary (applies to 4.7 in the Job Audit), the heat treat
supplier may enter the controlling document number, e.g., control plan or process sheet, on the Job Audit. ••
The parameters shall be available to the auditor for review but proprietary information is not required to
be documented in the Job Audit.
••
••
••
••
••
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••••••••••••••••••••••••••••••••••••••••••••
31
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Section 4 - Job Audit o
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Job ldentity:
e
Customer:
Shop Order Number:
Part Number:
Part Description:
Material:
--·
a.
"T1
o
~
Heat Treat Requirements: 3
Job (Shop) Order or
Related Customer or Interna! Actual Condition Pass/ Fail
Question # Job Audit Question Reference Documentation
HTSA Question # Requirement (Objective Evidence) / N/A
Reauirement
4.1 Are contract review, advance 1.2
quality planning, FMEA, control 1.3
plans, etc., performed by qualified 1.4
1.17
.g,
individuals? (1)

-a
(')
4.2 Does the heat treat facility have the 1.5
customer specifications for the
i:ii'
oart? "ti
4.3 Is a shop traveler created to meet 1.6 (')
customer reauirements? 2.1 (1)
CI)
4.4 Is material identification (part 2.2
numbers, lot numbers, heat 2.3
..
CI)

numbers, contract numbers, etc.) 2.4 :e:

-
(1)
Q)
maintained throughout the heat
treat process?
4.5 Is there documented evidence of 2.1 ~

-
(1)
Q)
Receiving lnspection?
4.6 1.6
Are the Loading I Racking <~
requirements identified?
2.7 ~ CI)
29 ~- ......
o (1)
~ :3
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rJ) CI)
~
CD(l)o CI)
o.
~CI)
j;3
CI)

:3 -1
o
o (1)
~ =t U)

°''
V,

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1
O\
O\
1

~.g, C')
5!!.CD
g~
D
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. - 1
en ,:i CD
~
¡g_ (')
a
Related Customer or Interna!
Job (Shop) Order or
Actual Condition Pass f Fail
~
-111
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Question # Job Aud1t Question
HTSA Question # Requirement
Reference Documentation
(Objective Evidence) / N/A ~··
~:e
Reauirement
4.7 Is the proper recipe or process
specification (cycle times,
temperature, atmosphere, etc.)
1.5
1.6
2.1
-m
CD
Q)

:;i
used? Refer to Process Tables,
Section 3.0, for specific
parameters List parameters that
2.14
2.15 -
( /)
~
~)).
were verified in this audit in the
soaces orovided below.
4.8 What are the product inspection 2.15
(/)
reauirements? (/)
4.8.1 Reauirement: (1) CD
(/)
(/)
Test Method:
Test freauencv or auantitv: 3CD

4.8.2
Selection of samples:
Specification:
Reauirement: (2)
-
:::i

Test Method:
Test freauencv or auantitv:
Selection of samples:
Soecification:
4.8.3 Reauirement: (3)
Test Method:
Test freauencv or auantitv:
Selection of samoles:
Specification:
4.8.4 Requirement: (4)
Test Method: :i
CD
Test freauencv or auantitv: @
Selection of sam ples: ¡¡;
~
Specification: ~
...,o'

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15'
3
§
C)
CD
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ic,
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3
o,
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Cl
Job (Shop) Order or (!)
Related Customer or Interna! Actual Condition Pass/ Fail
Question # Job Audit Question Reference Documentation
HTSA Question # Requirement (ObJective Evrdence) /N/A
Requirement
O.,....ato, or lns..-tor Rasuonsibilities
4.9 Were appropriate process steps 1.4
signed off? 2.2
2.3
2.14
4.10 Were all inspection steps, as 1.2
documented in the control plan 1.4
oerformed?
4.11 Were steps/operations performed 1.2
that were not documented in the 14
control plan? 1.6
4.12 lf additional steps were performed,
were they authorized?
1.2
1.4
.g,
CD
o
-4'
1.6
1.11 aj'
1.17
4.13 Does the governing specification 1.11 o
allow reorocessino or rework? o
CD
4.14 lf the arder was certified, did the 2.14 11)
11)
certification accurately reflect the 2.15 ,,

~
orocess oerformed?
4.15

4.16
Was the certification signed by an
authorized individual?
Are the parts and containers free of
1.17

2.6 -
Q)

::;t

-
inappropriate objects or 2.11 CD
Q)
contamrnatlon?
<~
~ 11)
!:Q ........
o CD
~ :3
:___ ):.
(/) 11)
~ 11)
ro 11)
CD (")
c.
~11)
Í\3 :3 -I
o
o CD
~ ;:t CD

°'
-.)
1
1
O\
00
1

~.g, (")
5·~
~¡· -
o
. - 1
cñ i, CD
"'..,
e: o
~(')
~ CD
oln
-In
~-·
: : : :e:
-
CD
11)

-
CD
11)

( /)
~
Job (Shop) Order ar iit
Question # Job Audit Question
Related Customer or Interna!
Reference Documentation
Actual Condition Pass/ Fail 3
HTSA Question # Requirement (Objective Evidence) ! N/A )).
Requirement (/)
Packaolng ReQuirernents (/)
CD
4.17 Are packaging requirements 2.9 (/)
(/)
identified?
3

-
4.18 Are parts packaged to minimize 2.9 CD
mixed parts (for example, parts :::i
oacked over height of container)?
Shiooing Reouirements
4.19 Were the parts properly identified? 2.3
2.9
Were the containers properly 2.3
4.20 labeled? 2.9

r¡
'iá
o'

iC,
26 ~
a,
ª
(l)

§
 ••
•• AIA~
The catalyst far peak performance
Special Process: Heat Treat System Assessment
CQl-9
Version 3. lssued 10/2011

•
•• APPENDIX A - PROCESS TABLES

•• PROCESS TABLE A: CARBURIZING / CARBON CORRECTION / NEUTRAL HARDENING / AUSTEMPERING /

•• MARTEMPERING / TEMPERING / PRECIPITATION HARDENING - AGING ............................................................. 70

PROCESS TABLE B: NITRIDING (GAS) AND FERRITIC-NITROBARBURIZING (GAS OR SALT) .................................... 73

•• PROCESS TABLE C: ALUMINUM HEAT TREATMENT ............................................................................................76

PROCESS TABLE D: INDUCTION HEAT TREATING ................................................................................................78

•• PROCESS TABLE E: ANNEALING / NORMALIZING / STRESS-RELIEVING ................................................................ 80

PROCESS TABLE F: LOW PRESSURE CARBURIZING ..............................................................................................83

•• PROCESS TABLE G: SINTER HARDENING .............................................................................................................85

PROCESS TABLE H: ION NITRIDING ....................................................................................................................88

•• GLOSSARY ........................•............................................•............................................•...............•......................89

••
••
••
••
••
••
••
••
••
••
,. •
••
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,.
 ••
CQl-9
Special Process: Heat Treat System Assessment AIA~ ••
••
Version 3. lssued 10/2011 The cata/yst far peak performance

PROCESS TABLE A: CARBURIZING / CARBON CORRECTION /

NEUTRAL HARDENING / AUSTEMPERING / MARTEMPERING /
TEMPERING / PRECIPITAT/ON HARDENING -AGING ••
AII requirements glven below are subordinate to customer specific requirements.

The customer may have additlonal requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the auditor shall verlfy heat treater is
••
••
conforming to the customer's requirements.

Contlnuous furnace frequencies are per lot (work order) oras specified, whichever is more frequenl

OK - Complies to requirement
NOK - Does not comply to requirement (Explaln noncompllance in 'Related HTSA Question Ir)
NA- Requirement not applicable

ltem# Related HTSA Category/Process Steps

••
••
Question #
PROCESS AND TEST EQOP~ R.EaUIREMEltTS OK / NOK / NA
1.0
3.1
A1.1 Ali furnaces, generators and quench systems shaii have temperature indicating instruments.
3.7
A1.2

A1.3
A1.4
3.1
3.7
1.18
3.2
Cont,nuous strip charts and/or data loggers are required for temperature and carbon monitoring unit, e.g., dew point, oxygen probe, IR gas
analyzer, etc.
A program for furnace and generator bumout is required (applies to carbon bearing atmospheres).

Furnace weigh scaies shall be verified quarterly and calibrated annualiy ata minimum
••
A1.5

A1.6
3.2

3.2
Dew pointers, 3-gas analyzers. spectrometers, and carbon IR combustion analyzers (shirn stock analysis), used to verify carbon potential
in furnaces, shall be calibrated annually ata mínimum.

Verification of calibration of spectrometers. and carbon IR combustion analyzers, shali be checked da1ly or prior to use.
••
A1.7

A1.8
3.2

3.2
Verification of calibration of 3-gas analyzers with zero gas and span gas shall be perfonned weekly ata mínimum.

Oxygen probe controllers shali be calibrated quarteriy (single-point or multi-point calibration) or semi-annual (multi-point calibration only;
single-point calibration not allowed).
••
A1.9

A1.10
2.16

2.16
Ali hardness test equipment (for each scale used) shall be calibrated annually mínimum, and verified daily or prior to use, per the
appiicable ASTM standard, ISO standard. JIS standard, or approved standard
Files for testing hardness shali be verif,ed per the Customer requirement
Refractometers (typicaliy used to check polymer quenchants and washer solutions) shali be verified pnor to use ('Mth distilled water) and
••
••
A1.11 3.2
calibrated annualiy (per manufacturers requirements) ata mínimum.
2,0 r-,n--~ , RY ..DK.LMOIUNA. I
A2.1 3.2 Thermocouples and calibration of therrnocouples shali conform to Section 3.1
3.3

••
A2.2 3.2 Pyrometry lnstrumentation and Calibration of instrumentation shall confonn to Section 3.2
3.3
3.2 CQl-9 requires a System Accuracy Test (SAT) checkofthe control thermocouple in the Qualified WorkZone perSection 3.3
A2.3 3.3

••
A24 3.4 TUS shali be performed annually and after maJor rebuild per Section 3 4

Temperature unifonnity tolerance for hardening furnaces shall be+/- 15'C (or +/- 25'F). Temperatura uniformity tolerance for tempering
fumaces shall be+/- 10'C (or +/- 20°F).
A2.5 3.5

••
Recorded temperature(s) for austentizing processes shall be controlled within +/- 1O'C (or +/- 15'F) of the set point as evidenced by
continuous recording pyrometers. Furnace temperature shali be controlied 'Mth soak times start1ng at the lower tolerance limit (as defined
above).

For Continuous Furnaces, this requirement applies to the Qualified Work Zone.
A2.6

A2.7
3.5

3.2
Recorded temperature(s) for tempering and precipitation hardening processes shall be controlled within +/- 5'C (or +/- 1O'F) of the set
point as evidenced by continuous recording pyrometers Fumace temperatura shall be controlled with soak times starting at the lower
tolerance limrt (as defined above).
lnfrared pyrometers shali be calibrated annualiy using proper calibration methods oran approved manufacturers procedure.
••
••
••
••
-70-
••
•
 ••
•• AIA~ Special Process: Heat Treat System Assessment
CQl-9

••
The catalyst far peak performance Version 3. lssued 10/2011

•• PROCESS TABLE A - Carburizing I Carbonitriding I Carbon Restoration / Neutral Hardening I Austempering / Martempering /
Tempering / Preclpltation Hardening -Aging
Ali requirements glven below are subordlnate to customer specific requirements .

•• The customer may have additional requlrements, e.g., inspection testing, greater frequencies, etc. When performlng the job audit, the auditor shall verify heat treater is
conformlng to the customer's requirements .

••
Contlnuous furnace frequencies are per lot (work orderJ oras spectfied, Whlchever is more frequent

OK - Compiles to requirement
NOK - Does not comply to requirement (Explain noncompliance In 'Related HTSA Question #')
NA- Requirement not applicable

•• ltem# Related HTSA

3.0
auestion #
PROCl!SS MONITOlt FREQUENCIES
Category/Process Steps

l!!lñ:h
Fumac•
Contlnuous
Fu mace
Almosph1ni Gene111tlon OKINOKINA

•• A3.1 14
2.14
Monitor primary temperatura control instrument(s). Continuous recording wrth
sign-off every 2 hours or
each batch far processes
under 2 hours. Alarm
systems (~ set per llmrts in
Continuous record1ng with
s,gn-off every 2 hours or
each lot far processes
under 2 hours). Alarm
Sign-off requ1red far each
shift far generators.

••
systems (~ set per limrts ,n
A2 5 and A2.6) satisfy the A2.5 and A2.6) satisfy the
sign-off requirement. sign-off requirement

A3 2 1.4 Monitor atmosphere generatian as applicable. Generators shall be

2.14 continuously monitored and

•• 3.7 alarmed Other systems,

such as nrtrogen-methanol
systems, may either be
continuous~ monitored and

••
alarmad, or sign-off every 2
hours

•• A3.3 1.4
214
Monitor pnmary furnace atmosphere cantral(s) Continuous recordrng wnh
sign-off every 2 hours or
Corrtlnuous recording with
sign-off every 2 haurs ar

••
37 each batch far processes each lot far processes
under 2 hours. Alarm under 2 haurs). Alarm
systems (~ set per systems (~ set per
acceptable 1,mrts) satisfy acceptable limrts) satisfy
the sign-off requirement. the sign-off requirement

•• A34 14
2 14
37
3.8
Ver~y primary fuma ce atmosphere control method Daily
by back-up method
Daily

••
A3.5 14 Far austenti21ng salt baths: Salt chemistry (soluble Daily
2 14 oxides) or decarburization on the parts shall be
3.13 checked.
A3.6 1.4 Quench Media Process Parameters
2.12 Temperature Continuous recording with Conbnuous recording with

••
sign-aff every 2 haurs or sign-off every 2 hours ar
each batch far processes each lot far processes
under 2 hours. Alarm under 2 hours). Alarm
systems (~ set par systems (if set per
acceptable hmrts) satisfy acceptable limrts) satisfy

•• Quench Level
Agitation
the sign-off requirement. the sign-off requirement

Continuous monitor with alarm or dailv verification .

Daily visual check, or monitor the agitation during the
quenching operation with alarm systems set at

•• acceptable limrts .

••
••
•• -71-

•
 ••
CQl-9
Special Process: Heat Treat System Assessment AIA~ ••
••
Version 3. lssued 10/2011 The cataiyst far peak performance

PROCESS TABLE A - Carburizing I Carbonitriding / Carbon Restoration I Neutral Hardening I Austempering / Martempering I
Tempering I Precipitation Hardening - Aging

AH requirements given below are subordinate to customer specific requirements.

••
The customer may have additlonal requlrements, e.g., inspection testing, greater frequencles, etc. When performing the job audit, !he auditor shall verify heat treater is
conforming to the customer's requirements.

Continuous furnace frequencies are per lot (work arder) oras specified, whichever is more frequent
••
OK -Compiles to requlrement
NOK - Ooes no! comply to requlrement (Explain noncompliance in 'Related HTSA Questlon #')
NA- Requirement no! applicable
••
ltem# Related HTSA

A3.7
Question #
14
2.14
Monítor time in furnace, cycle time or be!t speed.
Category/Process Steps

Each batch Twice/shift & after any

changa in the belt speed
••
A3.8

A3.9
1.4
2.7

1.4
212
Monitor load size orfixturing or loading rateas
applicable.

Quench Delay Time -

Quench dela y time shall be based on the time that
Each batch

Each batch
Twice/shift & after any
change in loading rate.

Each basket far pusher-

type continuous fumaces
••
the furnace door starts to open to the time the
load is al the bottom of the quench tank.
where the loaded basket is
quenched.

Not applicable far bel!,

••
••
shaker. or pusher furnaces
where parts free-fall into
the quench.

A3.10 1.4 Temper Delay Time - Each batch Each load

••
2.12 The maximum dela y time between quenching and
tempering shall be spec1fied on the control plan
and monitored.

Batch Contlnuous OK/NOK I NA

4.0 IN.PROCESS/FINAL TEST FREQUENCIES

••
l'um.ce Fumaee
A4.1 1.4 Mrcrostructure shall be checked ata mínimum Each batch Daily per furnace
2 15 magn1fication of 1OOx and, 400x or above 400x.
Microstructural visual references shall be
available.

••
A4.2 1.4 Surface hardness Each batch Every 2 hours
2.15
A4.3 1.4 Core hardness (when specified) Each batch Every 4 hours
2.15
A4.4 1.4 Case depth (when specified) Each batch Every 4 hours

••
2.15
QUl!NCHANT ANO SOLUTION TEST Batch Canllnuous OK/NOK/NA
5.0
.EREQUENCJES Eunulce mrumac:.-
A5.1 2.12 Po•=er Quench Media
3.14 Concentration Dailv Dailv

••
Coolina Curve Analvsis Semi-annuallv Semi-annuallv
A5.2 2.12 Water Quench Media
3.14 SusnAnded solids Semi-annuallv Semi-annuallv
A5.3 2.12 Sal! Que ne h Media
3.14 Analvsis & Contaminants Semi-annuallv Semi-annuallv
A5.4

A5.5
2.12
3.14

212
Brine or Caustic Quench Media
Concentration and/or Soocific Gravitv
Susoonded solids
Oil Quench Media
Dailv
Semi-annuallv

Sem,-Annually
Dailv
Semi-annuallv

Semi-Annually
••
••
3 14 Water content, suspended solids, v1scosity,
coolino curve total actd and ílash ooint.
A5.6 2.13 Rus! Preventive -Soluble Oil
Concentration 2x /week 2x /week
A5.7 211 Washers

••
Concentration of cleaner Dailv Dailv
Temperature of solution (required if temperature is Each shift Each shift
sn<>cif,ed to be above ambient temn<>rature\

••
••
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•
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•• AIA~ Special Process: Heat Treat System Assessment
CQl-9

••
The catalyst far peak performance Version 3. lssued 10/2011

PROCESS TABLE B: NITRIDING (GAS) AND FERRITIC-

•• NITROBARBUR/ZING (GAS OR SALT)

A.U raqulrements given below are subordinate to customer specific requirements .

•• The customer may have additional requlrements, e.g., lnspection testing, greater frequencles, etc. When performlng the job audtt, the auditor shall verlfy heat treater is
conformlng to the customer's requirements .

Continuous furnace frequencies are per lot (work arder) oras specifled, whichever is more frequent •

•• OK ª Complies to requlrement
NOK • Ooes not comply to requlrement (Explaln noncompliance In 'Related HTSA Questlon
IUA
--·
#'I

••
ltrm# Related
HTSA Category(Process Steps

1.0
"·--'•-• OKINOK/Nltl
PROCE58 AHD TEST EQUIPM!NT REQUIREM!NTS
1

••
81.1 3.1 Ali furnaces. generators and quench systems shan have temperatura 1nd1catmg instruments
3.7
81.2 3.1 Continuous strip charts andlor data loggers are required ror temperature and carbon momtoring unit. e.g., dew point. oxygen proba. IR gas
3.7 ana lyzer, etc For salt bath, only temperature is required to be recorded
81 3 1.18 A program for furnaoe and generator bumout is required. Not required far retort gas nitriding.

•• 81 4

81.5

81 .6
3.2

32

2.16
Fumace weigh scales shaH be verified quarter!y and calibrated annually ata mínimum

Dew pointers and gas. analyzers, used t.o verify prnper atmosphere in fumaces. shall be cal ibfated annually ata minimum

Ali hardness test equipment (far each scale used) shall be calibrated annually min ,mum, and venfied daily ar pnor to use, per the appl,cable ASTM

••
standard, ISO standard, JIS standard. ar approved standard .

BU 2.16 F1!es for testing hardness shall be venfied per the Customer requirement

81.8 3.2 Refractometers (typically used to check potymer quenchants and washer solutions) shall be verified prior to use (with dislilled water) and cahbrated
annua!ly (per manufacturer's requ1rements) ata mínimum.

•• 2.0

821 3.2
11
Thennocouples and cahbrat10n
PYROMETRY

or thennocouples shan confom, to Section 3.1.

OKINOKINA

••
82.2 32 Pyrometry lnstrumentatlon and Galibrahon of instrumentation sha/1 conform to Section 3.2.
3.3
82.3 3.2 CQl-9 requires a System Accuracy Test (SA T) check of the control thermocouple ,n the Oualified Work Zone per Section 3 3
3.3

82.4 3.4 TUS shall be performed annually and after majar rebu tid per Section 3.4.

•• 82 5 3.5
Temperature uniformrty tolerance shall be +/-10°C (15°F).
Recordad temperature(s) shall be controlled within +/- 10°C (ar +/- 15ºF) of the set point as evidenced by continuous recording pyrometers .
Fumace temperature shall be controlled wtth soak times starting at the lower tolerance limit (as defined above).

•• 82.6 3.2
For Continuous Furnaces, this requlrement appfies to the Qualified Work Zone .
lnfrared pyrometers shall be calibrated annually using proper cal1bration methods oran approved manufacturer's procedure

••
••
••
••
••
••
•• -73-

•
 ••
CQl-9
Special Process: Heat Treat System Assessment AIAG~ ••
••
Version 3. lssued 10/2011 The cata/yst far peak performance

PROCESS TABLE B - Nitrlding (Gas) and Ferrltic-Nitrocarburizing (Gas or Salt)

AII requlrements given below are subordlnate to customer speclflc requlrements.

The customer may have additional requlrements, e.g., inspection testlng, greater frequencles, etc. When performing the job audit, the auditor shall verrfy heat treater is
••
••
conformlng to the custorner"s requlrements.

Contlnuous furnace frequencies are per lot (work arder) oras spectfied, whichever Is more frequent.

OK - Complles to requirement
NOK - Does not comply to requirement (Explain noncompllance in 'Related HTSA Question #')

••
UA_-

ltem# Related

~
HTSA
......., .. CategorylProcess Steps

~-·
••
3.0 llnch Cotillnuous
PROCl!SS MONITOR FREQUENCIES
Fu-• o-rators SaJt Bath OK/NOK/NA
831 1.4 Monitor prtmary temperature control ínstrument(s} Continuous recording wfth Contmuous recordíng 1Mtl1 Sign-off required Every 2 hours
2.14 sign-off every 2 hours ar sign-off every 2 hours or for each shift far & afterany
each batch far procasses each lot for processes generators. change
under 2 hours. Alarm under 2 hours). Alarm
systems 0f set per l!mits in systems (if set per lim1ts in
82.5) sabsfy the s1gn-off
requirement.
82.5) satisfy tlle sign-off
requirement.
••
••
832 1.4 Monrtor generator atmospheres, if apphcable Generators sha/1
2.14 be continuousty
3.7 monitored and
alarmed. Other
systems, such as

••
nitrogen·methanol
systems, may
eíther be
contlnuously
monitored and
alarmed, or s1gn-0ff

••
every 2 hours.

83.3 1.4 Monitor ptimary furnace atmosphere control{s). Each batch (rotar; Continuous recording 'Mth De ily
2.14 fumaces only) ar sign-off every 2 hours.
3.7 continuous record1ng 'Mth Alann systems satisfy tlle
3.8 s¡gn-off every 2 hours
Alarm systems sallsfy the
s19n-off requiremenl
sign-off requirement.

••
••
83.4 1.4 Oissociat)(ln of ammonia shall be checked in gas Each batch and every 4 Every 4 hours Da1ly N/A
3.7 n1triding. hours mmimum

83.5 1.4 Gas ratios far ferritic nitrocarburizmg shall be Each batch Every 2 hours mmimum
3.7 checked.

••
83.6 1.4 Check salt chemistr; (soluble oxides) in salt baths Daily
2.14 used far austentizing, ar decarburization on the parts.
3.13

83.7 1.4 Quench Media Process Parameters

2.12 Temperature Each batch or contJnuous Each lot or continuous Each batch ar
recording wrth sign-off
every 2 hours Alarrn
systems sabsty the s+g:n~off
requirement
recording 'Mth sign-off
every 2 hours. Alarm
systems satisfy the sign-off
requirement
continuous
recording with
sign-off every
2 hours.
Alarm
••
••
systems
satisfy tlle
sign-off
f"A(luirement
Quench Level Continuous monitor wrth alarm or da1tv verrfi.cahon Daíly

••
Aaitabon Dailv visual check or monitor the aaitation durina the Daítv
83.8 1.4 Monftor time in fumace, cyde time or belt speed. Each batch T'Mce/shlft & after any Each batch
2.14 chanae in tila belt soeed.
83.9 1.4 Monitor load size ar fixturing or loadtng rata as Each batch T'Mce/shlft & after any Each batch
2.7 aoohc.able chance 1n load1na rate.
83.10 1.4 Quench Delay Time rr applicable - Each batch Each basket rr appl,cable. Each batch
2.12 Quench delay time shall be basad on the time that the
furnace door starts to open to the time the load is at
the botlom of the quench tank
••
••
••
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•
 ••
•• AIA~ Specia/ Process: Heat Treat System Assessment
CQl-9

••
The cata/yst far peak performance Version 3. lssued 10/2011

PROCESS TABLE B - Nitriding (Gas) and Ferritic-Nitrocarburizing (Gas or Salt)

•• AH requlrements given below are subordínate to customer specific requirements.

The customer may have additional requirements, e.g., lnspection testing, greater frequencies, etc. When performlng the job audit, the auditor shall verify heat b'eater
conforming to the customer's requirements .
ts

•• Continuous furnace frequencles are per lot (work arder} oras specified, whichever Is more frequent.

OK - Compiles to requirement

... -
NOK - Does not comply to requirement (Expiain noncompliance in 'Related HTSA Question Ir)

••
. _ ........ -~1;_,...J,.,_

llem# Related
HTSA CategorylProcess Sleps
'"'··--•:--:ff:

••
4.0 llillch ~

B41 1.4
IN-PROCESSll'INAL TEllT FReQUEHCES
Microstructure shaH be checked ata mínimum Each batch
E:11cnac• ----
Daily per fumace
o• . . . - SaltBath
Oaily per
OK/NOK/NA

2.15 magnrfication of 100x and, 400x or above 400x fu mace

Microstructural visual references shall be available.

•• B4 2

84 3
1.4
2.15
1.4
215
1.4
Surface hardness

Core hardness (when specified)

Case depth (when specrfied)

Each batch

Each batch

Each batch
Every 2 hours mínimum

Every 4 hours
Each batch

Each batch

Each batch

••
844 Every 4 hours
2.15
5.0 QUENCHANT AND SOUJTION TEST llaldl Coilllnll01B Ge-.lals SalBalh OK/NOK/NA
ll!S Funmca ~
Ouench Media Controls lf nMflcable
85.1 2.12 PoMner Quench Media

•• 85 2
3.14

212
3.14
ConcentratJon

titrat1on.
Water Quench Media
Susoendec sohds
Oa1lv
Quenchabillty Check e.g, cooling curve, viscosity, ar Semi-annually

Semi-annuallv
Dailv
Semi-annually

Semi-annuallv

••
85 3 212 Salt Quench Media
3 14 Analysis & Contaminants Semi-annually Sem1-annually Semi-annually I

85.4 2.12 Brine ar Caustic Quench Media

••
1

3 14 - Concentrat1on and/or Specrfic Daily Daily

Gravitv
- Suspended solids Semi-annuallv Semi-annuallv 1

85.5 212 Oíl Quench Media

3.14 - Water content, suspended sol!ds, Sem1-Annual Semi-Annual

••
viscosity, cooling curve, total acid,
and flash ~int 1

85.6 2.13 Rust Preventive - Soluble Oíl

- Concentrat10n 2xiweek 2x lweek 2x /week
85.7 2.11 Washers

••
- Concentration of cleaner Dailv Oail Dailv
- Temperatura of solution (required if temperatura is Each shlft Each shlft Each shlft
Sf""ol:U"'1fied to be above ambient temoerature)

••
••
••
••
••
••
•• -75-

•
 ••
CQl-9
Specia/ Process: Heat Treat System Assessment
Version 3. lssued 10/2011
AIAG~ ••
••
The cata/yst far peal< performance

PROCESS TABLE C: ALUMINUM HEAT TREATMENT

AII requirements given below are subordinate to customer speciflc requirements.

Toe customer rnay have additlonal requlrernents, e.g., lnspectlon testing, greater frequencies, etc. When performlng the Job audil, the auditor shall verify heat treater Is
••
conformlng to the customer's requirernents.

Continuous rumace frequencies are per lot (work order) oras specifled, whichever is more frequent.

OK - Compiles to requlrernent
••
NOK - Ooes not comply to requirement (Explain noncompliance in 'Related HTSA Question #')
NA - Requlrernent not appllcable

ltem# Related Category/Process Steps

••
••
HTSA
n,,octjon#

1.0 PROCESS ANO TEST EQUIPMEN'T' REQUIRBilENTS OK/NOK/NA

C11 3.1 Ali fumaces and quench systems shall have temperature indicating instruments.

cu
cu
31

2.16
Continuous strip charts and/or data loggers are required for temperature sensors.

Ali hardness test equipment (far each scale used) shali be calibraled annualiy mínimum, and veríf,ed daily or prior to use. per lile
applicable ASTM standard, ISO standard, JIS standard, ar approved standard.
••
C1.4

C15
3.2

3.2
Furnace weigh scales shali be verified quarterly and calibrated annualiy ata mínimum.

Refractometers (typically used to check polymer quenchants and washer solut1ons) shali be verífied prior to use (with distilled
water) and cal1brated annually (per manufacturer's requirements) ata mínimum. ••
••
2.0 '
,ftT OK/NOK / NA
C2.1 3.2 Thermocouples and calibrat,on of thermocouples shall conform to Section 3.1.
3.3

C2.2 3.2 Pyrometry lnstrumentation and Calibfat,on of lnstrumentation shall conform to Section 3.2.

••
3.3
C2.3 3.2 CQl-9 requires a Systern Accuracy Test (SAT) check of the control lllermocouple ,n lile Qualified Work Zone per Section 3.3.
3.3

C2.4 3.4 Temperature Unformity Survey (TUS) TUS frequency shali be quarterly and after major rebuild per Section 3.4.

Temperature UMormrty tolerance far solution and aging furnaces shali be+/- 5'C (+/- 10'F)
Temperature Unformrty tolerance far annealing furnaces shall be+/- 15'C (+/- 25'F)

Mínimum and maximum temperature ranges shall be defined. Exception lf the operat>ng range of the Qualíf1ed Work Zone is equal
••
C2.5 3.5
to ar less than 85'C (155°F) then only one temperature is required to be tested. The test temperature shali be willlin the operating
range al the Quahfied Work Zone

For Contlnuous Fumaces, this requirernent applies to the Quatified Work Zone.
For Solution Treatlng and Aqing: Recorded temperature(s) shall be controlled within +/- 5C (ar+/- 10F) al the set po1nt as
••
evidenced by continuous recording pyrometers. Fumace temperature shall be controlled wrth soak times starting at the lower
tolerance limrt (as defined above).

For Continuous Fumaces, lhis requirernent appties to the Qualified Work Zone ••
C2.6 3.5 For Annealinq Furnaces: Recorded temperature(s) shall be controlled wrth,n +/- 10C (ar+/- 15F) of the set po,nt as evfdenced by
continuous recording pyrometers Furnace temperature shall be controlled wrth soak times starting at the lower tolerance limrt (as
defined above)

For Continuous Fumaces, this requirernent applies to the Qualified Work Zone
••
C2.7 3.2 lnfrared pyrometers shall be cahbrated annualiy using proper calibration methods oran approved manufacturer's procedure.

••
••
••
••
••
-76-
••
•
'••• AIAG~ CQl-9
•• The catalyst far peak performance
Specia/ Process: Heat Treat System Assessment
Version 3. lssued 10/2011

•• PROCESS TABLE C - Aluminum Heat Treating

Ali requlrernents glven below are subordlnate to custorner specific requirernents.

•• Toe custorner may have additlonaJ requlrernents, e.g., lnspection testlng, greater frequencles, etc. When performing the job audit, the auditor shall verify heat treater Is
conforming to the custorner's requlrernents.

Continuous furnace frequencles are per lot (work order) oras specified, whlchever is more frequent.

•• OK - Compiles to requlrement

...
NOK - Does not comply to requirement (Explaln noncompliance In 'Related HTSA Questlon #')
I0--,-·1----- _ __., -rr•I--'-•-

••
ltem# Related CategorylProcess Steps
HTSA
Question#
3.0 PROCESS MONITOR _...,.IENCIIES B.i.:h ........... Cantlnuous Fumaca OK/NOKINA
C3.1 1.4 Monrtor primary temperature conlrol 1nstrument(s) Contnuous recording with ConUnuous recording

••
2 14 s1gn-off every 2 hours ar with sign-off every 2
each batch far processes hours or each lot far
under 2 hours. Alarm processes under 2
systems (if set per limrts in hours. Alarm systems (if
C2.5 and C2.6) satisfy the set per limrts in C2.5 and

••
sign-off requiremenl C2.6) sat1sfy the sign-off
requirement
C3.2 1.4 Quench Media Process Parameters
2 12 Tem perature Continuous record1ng with Continuous recording
s1gn-off every 2 hours or wrth sign-off every 2

••
each batch far processes hours or each lot far
under 2 hours. Alarm processes under 2
systems (ff set per hours Alarm systerns (~
acceptable limrts) satisfy set per acceptab\e limrts)
the sign--olf requirement sat,sfy the sign-off

••
requiremenrt

Quench Level Daily Venficat1on

Agrtation Daily visual check. or monrtor the agrtation during the
queoching operation with alarm systerns set at

•• C3.3 1.4
2.14
Monitor process cycle time
acceptable limrts
Each batch Twice/shfft & alter any
change 1n the 1ndexing
or bet speed.

•• C3.4

C3.5
1.4
2.7
1.4
2.12
Monrtor load size or featuring as applicable.

Quench Delay Time -

Quench delay time shall be based oo the time that the
Each batch

Each batch
Twice/shift & alter any
change in loading rate
Each basket far pusher
type or roller hearth

••
furnace door starts to open to !he time the load is at cont1nuous furnaces.
the bottom of the quench tank.

4.0 IN-PRO<:BBIFINAL TEST OK/NnK/NA

C4.1 1.4 Hardness or tensile testing (post aging). Each batch Every 4 hours

••
2 15

C5.1
50

2.12
314
~----
CIUENCHANT ANO SOLUTION 'IEST

Polvrner Quench Media

Coocentration Dailv Dailv
OK/NOKINA

•• Coolino Curve Anal'ISis Sem1-annually Sern i-annually

C5.2 2.12 Water Quench Media
3.14 Su=nded solids Serni-annually Sern 1-annuallv
C5.3 2.11 Washers
Coocentratoo of cleaner Da1lv Dailv

••
Temperature of solutJoo (required if temperature is Each shlft Each shlft
specified to be above ambient temperature)

••
••
••
••
••
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CQl-9
Special Process: Heat Treat System Assessment AIA~ ••
••
Version 3. lssued 10/2011 The catatyst far peak performance

PROCESS TABLE D: INDUCTION HEAT TREATING

AJI requirements given below are subordinate to customer spectfic requlrements.

Toe customer may have additional requlrements, e.g., lnspectlon lestlng, greater frequencies, etc. When perforning the Job audil, !he auditor shall verify heat
••
••
treater is conforning to the custome(s requirements.

OK - CofT1>lles to requirement
NOK - Does not comply to requlrement (Explain noncompllance In 'Related HTSA Questlon #')
NA - Requlremenl not appllcable

ltem# Related HTSA

Question#
Category/Process Steps ••
1.0

01.1 2.16
PROCESII AHD TESTEQIJIPMENT REQUIRBIENTS

Ali hardness lest equipment (f0< eecli scale used) shaft be eaHl:tated annuaMy m,nlmum. and ver~ied daily 0< pnor to use, per
the applicable ASTM standard, ISO standard, JIS standard, 0<approved standard.
OK/NOKINA

••
01.2

01.3
2.16

32
Files for testing hardness shall be venfied per the Customer requiremenl

Refractometers (typically used to check polymer quenchants and washer solutions) shall be ver~ied prior to use (with distilled
water) and calibrated annually (per manufacturers requirements) al a mínimum
••
2.0
02.1 32
PYROME'TRY
lnfrared pyrometers shall be cal1brated annuaUy using proper cahbrabon methods aran approved manulacturers procedure
••
•
3.0 PROCESS MONITORING FREQUENCIES OKINOKINA

••
AII process parameters shall be checked !he beglnning of every shlft, lool change, or any equlpment repair. In absence of process parameter
alarms, also check process parameters al end of shlft or lot (whlchever is !he greater frequency).

031 1.4
2.12

••
Quench Temperature Alarm system for high and ICMI temperature is required

Quench Level Continuous monitor with alarm 0< daily vernication

Quench Pressure and Flow Alarm system for quench pressure and fiCMI rate for high and ICMI limrts 1s
required.

In the absence of an alarm, the quench pressure and

start -up and every 8 hours
ílow shall be checked al
••
03.2 1.4
2.14
Monitor cycle time Check cycle time at start up and afler any process change.
••
••
03.3 1.4 An energy monitor or signature monitor 1s This requirement appties to each pcwer supply (not per ccll) .
2.14 required and shall be equ1pped with alarms set
3.16 at acceptable limrts.

03.4 1.4
2.12
Ternper Delay Time -
The maximum delay time between quenching
and tempering shall be specifred on the central
plan and monrt0<ed.
Each batch

••
1
4.0

04.1 14
tN-PROCESSIFINAL TEST FREQUENC!ES
PERcotl
lnduction pattern length 1 part at start-up, end rx productkln run,
and every 4 rours min,mum. and 1
OKINOKINA
••
••
2.15 part pre and 1 part post tool change, equipment repair, stabon alarm
(shutdCMlíl, ma~unctJOn, etc.)

04.2 1.4
2.15
T atal ar EffeclJve Case depth 1 part at start-up, end of production run, change of and 1 part per 8 hours
m,nimum, and 1 part pre and 1 part post tool change , equ1pment repair,
statioo alarm (shutdCMln, ma~unctJOn, etc.) ••
r'íC>CeSS I ao1e u jJage 1
••
••
••
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 ••
•• AIA~
The catalyst far peak performance
Special Process: Heat Treat System Assessment
CQl-9
Version 3. lssued 10/2011

••
•• PROCESS TABLE D - lnduction Heat Treating

••
Ali requlrements given below are subordlnate to customer specific requlrements .

Toe customer rnay have additional requirements, e.g., inspectlon testlng, greater frequencies, etc. When perforning the job audit, the auditor shall verify heat
treater Is conforning to the customer's requirements .

•• OK - Co111>lles to requlrement
NOK - Does not comply to requirement (Explain noncompliance in 'Related HTSA Questlon #')
NA - Requlrement not appllcable

•• ltem#

04 3
Related HTSA
Question #
1.4 Suriace hardness
Category/Process Steps

1 part at start-up, end of product1on run, and every 4 hours m1n1mum, and 1

••
215 part pre and 1 part post tool change, equipment repair, station alarm
(shutdown, ma~unction, etc.)

•• 04.4 14
2.15
Core hardness (when specified) 1 part at start-up, end of production run, and every 4 hours mínimum, and 1
part pre and 1 part post tool change, equipment repair, station alarm
(shutdown, ma~unct1on, etc.)

•• 04.5 1.4
2.15
M1crostructure shall be checked ata mínimum 1 part at start-up, end of product1on run, and 1 part per 8 hours mínimum, and
magnification of 1OOx and, 400x or above 400x 1 part pre and 1 part post tool change, equipment repair, station alarm
M1crostructural visual references shall be (shutdown. ma~unction, etc)

•• 5.0
ava1lable .

QUENCHANT AND IIOW'nON "TEST FREQUENCIES

•• D51 2.12
3.14
Polvmer Quench Media
Concentration
Cool1ng Curve Anal'f.l!S
Dailv
Every four months (complete replacement of the quench media and cleaning

••
of the quench tank 'Mthin four months satisfies th1s requirement) .

••
D5.2 2.12 Water Quench Media
3.14 Suspended sol1ds Semi-annually (complete replacement of the quench media and cleanrng of
the quench tank wrthin s1x months satisfies this requ!fement)

•• 05.3 2 12
314
Brine or Caustlc Quench Media
Concentration and/or Soecific Gravitv
Suspended solids
Da1lv
Semi-annually (complete replacement of the quench media and cleaning of

•• the quench tank wrthin six months satisf1es th1s requ!fement)

••
05.4 2 13 Rust Preventive - Soluble 011
Concentrat,on 2x /week
055 2.11 Washers
Concentration of cleaner Da1lv
Temperature of solution (required if Each shift

•• temperature is specified to be above ambient

temperature) .

••
I•
••
••
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CQl-9
Special Process: Heat Treat System Assessment AIA~ ••
••
Version 3. lssued 10/2011 The catalyst far peak performance

PROCESS TABLE E: ANNEALING / NORMALIZING / STRESS-

RELIEV/NG
••
•.• ¡
Ali requirements glven below are subordlnate to customer speclflc requlrements.

Toe customer may have addltional requlrements, e.g., lnspectlon testlng, greater frequencles, etc. When perforning the job audlt, the auditor shall verlfy heat treater Is
conforning to the customer's requlrements.

Contlnuous fumace frequencles are per lot (work order) oras specified, whlchever is more frequent.

.• 1'
OK - Compiles to requlrement
NOK - Does not comply to requirement (Explaln nonco1r4>llance in 'Related HTSA Question #')
NA - Requlrement not appllcable

ltem# Related HTSA

1,'0
Questlon #
1 1 1
Category/Process Steps

PROCESS AND TEST EQUIPMENT Rl!QUll'l&IIIENlS OK/NOl(/NA

••
E1.1

E1 .2
31
37
3.1
3.7
Ali furnaces, generators and quench systems (where applicable) shall have temperature indicating mstruments.

Continuous strip Charts and/or data loggers are required for temperature and carbon monitoring unit. e.g., dew point. oxygen probe, IR gas
analyzer. etc.
••
E1 .3

E1.4
3.2

3.2
Furnace weigh scales shall be verified quarterly and calibrated annually ata mínimum

Oew pointers. 3-gas analyzers. spectrometers. and carbon IR combusUon analyzers (shim stock analysis). used to venfy carbon potential in
furnaces, shall be calibrated annually ata mínimum. This 1s applicable when usec in controlling carbon-beanng atmospheres.
••
E1.5 3.2 Verification of calibration of spectrometers, and carbon IR combustion analyzers, shall be Checked daily or prior to use.
when used in controlling carbon-bearing atmospheres.
This is applicable
••
••
E16 3.2 Verification al calibraban of 3-gas analyzers with zero gas and span gas shall be performed weeloy ata mínimum . This is appltcable when
used in controll,ng carbon-bearing atmospheres.

E1.7 3.2 Oxygen probe controllers shall be calibrated quarterly (single-point or multi-point calibration) ar semi-annual (multi-point calibration only:
single-point calibration not allowed). This 1s applicable when used in controlling carbon-bearing atmospheres.

E1 .8

E1 .9
2.16

3.2
Ali hardness test equipment (far each scale used) shall be calibrated annually mínimum. and verified daily or prior to use. per the applicable
AST M standard. ISO standard, JIS standard, or approved standard.

Refractometers (typ,cally used to Check polymer quenchants and washer solutions) shall be verified prior to use (with distilled water) and ••
••
calibrated annually (per manufacturer's requirements) ata mínimum
2.0 PYROMETRY OKINOKl!tA

E2.1 3.2 Thermocouples and calibration ar thermocouples shall conform to Section 3.1.

E2.2

E2.3
3.3
3.2
3.3
3.2
Pyrometry lnstrumentation and Calibration shall conform to Section 3.2.

CQl-9 requires a System Accuracy Test (SAT) check ar the control thermocouple in tlle Qualified Work Zone per Section 3.3.
••
E2.4
3.3

3.4 TUS shall be performed annually and after ma¡ar rebuild per Section 3.4.
••
••
Temperature uniformity tolerance far furnaces operatmg at austenitizing temperalures shall be+/- 15ºC
ar+/- 25'F). Temoerature uniformitv tolerance far tempering furnaces shall be+/- 10'C (ar+/- 20'F).
E2.5 3.5 Reccrded temperature(s) far austentizing processes shall be controlled witllin +/. 10°C (or +/- 15'F) ar the set point as evidenced by
continuous recording pyrometers. Furnace temperature shall be controlled wrth soak times starting at tlle lowe< tolerar.ce limit (as defined

••
above).

Far Continuous Furnaces, this requirement applies to the Qualified Wark Zone.

••
••
••
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••
••
•• AIA~ Specíal Process: Heat Treat System Assessment
CQl-9

••
The catalyst far peak performance Version 3. lssued 10/2011

PROCESS TABLE E - Annealing I Normalizing / Stress-Relieving

•• AII requlrements given below are subordlnate to customer specific requlrements .

••
Toe customer may have additional requlrements, e.g., inspection testlng, greater frequencles, etc. When perforrring the job audit, the auditor shall verlfy heat treater Is
conforrring to the customer's requirements.

Contlnuous fu mace frequencles are per lot (wor1< order) oras specified, whichever Is more frequent.

•• OK - Compiles to requlrement
NOK - Does not comply to requlrement (Explaln noncompliance In 'Related HTSA Question #')
NA- Requlrement not applicable

•• ltem# Related HTSA

13.0
Questlon #
1 1 1
Category/Process Steps

••
f'ROCESa MONITOR Col1tlnuous OK/NOt( /NA

E3.1 1.4
·----·-·-·-- a.tell Fumac•
Monitor prtmary temperawre Continuous
Fumac:e
Continuous
Oenerators
Sign-olf required for each shift for generators.
2.14 cont rol instrument(s). recording w1th sign- recording with
off every 2 hours or sign-01f every 2

••
each batch far hours or each lot
processes under 2 far processes
hours Alarm u nder 2 hours)
systems (if set per Alarm systems (if
limrts in E2 5) sat1sly set per l1mits in

•• E3.2 1.4 Monitor generator

the sign-off
requirement .
E2 .5) sat,sty the
sign-off
requirement .

Generators shall be continuously morntored and alarmed. Other

•• 2.14
37
atmospheres systems. such as nrtrogen-methanol systems. may either be
continuously monitored and alarmed, ar sign-off every 2 hours.

••
•• E3.3 1.4
2. 14
Monitor primary furnace
atmosphere control(s)
Continuous
recording with si gn-
Contmuous
recordmg with

••
37 off every 2 hcurs ar s,gn-olf every 2
each batch far hours ar each lot
processes under 2 far processes
hours. Alarm under 2 hours.
systems (tf set per Alarm systems (if

••
acceptable limits) set per
satisfy the sign-011 acceptable lim1ts)
requirement. sabsly the sign-off
requirement

••
E3.4 1.4 Venfy pnmary atmosphere Daily oa,ly
2 14 control method by back-up
3.7 method
3.8
E3.5 1.4 Far salt baths: check salt Daily Daily

••
2. 14 chemistry (soluble oxides) ,n
3. 13 salt baths ar decarburizat,on
on the parts

14 Monitor time 1n fumace, Each batch Twice/shift & alter

••
E3.6
2.14 cycle time ar belt speed. any change in the
belt speed.
E3.7 1.4 Monitor load s,ze. fixturing ar Each batch Twicelshift & after
2.7 loading rateas applicable. any change in

••
loading rate .

••
•• -81-

•
 ••
CQl-9
Special Process: Heat Treat System Assessment
Version 3. lssued 10/2011
AIA~ ••
••
The catalyst far peak performance

PROCESS TABLE E -Annealing I Normalizing / Stress-Relieving

Ali requlrements glven below are subordinate to customer specific requirements. ••

Toe customer may have addltional requlrements, e.g., lnspectlon testing, greater frequencles, etc. When performing the job audlt, the auditor shall verlfy heat treater Is
conforming to the customer's requlrements.

Contlnuous fu mace frequencles are per lot (wor1< order) oras speclfied, whlchever is more frequent.
••
OK. Complles to requlrement
NOK. Ooes not comply to requlrement (Explaln noncompllance in 'Related HTSA Question #')
NA. Requlrement not appllcable ••
ltem# Related HTSA
Questlon #
1 1
Category/Process Steps
••
<I.D

E4.1 1.4
2.15
IN-PROCESSIFINAL TliST
--··-·-
Microstructure shall be
checked ata mínimum
magnification of 100x and,
Bn:hl'lqnaa

Each batch
~.. ____
Contl,-.,ous

Each production
run or each shitt
ata m1nimum.
OK/NOK/NA

••
400x or above 400x.
Microstructural visual
references shall be
ava,lable
••
E4.2

E43
14
2.15
1.4
215
Surface hardness (wtien
specified)
Core hardness (wllen
soecifiedl
SOLU110N TEST
Each batch

Each batch
Every 4 hours

Every 4 hours

··-·--
••
••
5.0 Contlnu«S OKINOKINA
'- ~---·-- Batch Fumaca
E5.1 2.13 Rust Preventlve • Soluble
Oil
Concentration 2x /week 2x /week
E5.2 2.11 Washers
Concentration of cleaner

Temperature of solution
,r
Da1ly

Each shift
Daily

Each shift
••
••
(required temperature is
specified to be above
ambient temperature).

••
••
••
••
••
••
••
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•
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•• AIA~ Specia/ Process: Heat Treat System Assessment
CQl-9

••
The catalyst far peak performance Version 3. lssued 10/2011

PROCESS TABLE F: LOW PRESSURE CARBURIZING

•• Ali requirements glven below are subordlnate to customer speclflc requlrements .

The customer may have addltlonal requlrements, e.g., lnspection testJng, greater frequencles, etc. When performlng the Job audlt, the auditor shall verlfy heat treater

••
Is conforming to the customer's requlrements .

OK - Compiles to requlrement
NOK - Does not comply to requlrement (Explaln noncompliance In 'Related HTSA Ques1ion Ir)
NA - Requlrement not appllcable

•• ltem# Related HTSA

1.0
l'.luActjon #
Category/Process Steps

PROCESII ANO TEST EQUll"MENT REQUIRl!MENTS OKINOK/NA

••
F11 31 Ali furnaces and liquid quench systems shall have ternperalure 1ndicat1ng instrumenls
37
F1.2 3.1 AII gaseous quench systems shall have pressure indicators and fan operation irx::ticators.

F1 3 3.1 Record1ng instruments are required far temperature and, hydrocart:on now and pressure

••
3.7
F1.4 3.2 Furnace we,gh scales shall be verified quarterly and callbrated annually ata mínimum

F1.5 3.2 Hydrogen sensors and carbon IR combustion analyzers used to verify carbon potential in furnaces , shall be calibrated annually ata
mínimum.

•• F1 .6

F1 .7
3.2

3.2
Venflcat ion of calibration of spectrometers and carbon IR combustion anatyzers, shall be checked daily or prior to use

Vacuum monitoring devices calibrated annually.

••
F1 8 2.16 AII hardness test equipment (far each scale used) shall be calibrated annually mínimum, and venfied daily or prior to use, per the
appl1cable ASTM standard, ISO standard, JIS standard, or apprnved standard .
F1.9 2.16 Files for testing hardness shall be verified per the Customer requirement

F1 10 32 Refractometers (typcally used to check polymer quenchants and washer solutions) shall be verified prior to use (with distilled water)

••
and certified annually per manufacturer's requirements ata mínimum .

2..0 PYROll,IETitY OKINOK/NA

F2.1 3.2 Thermocouples and ca11orat1on ar thermocouples snaíl coráorm to Section 3. 1
11

••
F2.2 3.2 Pyrometry lnstrumentation arK:I Galibration of instrumentation shall confarm to Section 3.2.
3.3
F2.3 32 CQl-9 requi res 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 atter majar rebuikl per Secllon 3 4.

•• F2 5 3.5
Temperat ure uniform ,ty tolerance for hardening and lempenng furnaces shall be+/- 10 Cor+/- 20 F
Recorded 1emperature(s) for austentizing and lempering processes shall be controlled wrthin +/- 5 Car+/- 10 F of lhe set point as
ev1denced o,' continuous recording pyrometers Fumace temperature shall be controlled with soak times starting at the lower

••
tolerance l1mit (as def1ned above) .

3.0 PROC~-- MONITOR fY- U9NCIEI OKINOKJNA

F3.1 1.4 Monitor primary temperature control instrument(s). Contlnuous record1ng with s1gn--0fl every 2 hours or each oatch far prncesses
2.14 under 2 hours Alarm systems (if set per limits in F2.5) sat,sfy the sign-off requirement
1.4 Monitor pr1mary furnace atmosphere control(s) ar hydrocarbon flov,,s. Continuous record1ng with s1gn -off every 2 hours or each batch

••
F3 2
2.14 far orocesses under 2 hours. Alarm svstems (~ set per acceptable limits) satisfv the slqn--0rr reouirement.
F3 3 1.4 Monitor pressure ,n the carburizing and gas quenching process. Continuous recording wrth sign-off every 2 hours or each batch for
2.14 processes under 2 hours (carburizing process) Continuous recording with s,gn-off each batch (quenching process). Alarm systems
(1f set per acceptable limrts) sat,sfy the sign-off requirement.

•• F3 4

F3.5
14
2.14
3.7
3.8
12
Verify prima,y atmosphere control method by back-up method by microstructural evaluahon of parts or coupon, or carbon analysis or
shim stock ar carbon bar Verification shall be daily.

Prior to production (APQP), the surface area of lhe parts sha ll be calculated and dccumented for each load configuration

•• 2.7

••
••
••
•• -83-

•
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Special Process: Heat Treat System Assessment AIA~ ••
••
Version 3. lssued 10/2011 The catalyst far peak performance

PROCESS TABLE F - Low Pressure Carburizing

AII requlrements given below are subordlnate to customer speciflc requirements.

The customer may have addltlonal requirements, e.g., inspection testlng, greater frequencles, etc. When performlng the Job audlt, the auditor shall verify heat treater ••
••
Is conforming to the customer's requirements.

OK. Complies to requlrement

NOK. Does not comply to requlrement (Explaln noncompllance in 'Relatad HTSA Questlon lf)
NA • Requlrement not appllcable

ltem# Related HTSA

F3.6
Ouestlon #
1.4
2.12
Quench Media Process Parameters • 011
Category/Process Steps

FREQUENCY ••
••
Temperature Continuous recording with aiarm system is required.

Ouench Level Daif{ check ar alarm system is required.

Agitation Daily check ar a\arm system 1s required.

F3.7 1.4 Quench Media Process Parameters - Gas

Acceptable rrethods for checking agitation are using flow sensors,
current sensors, ar pressure d1fferent1al sensors.
••
••
2.12
Pressure in the quench ceH 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

4.D
212 The maximum delay time between quenching and tempering
shall be spec1fied on the control plan and roorntored

IN.PROCE881FINAL oEST FREQUENCY OK/NOl<INA ••

F4.1

F4.2
14
215

1.4
~··
M1crostructure shall be checked ata mtnimum magnlf1cation
of 1OOx and, 400x or above 400x Microstructural visual
references shall be available
Surface hardness
Daily per fumace (may rotate cells) or any time one of the process
parameters is out of specification.

Each batch
••
F4.3

F4 4
1.4
2.15

1.4
Core hardness (when specified)

Case depth (when specif1ed)

Daíly per furnace (may rotate cells) or any tirre one of the process
parameters Is out of specification.

Da,~· per furnace (may rotate cells) or any lime one of the process
••
••
2.15 parameters is out of specification.

6.D IOUENCHANT ANO.:> ,m~u ~~

FR~\JENCY OKINOKINA
F51 212 Polvmer Quench Solution
314 Concentralion Dailv
Quenchabllity Check cooling curve. Check viscoslty ar Semi-annuall',I

F5.2

F5.3
212
3.14
2.12
titrat1on
Water Quenchlna
Sus,.,.,rded soilds
011 Quenchlnc
Semi-annuait.J ••
••
3.14 Water content, suspended solids, v,scosity, cooling curve, Sem,-annuall',I
total acid, and nash point
F5.4 2.13 Rust Preventative Solution
Concentration shall be checked when the rust preventative is 2.x / week

••
mixed in·house
F5.5 211 washers
Concentration of cleaner Dailv
Temperature of solut1on (required if temperature is specified Each sh1ft
to be above ambient temperature)

••
••
••
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••
The cata/yst far peak performance

PROCESS TABLE G: SINTER HARDENING

•• AII requirements given below are subordlnate to customer spectfic requirements .

The customer may have addltlonal requlrements, e.g., lnspection testing, greater frequoncies, cte. When performing the job audlt, the auditor shall verify heat treater is conformlng

••
to the customer's requlrements .

Continuous fumace frequencies are per lot (work order) oras specified, whichever Is more frequent

OK - Complies to requlrement

••
NOK - Does not compty to requirement (Explaln noncompliance In 'Related HTSA Question #')
NA - Reauirement not aDDlicable

ttem# Relaled HTSA Category/Process Steps

Questlon #
1.0 PROCESS ANO TESTEQUIPIENT Rl!QUIIIEME!fTS OK/NOK/NA

•• G1 1

G12
31
37

31
All fumaces, generators and quench systems shall have temperatura indicating instruments.

Contmuous stnp charts and/or data toggers are required for temperatura and carbon monitonng unit. e.g . dew point. oxygen proba, IR gas analyzer,

••
3 7 etc.

G1.3 31 Atmosphere flow meters/1nd1cators are requ1red.

G1.4 1.18 A program for fumace and generator bumout is requ1red (applies to carbon beanng atmospheres)

••
G1 .5 3.2 Dew pointers, 31,as analyzers, spectrometers, and carbon IR combustion analyzers (sh1m stock analysis). usad to verify cart>on potential 1n
fumaces, shail be calibrated annually ata mirnmum (app4ies 10 carbon bearing atmospheres) .
G1.6 3.2 Verificatson of cahbration of spectrometers, and carbon IR combusbOn anatyzers, shall be checked daily or pnor to use (applies to carbon bearing
atmospheres)
G1.7 3.2 Verification of calibraban or 3..gas analyzers with zero gas and span gas shall be performed v-.eekfy ata minimum (applies to carbon bearing

••
atmospheres) .
G18 3.2 Oxygen probe control\ers sha/J be callbrated quarterly (single-po1nt or multi-po1nt callbration) or sem1-annual (mutti-po 1nt cal1bralion only; single-po1nt
caltbration not a1towed). ThtS applies to carbon bearing atmospheres .
G1 9 2.16 AU hardness test equipment (far each scale used) shatl be calibrat&d annually m1nimum, and verified da1ly ar pnorto use, per lhe applicabie ASTM
standard, ISO standard, JIS standard, ar approved standard.

•• 2.0
G2.1

G2.2
32
3.3
3.2
PYROMETl''f
Thermocouples and calibraban or thermocoupias shaH conform to SecUon 3. 1

Pyrometry tnstrumentation and Galibratton of 1nstrument:a.tion shall conform to Secl!on 3 2.

01</NOKINA j

••
3.3
G23 32 CQl-9 requ1res a System Accuracy Test (SAT) check of the control tharmocouple in the Qualified Work Zone per Section 3.3
33

G2.4 34 TUS shall be pelformed aonually and arter majar rebuild per Section 3 4.

••
Temperatura uniformity talerance far hardening furnaces shall be -t-/-15°C (ar+/- 25ºF). Temperature unifarmity tolerance far tempering fumaces
shall be+/. 10'C (or +/- 2il"F) .
G2.5 3.5 Recordad temperature(s) far sintenng processes shall be contro!ted within +/- 1OoC (ar+/- 1SºF) of lhe set point far processes operating less than
100D°C (18300F) and +/- 20oC (+/- 35QF) far processes operating greater than 1000°C (1830ºF) as evidenced by continuous recording pyrometers .
Fumace temperature shall be oontroUed \Mth soak times starting at the lower to!erance limit (as defined above) .

•• For Continuous Fumaces, this requirement applies to the Qualified Work Zone .

••
••
••
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Specíal Process: Heat Treat System Assessment
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AIAG~ ••
••
The catalyst for peak performance

PROCESS TABLE G - Sinter Hardening

AII requirements glven below are subordlnate to customer spectfic requirements.

The customer may have additlonal requirement:s , e.g., lnspection testing, greater frequencies, etc. When performlng the job audtt, the auditor shall verify heat treater is conforming
to the customer's requlrements.
••
Contlnuous rurnace frequendes are per lot (work arder) oras spectfied , whlchever ts more frequenl

OK - Complies to requirement
NOK. Ooes not comptyto requirement (Explain noncompliance in 'Related HTSAQuestlon #')
••
••
NA - Renulrement not annllcable

ttem# Related HTSA Category/Process Steps

Ouestion #
3.0 IIMch Contlnuous ....._,,,,. C.nerotion
PROCESSMONITORFREqlJEf4CIES Ol(/NOK/NA
11..11n1aca fum•c•

••
G3.1 1.A Monitor pfimary temperature control fnstrumenl(s) Contmuous recording wnh Conunuous recording One of the three ofXÍC)ns ts required.
2.14 sign·off every 2 hours or 'Nith sign-off every 2
each batch far processes hours or each lot for (1) Record temperatu ra 2x per shift
under 2 hours. Alarm processes under 2 ar aft.er any change.
systerns (if set per hmrts ín hours). Alarm systems (W

••
G2.5) satisfy the s,gn-off set per limrts in G2.5) (2} Continuously record temperatura
requ1remenl satisfy the sign-off and s¡gn-off 2x per shift or after any
requiramenl change.

(3) Alarm system o n temperature

controller

••
G 3.2 Monitor generator atmospheres One of the lhree options ,s required.

( 1) Record va/ue(s) rep<ese.ntmg

atmosphere 2x per shift. ••
••
(2) Conhnuously record value(s)
representing atmosphere and sign-off
2x per sh1fl

(3) Alarm system on atmosphere

••
controller.

G3 3 1A Monitor pnmary furnace atmosphere control(s) Batch processes are in One of the three options

••
2.14 Flow rates vacuum fumaces tS required.
3.7
Mon itor pressure in the (1) Record value(s)
carbunzing and gas reprasenting atmosphere
quenching process. 2x par shift or after a ny
Continuous recording wrth change.

••
sign·off every 2 hours ar
each batch ror processes (2) Continuousty record
under 2 hours (carburizlng value(s) representing
process) . Cantinuous atmosphere and s)Qn -off
recording \Mth s)Qn-off 2x per shift ar after any

••
each batch (quenching change.
process)
(3) Alarm sys1em on
Alarm systems (if s.et per atmosphere controller or
acceptable limits) satisfy flowmeter.
the sign-off requirement

G34 1.4
2 14
3.7
3.8
Verify primary atmosphere control method by back-up Da,ty
method" FOR ENDOTHERMIC ATMOSPHERE
ONLY .
Qaily

••
••
••
••
••
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PROCESS TABLE G - Sinter Hardening

•• AH requlrements glven below are subordlnate to customer speciflc requirements.

The customer may have addltlonal requirements, e.g., inspection testing, greater frequencles, etc. When performlng the job audlt, the auditor shall verify heat b'e-ater Is conformlng
to the customer's requirements .

•• Contlnuous furnace frequencies are per lot (work arder) oras spectfied, whichever is more frequent.

OK - Complles to requirement
NOK - Does not compty to requlrement (Explain noncompllance In 'Retated HTSA Question #')

••
NA- Reauirement not aonUcable

llem# Relab!d HTSA CategorylProcess Steps

Cuestion #
G3.6 1.4 Quench Media Process Parameters -Oil

••
2 12 Temperatura ofwater exchange system far quench One of the three opüons is One of the threa opti:>n6
chamber (does not apply to convection systems) requ1red : ts required:

(1) Record temperature (1) Record temperatura

per batch ar 2x per sh~t 2x per shift ar after any

••
Wlichever tS more change.
frequent
(2} Continuously record
(2) Continuously record temperatura and sign-off
temperature and sign-off 2x per shift or after any
per batch or 2x per sh!ft changa.

•• wtuchever is more
frequent

(3) Alam, system on

temperatura controUer
(3) Alarm system on
lemperalure conlroller.

•• Agrtation (Fan/Blower Speed) A.larm system is required

of Ule fans
Alarm system is requ1red
to ensure proper operation to ensure proper
operation of the fans .

••
rr fan speed is variat:Me. lf fan speed is variable,
then verify fan spe ed then verify fan speed
Every Bhrs or after any Every Bhrs or after any
change. change .

••
G3 7 1.4 Quench Media Process Parameters • Gas
2 12
Pressure 1n quench vestible Mon~or each load; A!arm system is requ1rect

Fan speed or po'NElr Monitor each load; Alarm system is requ1red.

Cooling water temperature and ffow rate

••
Monitor each load. Alarm system is required.

G3.8 1.4 Momtor time in furnace , cycle time or belt speed. Each batch TWlCe/shift & after any
2 14 change in !he belt speed.

••
G3.9 1.4 Monitor IOad slze or focturing or loading rateas Each batch TWlCS/shift & after any
2.7 apl)llcable . change In loading rate

G3.10 14 Quench Delay Time • Each batch l\kll epplocálle fDr bol1

••
2.12 Quench dela y time shall be based on the time that the fUlnaatl
fumace door starts to open to !:he l!me the load is at
the bottom of the quench tank {oil) or !he start of the
gas pressure quenchmg (gas quench) .

••
4.0 IN..f'ROCUSll'INN. TUT l'Rl!QU!HCES OK/NOK/NA

G4. 1 1.4 Microstructure shall be checked ata mmimum Par custome, requirement Pe, customer
2.15 magnification of 1OOx and, 400x or above 400x. as specified in control requirement as specdíed
Microstruclural visual references shal1 be ava1Jable. plan in control P'an

•• G4.2
G4.3

G4.4
1.4
2.15
14
Mechanical Tesring (IM!en specified)
Apparent hardness

Core hardness (when s pedfied)

Each Lol
Each batch

Each batch
Each Lot
Every 4 hours

Every 4 hours

••
2. 15
G4.5 14 Microstructure Each batch 1st piece and last ptece
2.15 each lot

••
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Version 3. lssued 10/2011 The catalyst far peak performance

PROCESS TABLE H: ION NITRIDING

AJI requirements glven below are subordinate to customer specific requlrements.

The customer may have addltional requlrements, e.g., lnspection testing, greater frequendes, etc. When performing the job audit, the auditor shall verify heat treater t'S conforming to the
••
••
customer's requlrements.

Please note that the correspondlng gas nltrldlng is Table "Er and the PJasma Ion Nltrldlng ts Table "H"

OK - Complies to requirement
NOK - Does not compty to requirement (Explaln noncompliance in 'Related HTSA Questton #J

••
NA - Requirement not applicable

ltem# Related HTSA CategoryfProcess Steps

,.a ª"""""* PIIOCHSAHll"TEST EQU1-,n IIIIQUIIU!lelTS Ok l -lNA

••
H1.1 31 A.11 ve.ss.els shatl have romperature, flaw m6l.~. vac.uum gages, tmd gas ftow indlcatlng 111sttuments
3.7
H1.2 3.1 Data loggers and/or Record1ng instruments are requlrad far temperatura, pressure, amps and volts. Amps and volts are referance only. Frequency is per
3.7 customer and control plan.

HU 1 18 Vessel is to be free of contammation that may affect the proc~s.

H1.4

H1.5

H1.6
3.2

3.2

2.16
Vacuum gages are to be calibrated a mínimum of annualty

Gas ratíos controller I meten, S-hall be calibrated I verified as recommended by the manufacturar.
mixture anatyzer semi- annuaHy and cahbrated as recommended by the manufacturer
Asan option gas composrtion may be analyzed using gas

Atl harci1ess test equipment (far each scale used) shall be calibrated annual!y m1mmum, and venfted da1!y or prior to use. per the applicable ASTM standard,
••
••
ISO starMillrd., J!S standard, ar approved standard.
H1.7 2.16 Flle-s for testing hard1'1,i116ii, if usad, shaff be verified per !he Customer requirement

2.0 nK" ~,116

H2.1 3.2 Therrnocouples and calíbraOOn of thermocouples shall confom1 to Section 3 1.

••
33
H22 3.2 Pyrometry Instrumentaban and Calibration of instrumentation shall conform to Section 3.2
3.3
H2.3 3.2 Protection Tubes far thermocoupies in lhe ves.seis, if used, shall be visually checked for each batch.
33

••
H24 3.4 Temperature Uniformrty Survey (TUS) and Systems Accuracy Test (SAT) are not requtred.
In lieu of rus & SAT, Temperatura ranges shaU establíshed during preproduction tEtsling usining multiple thermocoupkIB representlng the y...of1< zone and
confirmed in the capabihty study and documented in tt,e control plan for each part.

H2.5 3.5 Temperature shall be conlrol!ed 'NÍth lhermocou~s in the load for each batch placed as practica! to represen! the extremes of the load (max and mm
temperaturas) as evldenced by recordmg.

••
H2.6 3.2 lnfrarad pyrometers s~1MI be cahbrated annualty using proper cahbration methods oran approved manufacturer's procedure.

u l"IIOCl&S IIIDHITOll ~ l'IIEQUENe"f OI< / ltOI( 1NA

H3.1 1.4 Monitor temperatura control 1nstrument(s). Eacti batch or recordlng per see H 1 2 above with sign-off &vefY 2
2.14 hours. Alarm systems sattsty the stgn-off reqwrement Conlrol

••
pran to includE! the lose of a th&nnocoupe dunng the run and. alarm
settings AJarms are to be checi<ed quarterly and alanns during the
cycle are to be documented.
H3.2 14 Monitor vessel vacuum control(s) Each batch or record1ng per see H1 2 above with s1gn-off every 2
2.14 hours Alam1 systems satisfy the sign-off reqwrement Control

••
3.7 plan to include the atann setting. Alanns are to be checked quarterty
and alarms during the cycle are to be docurnented.

H33 1.4 Pump ckJv..n of 75 microns per hour or less and leak up of 90 microns par hour or less Each Batch
2.11 are requ1red prior to inrtiating the cycle
2.12
H3.5

H3.6

40
1.4
2.14
1.4
2.7
Mon~or time 1n furnace, cycle time

Monitor load size or frxtunng as applicable.

IIM'ROCUlllfNAL TESTS
Each batch

Each batch

l'AIQUIMCY OI( I NOlt f NA ••

••
H4.1 1.4 Microstructure characteristics lllCkldmg compound zone and etched zone shan be Each Batch
215 checked. Microstructure shall be checked ata mm1mum magnrrication of 100x and,
400x or above 400x. Mícrostructural vtSual references shall be ava1!able.

H4.2 1.4 Surface hardness Each Batch

215

••
H4.3 1.4 Core hardness (when specified) Each Batch
215
H4.4 14 Case deplh (when specified) Each Batch
2 15
50 SOLIITIOllfflTS l'IIIQUIIICY OK/-/NA
H5.I 2.13 Rmt Preventive • Soluble OH

••
Concentration - when not purchased as a mfxed solutlon 2x / ....eek ar as appropriate for c!eaning the parts ar per customer
and control plan

H52 2.11 Washers

Concentration of cleaner Daí!y oras apprnpriate for cleaning the parts or per customer and

••
control plan
Temperature of ~ution (required if temperature is specifled to be above ambtent Each shlft ar as appropriate for cleaning the parts ar ¡:,er customer
tempe.rature) and control plan.

••
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The cata!yst far peak performance Version 3. lssued 10/2011

GLOSSARY

•• Glossary of Terms

•• In the context of this document, the following definitions shall apply:

Accuracy: The closeness of agreement between a measured quantity value and a true quantity value .

•• Adjustment: Set of operations carried out on a measuring system so that it provides prescribed
indications corresponding to given values of a quantity to be measured .

•• AIAG: Automotive Industry Action Group .

As Found Data: Calibration data collected prior to adjusting (see Pre Adjustment Calibration) .

•• As Left Data: Calibration data collected after any required adjustment however, these values may be the
same as the As Found Data if no adjustments were made/required (see Post Adjustment Calibration) .

•• ASTM: American Society for Testing and Materials .

Base Metal Thermocouple: Thermocouple composed primarily of base metals and their alloys .

••
Examples of more common base metal thermocouples include E, J, K, N, and T .
Bias: The intentional adjusting of a measuring device to correct for such things as; calibration error, SA T
error or skewed TUS results .

•• Calculated SAT Difference: The difference between corrected and uncorrected readings taken during an
SA T as specified in Section 3 .3 and Table 3 .3 .1 of this document.

•• Calibration: A calibration is a comparison between the values indicated by a measuring instrument,

measuring system, or measuring device and the corresponding values realized by standards or field test

••
equipment. See single-point calibration and multi-point calibration for further clarification .
As used herein, a calibration may also include verification that specified requirements, such as tolerances,
performance, or other decision criteria have been met. Calibration may also include actions to take when

•• requirements have not been met.

Capability: The total range of inherent variation in a stable process .

•• Carbon Restoration: A heat treat atmosphere process with the proper carbon potential that will restore
the surface of the steel to the proper carbon con ten t. It is usually performed on raw material that has

••
decarburization at the surface. This is not to be used as a re-processing process .
Continuous Furnace: Any fumace where product is conveyed continuously from the charge end to the
discharge end, by way of example this would include continuous belt and pusher fumaces .

•• Control Instrument: A device that operates automatically to regulate a controlled variable. Where the
variable to be controlled is the temperature of process equipment the device is typically connected to a

•• thermocouple. The process equipment would include ovens, fumaces, quench baths, and refrigeration
equipment. The device may or may not also record temperature .
Control Plans: Written descriptions of the system for controlling processes for production of parts or

•• bulk materials. Control Plans are written by organizations to address the important characteristics and
engineering requirements of the process and product. Each part shall have a Control Plan, but in many

••
cases, "family" Control Plans may apply to a number of parts produced using a common process .

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Version 3. lssued 10/2011 The catalyst far peak performance

Control Thermocouple: A thermocouple connected to the temperature control instrument of the process
equipment.
Control Zone: That portion of the working zone in thermal processing equipment having a separate
control thermocouple, control instrument and heat input/output device to control its temperature.
••
Controlled Temperature Liquid Bath: Thermal processing equipment containing a liquid that is heated
to the desired temperature. Product is normally immersed in the liquid.
••
Corrected Reading: Data that has been adjusted to compensate for known error in the test equipment
and/or test sensor(s) either by electronic methods or mathematical correction. Corrected data. ••
Corrected Temperature: See Corrected Reading.
Correction Factor: The number of degrees determined from the most recent calibration that is added to ••
the temperature reading of a thermocouple, oran instrument ora combination thereof (system) to obtain
true temperature.
In the context ofthis documenta correction factor is the algebraic opposite of error/deviation (e.g. +2.0ºC
••
of error/deviation will result in a correction factor of -2.0ºC).
Critical Spare Parts List: A list of service parts critica! for the operation of equipment. Extended de lay
••
in obtaining spare parts would result in unacceptable delays in the heat treat option.
Cross-Functional Team: A team of employees that represent the different functions within an ••
organization. The team will typically consist of an operator, line supervision, process engineer,
metallurgist, and quality personnel.
Customer: The recipient of the organization's or supplier's productor service.
••
Customer Requirements: This term refers to the requirements or specifications from the original
equipment manufacturer (typically the automobile company). These may be identified in the contract or ••
purchase order, in engineering standards, part specifications, etc.
Cycling: A periodic repeated variation in a controlled variable or process action. See Temperature ••
Pattem.
Deviation: In the context of this document, the difference between the uncorrected indicated temperature
and the true temperature. See Error.
••
Degradation: The gradual shift of an attribute or operating characteristic that may lead to a point where
the device can no longer fulfill its intended purpose. The degradation of thermocouples for example, is
••
commonly accelerated by their unprotected exposure to atmospheres typically found in industrial process
applications (e.g. lack of protection tube where one is required ora damaged protection tube, etc.). ••
••
Dew Pointer: A meter especially suited for measuring the dew point of carbon-bearing atmospheres.
Dew point is used to indirectly determine the carbon potential of the atmosphere.
Digital Instrumentation: An instrument that displays or presents the values of process variable
measurements in a digitized form.
Energy Monitor: An electronic monitor that measures and displays the actual energy delivered to the ••
induction heating coi!.
Error: In process instrumentation, the algebraic difference between the indication and the true value of ••
••
the measured signa!.

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•• The catafyst for peak performance

Special Process: Heat Treat System Assessment
Version 3. lssued 10/2011

•• Equilibrium: A state of balance. In the context of SAT testing, equilibrium is recognized when the
control thermocouple and the test thermocouple have achieved the same relative constant temperature and
exhibit similar cycling characteristics .

•• Expendable Thermocouples: Thermocouple wire typically insulated with ceramic fiber cloth, glass
braid, or polyvinyl materials. Most commonly provided on spools .

•• Externa( Offset/Bias: The intentional adjusting of a measuring device through manually entered set
point changes (see bias) .

•• Field Test Instrument: A portable measurement standard that meets ali the requirements of Table 2.1
and is used routinely to calibrate control, monitoring and recoding instruments found on thermal
processing equipment. It is also used in the performance of SAT's and TUS's .

•• Final Value: See As-Left Data .

Fluidized Bed Furnace: A furnace that contains a dynamic mixture of a gas and/or vapor and minute

•• solid particles of such a size that the mixture resembles a fluid in motion. Product is normally immersed
in the fluidized medium .

•• Fu mace: Equipment used for the thermal processing of materials and parts .
Furnace Modifications: Actions taken that change the fumace from its original documented state .
Examples of fumace modifications that could alter the temperature uniformity characteristics of the

•• fumace and shal\ require an additional TUS would include:

o Increase in the maximum qualified operating temperature

•• o
o
Decrease in the minimum qualified operating temperature
Change in bumer size, number, type or location

•• o
o
Change in heating element number, type or location
Changes to airflow (baffle positions, fan speed, fan quantity, etc.)

••
o Change of refractory thickness
o New refractory with different thermal properties
o Change of vacuum fumace hot zone design or materials

•• o
o
Change of control sensor location
Change of combustion pressure settings from original settings

•• o
o
Temperature control scheme changes (proportional vs. high-low/on-off)
Changes in temperature control tuning constants

•• o
o
Work zone volume increase covering area not previously tested
Work zone location change covering area not previously tested

•• Fu mace Monitoring Systems: A system that monitors the operation of the furnace .
Furnace Repairs: Maintenance actions that restore the fumace to its original documented condition. If
repairs are not expected to impact the temperature uniformity characteristics of the fumace an additional

•• TUS shall not be required .

Examples of fumace repairs that would not require an additional TUS would include:

•• o
o
Replacing a bumer with an identical burner
Replaciog a heating element with an identica\ heating element

•• o Refractory repair using material with identical thermal properties

••
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The catalyst for peak performance

o Replacing a control thermocouple without changing its documented location

o

o
Replacing heating system components (gas regulator, valve, metering device, etc.)
with identical components and settings
Restoring original documented combustion pressure settings
••
o
o
Restoring original documented control tuning constants
Replacing a controller with an identical controller with the same tuning constants ••
o
o
System accuracy test failures
Correction of fumace pressure control problem ••
o Repair of fumace <loor seals
Heat Sink: A mass of material intended to represent simulated product and shall posses the highest
thermal conductivity / heat transfer characteristics of the material predominantly processed in the fumace
••
under test.
Heat Treater: An organization that performs heat treating to production and/or service parts. The heat
••
treating may be interna! or "captive" to a manufacturing organization, or a separate commercial heat
treating supplier. ••
••
HTSA: Heat Treat System Assessment.
Initial Value: See As-Found Data.
Internal Offset/Bias: The intentional adjusting of a measuring device through electronic or software
means (see bias).
••
••
Interpolation: Determining correction factor values for points between the highest calibration
temperature and the lowest calibration temperature.
IR: Infrared.
Laboratory Furnace: A fumace used solely for determining response to heat treatment as required by
material specifications. ••
Load Sensors: Thermocouples that supply the temperature of the production material to control,
monitoring, recording, or field test instruments. These thermocouples may be attached to, inserted into or
buried in the production material or a representation of the production material.
••
Measurand: The quantity intended to be measured.
Measuring Junction: The electrical connection between the two legs of a thermocouple, typically
••
twisted or welded, that is immersed in the medium whose temperature is to be measured. Also called the
hot junction. ••
Monitor: To observe or measure the status or quantity of something continuously or at regular intervals
so that corrections to a process or condition may be made without delay if the quantity varíes outside of
prescribed or desired limits. Objective evidence shall be provided to support this activity.
••
Monitoring Instrument: An instrument used to measure or sense the status or magnitude of one or more
process variables for the purpose of obtaining useful information. In the context of this document
••
examples would include analyzers, indicators, alarms, or limits.
Monitoring Sensor: A sensor connected to a monitoring instrument. ••
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Multi-point Calibration: A calibration performed by sourcing (as opposed to measuring) simulated

••
signals at multiple test points. Signals from a standard or field test instrumentare sourced to a measuring
instrument, measuring system, or measuring device that represent the low, mid and high points of the
range of the measuring instrument, system, or device being ca\ibrated. See Calibration. A diagram

•• representing a typical multi-point ca\ibration is given below .

•• Control
Thermocouple
Multi-Point Calibration
of Control lnstrument

••
•• Source (input)
Calibrated Signa! to
CALIBRATION IS
DONE WITH EMPTV

•• Control lnstrument FURNACE

•• Control

•• lnstrument

••
•• Noble Metal Thermocouple: A thermocouple whose elements are made of platinum or platinum-
rhodium and their alloys (Types B, R, and S) .

•• Nonconforming Product: Product that does not conform to the customer requirements .
Nonexpendable Thermocouples: Thermocouples with ceramic insulators over bare thermocouple wire

•• or thermocouple wires placed in a magnesium oxide mineral insulation and encased in a metal covering
(MgO) .

•• Observation: The actor practice of noting and recording sorne fact or event, often involving the
measurement of sorne quantity with suitable instruments .

•• Off Set: See bias .

Over-Temperature Instrumentation: Temperature instrumentation installed in a fumace to monitor
and detect when a safe operating temperature is exceeded. Its purpose is to prevent fire hazards, loss of

•• equipment and damage to materials being processed .

Oxidizing Burn-Out: A process to remove any residual ammonia from the fumace. The process usually

•• involves removing most of the carbon -bearing protective atmosphere and then introducing oxygen .
Oxygen Probe: An in-si tu measuring probe that determines the partía] pressure of oxygen in carbon-

••
bearing atmospheres. This measurement provides an indirect measurement for the carbon poten tia\ of the
atmosphere .

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Pack Density: Product mass represented by a specific area or volume of the work zone. Changes to pack
density may impact temperature uniformity characteristics. ••
Parts Heat Treatment: Heating or cooling a specific metal or alloy in an effort to obtain specific
physical or mechanica\ properties by a source other than the raw material producer.
Post-Adjustment Calibration: A comparison between the values indicated by a measuring instrument
••
or measuring system and the corresponding values realized by standards or field test equipment after
adjustments have been made in an attempt to eliminate or minimize error. The calculated difference in ••
these values represents as-left data.
Pre-Adjustment Calibration: A comparison between the values indicated by a measuring instrument or
measuring system and the corresponding values realized by standards or field test equipment before any
••
adjustments are made. The calculated difference in these values represents the as-found data.
Preventive Maintenance Program or PM Program: A maintenance program specifically intended to ••
prevent faults from occurring. A sound PM program shall also contain elements of a predictive nature
whereby items having a potential to adversely affect fumace temperature uniformity, efficiency and/or
quality are documented and resolved. The frequency of PM checks is established based upon experience
••
and/or the equipment manufacturer's recommendations.
Primary Standard Thermocouple: A test thermocouple meeting the requirements established in Table ••
3.1.2 for a primary standard thermocouple with ca!ibration directly traceable to the NIST or other national
institute for calibration.
Primary Standard: A measurement standard established through calibration with respect to a
••
Reference Standard for a quantity of the same kind and meeting the requirements of Table 3.2.1.
Typically used for the calibration of Secondary Standard instruments or Field Test instruments. ••
Process Record: Data collected by a recording instrument to permanently document the value of a
process variable. This data may be in electronic or hardcopy format and presented in a tabular or graphic
arrangement.
••
Process Tables: Tables in the HTSA that list the required process controls for the heat treat processes
covered. These tables contain mínimum requirements. ••
Product Properties: Product characteristics affected by heat treat (hardness, microstructure and case
depth, etc.). ••
Qualified Operating Temperature Range: The temperature range in which a fumace is qualified to
process material based upon temperature uniformity survey test results confirming compliance with
Process Table requirements.
••
Qualified Work Zone: The defined portion of a fumace volume where carbon potential and/or
temperature variation determine the final properties of the part. The temperature variation shall conform ••
to the applicable Process Table temperature uniformity requirement.
Quenchability Check: A measure of the cooling dynamics of the quench media. A quenchometer is the
inspection machine that displays the cooling curve of the quench media.
••
Quench Dela y: The time de lay between the end of the heat treat cycle and the start of the quench
operation. For fumace heat treating, this is the total time elapsed from the start of the fumace door(s)
••
opening until the parts are at the bottom of the quench tank. For induction hardening systems, this is the
time from the end of the heat cycle to the start of the quench flow (or when the parts enter a quench
system).
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Quench System: A system facilitating the rapid cooling of heat treated product.

•• Quenching: Rapid cooling .

Quenching Medium: The medium used to quench parts after heat treating, e.g., air, oil, polymer, and

•• water .
Readability: The smallest value that can be read on a scale or displayed on an instrument (least
significant digit) .

•• Recipe: This term is typically used when a computer-based system sets and controls the process
parameters, e.g., temperature, cycle time, carbon potential. The 'recipe' refers to the settings of the

•• process parameters .
Recording Instrument: An instrument used to collect and document in a permanent process record the

•• value of one or more process variables. The recording instrument may be connected to a control,
monitoring, load or recording thermocouple. Examples of a recording instrument would include chart
recorders, video graphic recorders, or data acquisition systems .

•• Recording Thermocouple: A thermocouple that is connected to a recording instrument.

Reference Standard: A measurement standard designated for the calibration of other measurement

•• standards for quantities ofthe same kind and meeting the requirements ofTable 3.2.1. Typically used for
the calibration of Primary Standard instruments .

•• Resident Thermocouple: A thermocouple that is not removed from its test location between system
accuracy tests utilizing the Comparative Method. The resident thermocouple is read with a Field Test
instrument and shall meet the requirements of Section 3.3.4.3 and Table 3.3.1.

•• Resolution: The smallest difference between indications of a displaying device that can be meaningfully
distinguished .

•• Reprocessing: Any process that is performed on nonconforming product so that it will meet the
specified requirements .

••
Responsibility Matrix: A responsibility matrix defines the designated personnel for ali key functions .
This matrix includes the primary and secondary designees .
Retort Furnace: A fumace that employs a retort or muffle in which the product being heat treated is

•• contained .
Salt Bath Furnace: A fumace utilizing molten saltas the heat medium .

•• SA T Difference Calculations: See Calculated SAT Difference .

Secondary Standard: A measurement standard established through calibration with respect to a Primary

•• Standard for a quantity of the same kind and meeting the requirements of Table 3.2.1. Typically used for
the calibration of Field Test instruments .

•• Secondary Standard Thermocouple: A test thermocouple meeting the requirements established in

Table 3.1.2 for a secondary standard thermocouple with calibration directly traceable to the NIST or other
national institute for calibration .

•• Semi-Continuous Furnace: A fumace where product is conveyed at regular time intervals from the
charge end to the discharge end. By way of example this would include pusher type fumaces .

•• Shop Traveler: A document usually created in the receiving department for each batch or lot of parts
received. The document defines the process routing of the parts .

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Signature Monitor: An electronic monitor used to monitor induction heat treating systems. The monitor ••
plots the energy unit, e.g., voltage or kilowatt, vs. time or distance.
••
Sigo-off: An initial, name, or other suitable indication confirming that an event was observed and/or
reviewed and approved.
••
Single-point Calibration: A calibration performed by measuring (as opposed to sourcing) a signa) ata
single test point. A signa) representing a typical operating temperature or other typical process variable is
measured simultaneously by the measuring instrument, measuring system, or measuring device, and a ••
standard or field test instrument. See Ca\ibration. A diagram representing a typical single-point
calibration is given below.
••
1-Point Calibration of ••
••
Control Control lnstrument
Thermocouple
CAN BE PERFORMED WITH
LOADED FURNACE. ••
Test
lnstrument
Method ensures Control
lnstrument is interpreting ••
D voltage signal correctly. Method
has been successfully used in
USA over 30 years
••
Measure t/c signal at
••
control input terminals
Control
lnstrument
••
••
Soak Time: The total time elapsed during a single uninterrupted, continuous soak period that concludes ••
at the completion of the process cycle.
Soak Period: The span of time during which all Temperature Uniformity Survey (TUS) test
thermocouples and the associated fumace temperature thermocouples are within the TUS tolerance values
••
established in the applicable Process Table.
By definition, none of the thermocouples can reside outside of these established tolerance values during
••
the soak period.
The soak period begins as soon as all thermocouples are within the TUS tolerance values established in ••
••
the applicable Process Table and concludes at the completion of the process cycle or when any
thermocouple falls below the lower tolerance leve) or exceeds the upper tolerance level established in the
applicable Process Table.

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Special Characteristics: Product characteristics or manufacturing process parameters that can affect

••
safety or compl iance with regulations, fit, functions, performance, or subsequent processing of product.
Refer to customer-specific requirements .
Stabilization: In the context of TUS testing, the condition wherein ali control thermocouples and TUS

•• test thermocouples are within the allowable TUS tolerance span as indicated in the appropriate Process
Table and the controllers are cyc\ing and/or maintaining the set temperature in each zone .

•• In addition, for unloaded fumaces, no TUS test thermocouple may exhibit a continuous upward or
downward temperature trend .

••
For loaded fumaces sorne TUS thermocouples may exhibit a slow rise in temperature toward the set
temperature. Provided this rise in temperature does not continue beyond the set temperature this rise in
temperature of TUS thermocouples towards the set temperature meets the requirements for stabilization .

•• System Accuracy Test (SA T): An on-site, in-si tu comparison of temperatme values generated by a
control thermocouple against those temperature values generated by a system accuracy test thermocouple
or other permanently installed thermocouple in the same fumace zone in accordance with the

•• requirements and methods established in Section 3.3 .

System Accuracy Test (SAT) Thermocouple: A thermocouple used in the performance of system

•• accuracy testing and meeting the requirements of Table 3 .1.3 .

Temperature Controller: The instrument used to control the temperature within a fumace zone .

•• Temperature Pattern: A periodic repeated temperature variation within the thermal processing
equipment. See Cycling .

•• Temperature Uniformity: The temperature variation within the qualified fumace work zone in
relationship to set point temperature. For retort fumaces where a thermocouple in the retort is used to
control temperature, the temperature variation is with respect to the thermocouple in the retort and not to

•• the fumace set temperature .

Temperature Uniformity Survey (TUS) Thermocouple: A thermocouple used in the performance of

••
temperature uniformity survey testing and meeting the requirements ofTable 3.1.3 .
Temper DeJay: The time delay form when the parts exit the quench tank to the time when the parts are
placed in the tempering fumace .

•• Thermal Processing: Any process in which product is subjected to controlled temperatures for the
purpose of altering structural and/or mechanical characteristics impacting the final properties or condition

•• of the product.
Thermocouple: A sensor used for measuring temperature consisting of two dissimilar metals which

••
produce an electromotive force (EMF) roughly proportional to the temperature difference between their
hot and cold junction ends .
3 (Three) Gas Analyzer: An instrument that measures carbon monoxide, carbon dioxide, and methane

•• in carbon-bearing atmospheres. This measurement provided an indirect measurement of the carbon

poten ti al of the atmosphere .

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Three-Valve Fail-Safe Vent (for ammonia lines): An arrangement of three val ves that prevents

••
ammonia from inadvertently entering the fumace during carburizing or neutral hardening operations. The
valves are arranged in such a way that, when the ammonia Iine to the fumace is shut off, any ammonia
that might leak past the valve is vented to the atmosphere and thus prevented from entering the fumace.

__,,-- Vent Vent

••
/
e
....---3
~,
Valve3

"' --t--tla---L-----i-1-

Valve 1 V atve2 ~
_.... 3
-<
~
........
e

. '
Vatve1
Valve3

•
Vatve 2
••
••
••
Figure 1 - Valves 1 and 2 are Figure 2 - Vatves 1 and 2 are closed
opened to allow ammonia flow to prevent ammonia flowto furnace.
into the furnace. lf Valve 2 inactvertently Jeaks.
ammonia is vented (Valve 3) to the
atmosphere

••
Traceable (or Traceability): The ability to relate measurement results through an unbroken chain of
calibration to NIST or equivalent agencies in countries outside the United States.
••
Trap Points: Areas in containers (baskets, fixtures, shipping boxes, etc.) or any equipment that may
inadvertently trap parts, allowing the potential for parts to be mixed between batches. ••
Uncorrected Reading: Data that has not been adjusted to compensate for known error in the test
equipment and/or test sensor(s). Uncorrected data. ••
Use (of a thermocouple): One cycle of heating and cooling a thermocouple. For an SAT test
thermocouple a "use" would be one cycle of heating and cooling the thermocouple in an amount greater
than the normal control cycling around the set point temperature. For a TUS test sensor a "use" would be
••
one cycle of heating and cooling the thermocouple in an amount greater than the normal cycling of the
furnace temperature uniformity. For Load Sensing thermocouples a "use" is one furnace load cycle. ••
Verification: Providing of objective evidence that a given item fulfils specified requirements.
Work Instructions: Instructions that describe work conducted in one function in a company, e.g., setup,
inspections, heat treat operations, process parameter tolerances, etc. The term "work instructions" is
••
synonymous with the term "job instructions".
Zone: A defined portion of a furnace volume where product is processed.
••
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•• I MAINTENANCE REQUEST FORM

•• Name of Submitter:

Company:
Date:

•• Company Address:

••
Phone: Fax: E-mail:

MAINTENANCE REQUEST

•• Page Number of Change:

••
Document Currently Reads:

•• Recommended Changes/Should Read:

•• Reason for Change (Use additional sheets if necessary):

••
•• Signature of Submitter:

•• DISPOSITION (AIAG USE ONLY)

Manager's Recommendation:

••
•• Final Disposition:

••
••
Comments:

•• Note: Complete form and return to the AIAG Publication Specialist for consideration.
Automotive lndustry Action Group • 26200 Lahser Road • Suite 200 • Southfield, MI 48033

•• Telephone: (248) 358-3570 • eMail: Quality@aiag.org

Web: www.aiag.org

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