cqi-9 2016.xlsx - state heat treating · pdf fileautomotive indusiry action group cqi-9...

Special Process: Heat Treat System Assessment

Facility Name: STATE HEAT TREATING Address: 520 32ND ST. SE. GRAND RAPIDS, MICHIGAN 49548

Number 616-243-0178 Type(s) of Thermal Processing at this Facility: Fax Number: 616-243-6337 Process Table A - Ferrous

Carburizing X Number of Heat Treat Employees at this Facility: 20 Carbonitridi~ X

Carbon Correction X Captive Heat Treater N Neutral Hardening X I(Y/N):

Quench & Temper X Commercial Heat Y Tempering X Treater

Precipitation Hardening I Aging X Date of Assessment: Nov-17

Date of Previous Dec-16 Assessment:

Process Table c- Aluminum

Aluminum Heat Treat X

Process Table E Annealing X Normalizing X Stress-Relieving X

I

Current Quality ISO 9001:2008 REGISTRATION Certification(s): Date of Re-assessment (if necessary):

Personnel Contacted: Name: Title: Phone: Email:

PAUL MEENGS V.P. OF OPERATIONS 616-243-0178 I [email protected]

Jesse Massengill President 865-567 -1697 I [email protected]

Auditorsl Assessors: Name: . Company: Phone: Email; '

Brad Bukowski AMR 616-240-5542 [email protected]

Nl,lmber of "Not Satisfactory" Findings: 0

Number of "Needs Immediate Action" Findings: 0

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

Automotive Indusiry Action Group

CQI-9 Special Process: Heat Treat System Assessment

Version 2, Issue 8/07

Section 4 - Job Audit

Job Identity: Customer: Landscape Forms Inc.

Shop Order Number: -.::3::;:9..:,4"'16;:-:6::-:--:=-:-=-::::-________________________ _ Part Number: CL TABLE LEGS

Part Description: -;T.;;A.:::B;:L:.::E:....:L;:.:E::..;G;:...S=--_________________________ _ Material: -::1"'0::--4"'5:-::-::-____________________________ _

Heat Treat Requirements: RC45-50

Related Customer or Internal Job (Shop) Order or

Actual Condition Pass 1 Fail Question # Job Audit Question

HTSA Question # Requirement Reference Documentation

(Objective Evidence) 1 N/A Requirement

4.1 Are contract review, advance 1.2 Quality planning, FMEA, control 1.3 plans , etc., performed by qualified 1.4 Customer requirment N/A YESC.P.W. P

individuals? 1.17

4.2 Does the heat treat facility have the 1.5

customer specifications for the Customer requirment N/A YES C.P.w. P part?

4.3 Is a shop traveler created to meet 1.6

customer requirements? 2.1 Customer reQuirment Work order Job #394166 copy attached P

4.4 Is material identification (part 2.2 numbers, lot numbers, heat 2.3 Information comes from

Incoming paperwork numbers, contract numbers, etc.) 2.4 incoming paperwork and put P maintained throughout the heat on work order.

attached

treat process? 4.5 Is there documented evidence of 2.1

Internal Requirement Received 4/20/17 , Job# Incoming paperwork

P ReceivinQ Inspection? 394166 CPS #350 attached

4.6 1.6 racking instruction Are the Loading 1 Racking 2.7 Internal Requirement RI-488 attached , Job #394166 p requirements identified? 2.9 attached as well

4.7 Is the proper recipe or process 1.5 specification (cycle times, 1.6 ,

temperature, atmosphere, etc.) 2.1 Rack, harden, wash , temper.

used? Refer to Process Tables , 2.14 Customer requirment Requirements are located at Work order attached. P i

Section 3.0, for specific 2.15 bottom of work order

parameters . List parameters that were verified in this audit in the spaces provided below.

Automotive IndUStry Action Group





Shop Order Number: -,;3::;:9...:,4""16::-:6:-:-:=-:-==-________________________ _ Part Number: CL TABLE LEGS

Part Description: ....:T.:"A,;::B'='L=E:....:L=.:E::.,;G=-S=--_________________________ _ Material: -::1,.:,0,..:.45"=-=-___________________________ _

Heat Treat Requirements: RC45-50

Related Customer or Intemal Job (Shop) Order or

Actual Condition Pass I Fail Question # Job Audit Question

' HTSA Question # Requirement Reference Documentation

(Objective Evidence) I N/A Requirement

4.8 What are the product inspection 2.15 I I

requirements? , I

4.8.1 Requirement: (1) Customer requirment RC 45-50

Print and work order P i

attached I

Test Method: Rcockwell Test frequency or quantity: 3pcs per order Selection of samples: Random Specification: RC45-50

4,8.2 Requirement: (2) Test Method: ,

Test frequency or quantity: Selection of samples: Specification:

4.8.3 Requirement: (3) . Test Method: Test frequency or quantity: Selection of samples: Specification:

4.8.4 Requirement: (4) Test Method: Test frequency or quantity: Selection of samples:

Automotive IndUS'Try Action Group




Job Identity: Customer: Landscape Forms Inc,

Shop Order Number: ..:::3,;:.94..:,1::-:6:..:6~:-:-::=-=:--_______________________ _ Part Number: CL TABLE LEGS

Part Description: -:T.;,.A"'B'='L""E;,..;L:;;;E:;";G:;,,.S""---_________________________ _ Material: 1045

Heat Treat Requirements: -::R~C::"4::::5~-5;:-;O:------------------------------


Actual Condition Pass I Fail! Question # Job Audit Question Reference Documentation HTSA Question # Requirement

Requirement (Objective Evidence) I N/A

----Specification:

AUTomOTive Indu:.;rry Action Group





Shop Order Number: -;3~9....:4~16~6~=-:-=~ ________________________ _ Part Number: CL TABLE LEGS

Part Description : ....:T-=:A.::B::,::L:::E:...;L:::E::..:G:::;S:::..... _________ ________________ _ Material: 1045

Heat Treat Reauirements: -:R:=C:,:4~5:---=5::-0------------------------------


Actual Condition Pass / Fail Question # Job Audit Question HTSA Question # Requirement

Reference Documentation (Objective Evidence) / N/A

Requirement 'Operator' or Inspector Responsibilities " ~

4.9 Were appropriate process steps 1.4 signed off? 2.2

Internal requirment Job #394166 yes and work order

P 2.3 attached

2.14 4.10 Were all inspection steps, as 1.2

yes and work order documented in the control plan 1.4 Job #394166 P performed?

attached

4.11 1.2

Were steps/operations performed 1.4

that were not documented in the 1.6

No P control plan?

4.12 If additional steps were performed, 1.2 were they authorized? 1.4

1.6 No P 1.11 1.17

4.13 Does the governing speCification 1.11

allow reprocessing or rework? No P

4.14 If the order was certified, did the 2.14

certification accurately reflect the 2.15 N/A process performed?

4.15 Was the certification signed by an 1.17

authorized individual? N/A

4.16 Are the parts and containers free of 2.6 inappropriate objects or 2.11 Internal requirment Visual Inspection

yes and work order P

contamination? attached, and signed off

Automotive Indu31ry Action Group


Version 2. Issue 8/07



ShopOrderNumber:~3~9~4~16~6~~==~ ________________________________________________ ___ Part Number: CL TABLE LEGS

Part Description: -:T-';:A,;:;:B';:'L;,;:E:..,;L::,:E::.,;G::,.S"----__________________________________________________ ___ Material: 1 045

Heat Treat ReQuirements: -::R~C::"4:":5:--5=-:0::---------------------------------------------------------


Actual Condition Pass I Fail Question # Job Audit Question


. (Objective Evidence) IN/A ReQuirement

J.

Packaging Requirements , 1110 . , , / '

4.17 Are packaging requirements 2.9 Customer requirment Yes , Job#394166 3 skids P

identified?

4.18 2.9 Are parts packaged to minimize mixed parts (for example, parts Yes, Job#394166 Visual, skid banded P packed over height of container)?

- - •. Shipping Requirements. - . . -

4.19 Were the parts properly identified? 2.3 Yes, visual inspection and work order Job#394166 2.9 dock audits attached

p

Were the containers properly 2.3 Yes Job 394166 and CSP Yes, all attached P

4.20 labeled? 2.9

Automot!ve Indu51ry Action Group




Job Identitv: Customer: Freedom MFG

ShopOrderNumber:~3~9~4~3674~~ ____________________________________________________ __ Part Number: 012010156

Part Description: ~S':7H7:0:::E;:-;:P::':I;-;N=--------------------------------

Material: ..,:1::=;2::=L'=14-=--=--::-:-:--___________________________ __ Heat Treat Requirements: RC 50 MIN

Related Customer or Internal Job (Shop) Order or Actual Condition Pass 1 Fail Question # Job Audit Question


(Objective Evidence) 1 N/A Requirement 4.1 Are contract review, advance 1.2

quality planning , FMEA, control 1.3 plans, etc., performed by qualified 1.4 Customer requirment N/A YES C.P.W P

individuals? 1.17

4.2 Does the heat treat facility have the 1.5

customer specifications for the Customer requirment N/A YESC.P.W P part?

4.3 Is a shop traveler created to meet 1.6

customer requirements? 2.1 Customer requirment Work order Job #394364 Copy attached P

4.4 Is material identification (part 2.2 numbers, lot numbers, heat 2.3 All information comes from Work order#394364 numbers, contract numbers , etc.) 2.4 incoming paperowrk and put attached. Information is P maintained throughout the heat on Work order Job #394364 on work order. treat process?

4.5 Is there documented evidence of 2.1 Internal Requirement

Received 4/26/17 Work order Incoming paperwork P Receiving Inspection? Job# 394364 attached

4.6 1.6 Are the Loading 1 Racking 2.7 Internal Requirement Work order attached. No Work order attached, no requirements identified? requirements racking needed.

p 2.9

4.7 Is the proper recipe or process 1.5 specification (cycle times, 1.6 temperature, atmosphere, etc.) 2.1 Hareden, wash, mount used? Refer to Process Tables, 2.14

Customer requirment sample, temper. Work order attached P Section 3.0, for specific 2.15 Requirements arte located on

parameters. List parameters that bottom of work order were verified in this audit in the spaces provided belQw.

Automofive Indusrry Action G roup




Job Identity: Customer: Freedom MFG

ShopOrderNumber:~3~94~37674~~ ____________________________________________________ __ Part Number: -;D~1:;::2;.;O::-:1 O=1:.;:5~6 __________________________________________________ _

Part Description: "'"S""H,:..:O""E7-'-P.:..:IN-'----____________________________________________________ _ Material: 12L 14

Heat Treat Requirements: -::R::::::C:,c:.:.50=-=-M'""IN:-:------------------------------------------------------


Actual Condition Pass I Fail Question # Job Audit Question HTSA Question # Requirement

Reference Documentation . (Objective Evidence) I N/A

Requirement

4.8 What are the product inspection 2.15 requirements?

4.8.1 Requirement: (1) Customer requirment RC50 MIN

Print and worker P

attached Test Method: Rockwell Test frequency or quantity: 3pcs per order Selection of samples: Random Specification: RC50 MIN

4.8.2 Requirement: (2) Test Method: Test frequency or quantity: Selection of samples: Specification:

4.8.3 Requirement: (3) Test Method: Test frequency or Quantity: Selection of samples: Specification:

4.8.4 Requirement: (4) Test Method: Test frequency or quantity: Selection ofSill1lPJe~ ___

Autcmotive IndusTry Action Group





Shop Order Number: -;:3:=;9:;;43.;;-6';-4;;-;-;=-__________________________ _ Part Number: 012010156

Part Description:-::S~H7::0::':E=-=P':-iIN~---------------------------

Material: 12L 14 Heat Treat Requirements: -;:R::::C~5~0~M~IN:-:----------------------------


Actual Condition Pass I Fail Question # Job Audit Question HTSA Question # Requirement

Reference Documentation (Objective Evidence) IN/A

Requirement Specification:

Aufomotive IndusTry Action Group





Shop Order Number: -:3:,::9""4,:::36:;-4:':7.;-;;-__________________________ _ Part Number: 012010156

Part Description: -:S~H':':O~E:::-::P::-:IN~---------------------------

Material: -:1:::2==L:.,:174....,...""...,... ____________________________ _ Heat Treat Requirements: RC 50 MIN


Actual Condition Pass / Fail Question # Job Audit Question Reference Documentation

HTSA Question # Requirement Requirement

(Objective Evidence) / N/A

bperator or Inspector Responsibilities 4.9 Were appropriate process steps 1.4

signed off? 2.2 Internal requirment Job #394364

Yes, work order P

2.3 attached 2.14

4.10 Were all inspection steps, as 1.2 Yes, work order

documented in the control plan 1.4 Job #394364 attached

P I performed?

4.11 1.2

Were steps/operations performed 1.4

I that were not documented in the

1.6 No P

control plan?

4.12 If additional steps were performed, 1.2 were they authorized? 1.4

1.6 No P 1.11 1.17

4.13 Does the governing specification 1.11

allow reprocessing or rework? No P

4.14 If the order was certified , did the 2.14

certification accurately reflect the 2.15 N/A process performed?

4.15 Was the certification signed by an 1.17

authorized individual? N/A

4.16 Are the parts and containers free of 2.6 inappropriate objects or 2.11 Internal requirment Visual inspection

Yes, work order p contamination? attached

-_ . - -- ---

Automotive Industry Action Group





Shop Order Number: ~3:::;9,.::43;;6:::-4::-:-:=-__________________________ _ Part Number: 012010156

Part Description: -';S""H7:0""E='-':::P""IN:.:=----------------------------

Material : 12L14 Heat Treat Requirements: -;:R::=;C~50~M;-;;IN:-;----------------------------


Actual Condition Pass I Fail Reference Documentation Question # Job Audit Question

HTSA Question # Requirement (Objective Evidence) IN/A Requirement

" Packaging Requirements - ~#:

4.17 Are packaging requirements 2,9 Customer requirment Yes job #394364 1 boX/skid P

identified? 4.18 2.9

Are parts packaged to minimize Yes job #394364

Visual, wqork order P mixed parts (for example, parts

attached packed over height of container)?

" ' i Shipping Requirements . ". - ~ .

4.19 Were the parts properly identified? 2,3 Yes, visual and dock audits

work order job#394364 p 2.9 attached.

Were the containers properly 2.3 Yes job #394364 and CSP Yes all attached. P

4.20 labeled? 2.9



Assessment

Needs Number Question Requirements and Guidance Objective Evidence N/A Satisfactory Not Satisfactory Immediate

Action

". '. ... . Sec-tipn ~ - {\IIat:l,;Jgerrient Rf!spgnsibiUty & Q~alitY ,PJaQJf"~ng

", , , . " ~; ~' . ,

To ensure readily available expertise, there shall be a dedicated and qualified heat treat person on site. This individual shall be a full-time employee and the

Is there a dedicated and ' position shall be reflected in the organization chart. A

1.1 qualified heat treat job description shall exist identifying the qualifications Paul meengs has 45 + years of heat treating

X for the position including metallurgical and heat treat experience. Francisco Juan has 22 years. person on-site?

knowledge. The qualifications shall include a minimum of 5 years experience in heat treat operations or a combination of a minimum of 5 years of formal metallurgical education and heat treat experience.

The organization shall incorporate a documented advance quality pJanning procedure. A feasibility , study shall be performed and internally approved for

Every new part is reviewed and processed each part. Similar parts can be grouped into part

per a generic FMEA and CONTROL plan. Does the heat treater families for this effort as defined by the organization.

1.2 perform advanced After the part approval process is approved by the Every part receives its own process with all

X changes and modifications recorded . See quality planning? customer, no process changes are allowed unless

work instructions 7-10-102 Quality Planning , approved by the customer. The heat treater shall contact the customer when clarification of process

7-20-603 Changes to requirements.

changes is required. This clarification of process changes shall be documented.

- --- -------- - ---------- ------


Assessment


Action

The organization shall incorporate the use of a documented Failure Mode and Effects Analysis (FMEA) procedure and ensure the FMEA's are updated to reflect current part quality status. The FMEA shall be written for each part or part family

Are heat treat FMEA's or they may be process-specific and written for each FMEA's are done for families of parts and

1.3 up to date and reflecting process. In any case, they shall address all process process's. Each plan is reviewed yearly with

X current processing?

steps from part receipt to part shipment and all key all changes recorded on the FMEA .. AII books heat treat process parameters as defined by the are located in Pauls office. organization. A cross-functional team shall be used in the development of the FMEA. All special characteristics, as defined by the organization and its customers, shall be identified, defined, and addressed in the FMEA.


Assessment


Action

The organization shall incorporate the use of a documented Control Plan procedure and ensure the Control Plans are updated to reflect current controls. The Control Plans shall be written for each part or part family or they may be process-specific and written for each process. In any case, they shall address all process steps from part receipt to part shipment and identify all equipment used and all key heat treat

Are heat treat process process parameters as defined by the organization. Control plans are done for part/process

1.4 control plans up to date A cross-functional team, including a production families. Each plan is reviewed yearly with all X and reflecting current operator, shall be used in the development of Control changes recorded on the control plan. Books

processing? Plans, which shall be consistent with all associated are kept in Pauls office. documentation such as work instructions, shop travelers, and FMEA's. All special characteristics, as defined by the organization and its customers, shall be identified, defined, and addressed in the Control Plans. Sample sizes and frequencies for evaluation of process and product characteristics shall also be addressed consistent with the minimum requirements listed in the Process Tables, Sections 3.0 and 4.0.


Assessment


Action

To ensure all customer requirements are both understood and satisfied, the organization shall have all related heat treat and customer referenced standards and specifications available for use and a method to ensure that they are current. Such standards and specifications include, but are not limited to, those re levant documents published by

All specifications used for any given process Are all heat treat related

SAE, AIAG, ASTM, General Motors, Ford, and wi ll be indicated on the control plan and will

and referenced DaimlerChrysler. The organization shall have a

be updated along with the review of the plan specifications current

process to ensure the timely review, distribution, and at its yearly review. All customer

implementation of all customer and industry 1.5

and available? For engineering standards / specifications and changes

specifications will be reviewed at receipt and X

example: SAE, AIAG, will not be controlled. Print revisions , if ASTM, General Motors,

based on customer-required schedule. Timely review provided, will be recorded on our internal

Ford, and should be as soon as possible and shall not exceed

process and verified at order entry. Should two working weeks. The organization shall document

DaimlerChrysler. this process of review and implementation, and it shall

any changes be needed Paul will update

address how customer and industry documents are CPW to reflect any requested changes.

obtained, how they are maintained within the organization, how the current status is established, and how the relevant information is cascaded to the shop floor within the two-week period. The organization shall identify who is responsible for pertor tasks.


Assessment


Action

The heat treater shall have written process specifications for all active processes and identify all steps of the process including relevant operating parameters. Examples of operating parameters

Each part is entered into a computer data include process temperatures, cycle times, load rates, atmosphere or gas flow settings, belt speeds, quench

base and has its own ind ividual process .

Is there a written agitation speeds, etc. Such parameters shall not only Along with the process is all routing and

1.6 process specification for be defined, they shall have operating tolerances as process parameters and any special

X all active processes? defined by the organization in order to maintain

instructions. Process Variables specific to

process control. each piece of equipment is posted at the

All active processes should have a written process control panel for operator review. See 7-10-

specification. 102 Quality planning.

These process specifications may take the form of work instructions, job card, computer-based recipes , or other similar documents.


Assessment


Action

To demonstrate each process is capable of yielding acceptable product the organization shall perform product capabi lity studies for the initial validation of each process, after relocation of any process equipment, & after a major rebuild of any equipment. The organization shall define what constitutes a major rebui ld. Initial product capability studies shall be conducted for all heat treat processes per furnace line

Has a valid product defined in scope of work & in accordance with

We do capability studies on each furnace line capability study been

customer requirements. A furnace line may include a for each process fam ily that is associated

performed initially and combination of equipment that is integrated in the

with that line. We also do capability studies at 1.7 performance of a heat treatment process, e.g., X

after process equipment hardening , quenching, and tempering . Capability study

level 2 inpections,Operators will also do has been relocated, or capabi lity studies if they runout of room on had a major rebuild?

techniques shall be appropriate for the heat treat work orders.

product characterist ics, e.g., tensile strength, case depth, hardness. Any specific customer requirements shall be met, in the absence of customer requirements, the organization shall establish acceptable ranges for measures of capability. An action plan shall exist to address the steps to followed in case capability indices fa ll outside customer requirements or established ranges.

Special Process: Heat Treat System Assessment I

Assessment

Needs

Number Question Requirements and Guidance Objective Evidence N/A Satisfactory Not Satisfactory Immediate Action

The analysis of products and processes over time can Ongoing data collection is done on significant

Does the heat treater yield vital information for defect prevention efforts. The parameters for each process family. Each job

collect and analyze data organization shall have a system to collect, analyze, that does not meet the requirements is and react to product or process data over time. recorded on a Problem Analysis and

1.8 over time, and react to Methods of analysis shall include ongoing trend or reviewed at ISO management meetings. See

X this data?

historical data analysis of product or process 8-50-301 Problem Analysis, 8-30-304 Work parameters. The organization shall determine which in process rejection. all problem analysis is parameters to include in such analysis. kept electronicky.

Management shall review the furnace monitoring systems at intervals not to exceed 24 hours. The heat

Is management treat monitoring system includes but is not limited to temperature strip charts , atmosphere strip charts ,

reviewing the heat treat computer data logs, furnace and operator logs, etc. All equipment with electronic data collection

1.9 monitoring system every The management review shall include efforts to detect is reviewed daily via computer.

X 24 hours?

out-of-control cond itions or alarm conditions. The process of reviewing the furnace data shall be documented and this requirement also applies to computerized data.


Assessment

Needs


A~e internal assessments being The organization shall conduct internal assessments

The Heat Treat Porcess Assessment is 1.10 completed on an annual on an annual basis, at a minimum, using the AIAG

reviewed and updated yearly. X

basis, at a minimum, HTSA. using AIAG HTSA?

The quality management system shall include a documented process for reprocessing that shall include authorization from a designated individual. Any part processed that does not meet the The reprocessing procedure shall describe product customers spec is placed on hold and characteristics for which reprocessing is aUowed as reviewed by authorized people.A rework

Is there a system in well as those characteristics for which reprocessing is instruction is required for reprocessing. All

1.11 place to authorize not permissible. reworked parts are final inspected byplant

X reprocessing and is it Any reprocessing activity shall require a new manager or quality.AII rework instructions and

documented? processing control sheet issued by qualified techn.ical results are documented on a new work order personnel denoting the necessary heat treat and recorded . See 8-30-303 Control of modifications. Records shall clearly indicate when and reworked product, 8-30-302 Disposition of how any material has been reprocessed. The Quality nonconforming. Manager or a designee shall authorize the release of I

reprocessed product.


Assessment


Action

Does the Quality The quality management system shall include a All internal and external problems are put on

Department review, process for documenting, reviewing, and addressing a Problem Analysis and dealt with through

1.12 address, and document customer concerns and any other concerns internal to our internal review process. See 8-21-601

X customer and internal . the organization. A disciplined problem-solving

Customer satisfaction. concerns? approach shall be used.

The heat treater shall define a process for continual The review of the Control Plan and FEMA will Is there a continual improvement for each heat treat pr.ocess identified in show what is being done to improve quality improvement plan the scope of the HTSA. The process shall be and will be shown by the rpn numbers going

1.13 applicable to each designed to bring about continual improvement in lower with given improvements. Any major

X process defined in the quality and productivity. Identified actions shall be Continual Improvement project will be

scope of the prioritized and shall include timing (estimated controlled by Work Instruction 8-50-306 assessment? completion dates). The organization shall show Continuous Improvement. This is also tied to

evidence of program effectiveness. the Porblem analysis process.


Assessment


Action

Does the Quality Quality manger and plant manager are Manager or designee The Quality Manager is responsible for authorizing authorized to release "ON HOLD" product

1.14 authorize the disposition and documenting appropriate personnel to disposition and will document this on the new rework X of material from quarantine material. work order or a Material Deviation report. See

quarantine status? 8-30-303 Control of reworked product.

There shall be procedures or work instructions available to heat treat personnel covering the heat

Are there procedures or treating process. These procedures or work work instructions instructions shall include methods of addressing All elements of our process flow have written

1.15 available to the heat potential emergencies (such as power failure) , procedures and are part of all employees

X treat personnel that equipment start-up, equipment shut-down, product training. We have these instructions available

define the heat treating segregation (See 2.8), product inspection, and general for review to all operators. process? operating procedures. These procedures or work

instructions shall be accessible to shop floor . personnel.

The organization shall provide employee training for all heat treating operations. All employees, including

Training starts from day 1 and is ongoing and backup and temporary employees, shall be trained.

Is management Documented evidence shall be maintained showing

fully documented. Each employee has an

1.16 providing employee

the employees trained and the evidence shall include ongoing Employee Qualification on file with

X training for heat

an assessment of the effectiveness of the training. new levels added as required. All employees

treating? Management shall define the qualification

go through training and testing. See WI-6-

requirements for each function, and ongoing or follow-001-F

up train ing shall also be addressed.


Assessment


Action

Is there a responsibility The organization shall maintain a responsibility matrix

matrix to ensure that a" . identifying a" key management and supervisory

key management and functions and the qualified personnel who may We have an Organized back up chart. With

1.17 supervisory functions

perform such functions. It shall identify both primary listed essential daily jobs and qualit ied X

are performed by and secondary (backup) personnel for the key personnel

qualified personnel? functions (as defined by the organization). This matrix shall be readi ly available to management at all times.

- - -- - - -


Assessment


Action

The organization shall have a documented preventive maintenance program for key process equipment (as identified by the organization). The program shall be a closed-loop process that tracks maintenance efforts from request to completion to assessment of

Is there a preventive effectiveness. Equipment operators shall have the

A full and complete preventive maintenance maintenance program?

opportunity to report problems, and problems shall program (Minimizer) is written and used. All

Is maintenance data also be handled in a closed-loop manner.

maintenance purchasing and inventory is 1.18 being utilized to form a

Company data, e.g. , downtime, quality rejects, first-maintained within this program. All critical X

predictive maintenance time-through capability, recurring maintenance work

parts are listed and purchased from approved program?

orders, and operator-reported problems, shall be used suppliers only. See WI-7-002-8 Approved

to improve the preventive maintenance program. suppliers.

Furnaces and generators shall be scheduled for burn-out at frequencies determined by the organization (see Section 1 of the Process Tables). Maintenance data shall be collected and analyzed as part of a predictive maintenance program.

Has the Heat Treater developed a critical

The heat treater shall develop and maintain a critical spare part list and are

1.19 the parts available to

spare parts list and shall ensure the availability of such See 1.18 X I

minimize production parts to minimize production disruptions.

I

disruptions?

Number

2.1

2.2


Question Requirements and Guidance

It is critical that all customer requirements and lot identification be adequately transferred to internal heat treat documents. The facility shall ensure that the data entered in the receiving system match the information on the customer's shipping documents.

Does the facility ensure I Documented processes and evidence of compliance that the data entered in shall exist, e.g., shop travelers, work orders, etc.

the receiving system Sometimes the material received does not precisely matches the information correspond to customer shipping documents. The

on the customer's facility shall have a detailed process in place to shipping documents? resolve receiving discrepancies.

The requirements stated above also apply to captive heat treat departments. This process refers to receiving and shipping the parts in and out of the heat treat department.

Procedures for part and container identification help to

Objective Evidence

All incoming product is reviewed for accuracy at receiving. All information provided is

verified with our process and recorded on the customers document. Any discrepancies are documented and product is placed on hold

pending a review by Management. See WI-7 001-C and WI-7-001 -D

avoid incorrect processing or .mixing of lots. . . All product is staged in set areas waiting for Appropriate location and staging wlt~ln the fa~lhty also processing. During process it is identified by

Is product clearly help to ensure that orders are not shipped until all load tags and with the work order. All finished identified and staged required operations are performed. Customer product product is in a "done ready to ship" area with

throughout the heat treat shall be clearly identified and staged throughout the all parts identified with the work order. SeeWI process? heat treat process. Non-heat treated, In-process, and 7-003 A Work order/data sheet guide

finished product shall be properly segregated and lines.WI-7-003 B identified. All material shall be staged in a dedicated and clearly defined area.

Assessment

Needs N/A I Satisfactory Not Satisfactory Immediate

Action

x

x


Assessment

Needs


Out-going lot(s) shall be traceable to the incoming All lots have their own work order. All work

Is lot traceability and lot(s). orders are kept separate during processing

integrity maintained The discipline of precisely identifying lots and linking 2.3

th roughout all all pertinent information to them enhances the ability and will remain so during shipment back to X the customer. See WI-7-003-B

processes? to do root cause analysis and continual improvement. CSP, WI-7-003 A

The control of suspect or non-conforming product is necessary to prevent inadvertent shipment or

Are procedures contamination of other lots. Procedures shall be

All product that does not meet the customers I

adequate to prevent movement of non-conforming I

adequate to prevent specifications will be red tagged I and or 2.4 movement of non-

product into the production system. Procedures shall rejected on the work order and placed in the X

,

conforming product into exist addressing proper disposition, product

"hold area" See WI-8-002 Control the production system?

identification, and tracking of material flow in and out nonconforming.

of the hold area. A non-conforming hold area shall be clearly designated to maintain segregation of such material.

- - - ----_ . _ ._----


Assessment

Needs


Heat-treating furnaces and other processing equipment contain areas that have a risk of trapping

Is there a system to or holding parts. Such trapping of parts can lead to identify trap points in the damage, improperly processed parts or lot entire heat treat process mixing/contamination. A system shall exist to identify

The preventative maintenance program to reduce risk of mixed trap points in the entire heat tr.eat process to reduce

2.5 parts (inappropriate, non risk of mixed parts (inappropriate, non-heat treated, or

generates a work order for a review of each X

heat treated , or improperly heat treated parts). The heat treater shall lines operation.

improperly heat treated have documented procedures to identify and monitor parts)? trap points for each process/equipment. Monitoring of

potential trap points shall occur for every part changeover.

Containers handling customer product shall be free of inappropriate material. After emptying and before re-

Each container is removed from the loading using containers, containers shall be inspected to

area and looked at prior to returning to the 2.6

Are containers free of ensure that all parts and inappropriate material have finished parts area. Any foreign material is X

inappropriate material? been removed. The source of inappropriate material removed. Small parts are loaded into plastic

shall be identified and addressed. This is to ensure that no nonconforming heat treated parts or

bags lining the container.

inappropriate material contaminate the finished lot.


Assessment

Needs


Furnace loading parameters shall be specified, All process's have loading requirements documented on the work order. The operator

Is furnace loading documented, and controlled. Examples include feed logs the loading on the furnace log each

2.7 specified, documented rate, belt speed, number of parts per fixture, and load order and at shift change. This is verified by

X I

and controlled? weight. .Refer to Process Tables, Section 3.0, for frequency of checks.

shift supervisor and reviewed by management daily. SeeWI-7-003 Production

Unplanned or emergency downtime greatly raises the risk of improper processing. Operators shall be

Are operators trained in trained in material handling, containment action, and product segregation in the event of an equipment

material handling, emergency including power failure. Training shall be Our Work in Process rejection procedure

containment action and 2.8 product segregation in

documented. Work instructions specifically covers all nonconforming situations and is X

the event of an addressing potential types of equipment emergencies part of all employees regular training. See WI

equipment emergency and failures shall be accessible to and understood by 8-002 Controlling Non conforming. equipment operators. These instructions shall

including power failure? address containment actions related to all elements of the heat-treating process, e.g. , loading, astatizing, quenching, tempering.


Assessment

Needs Number Question Requirements and Guidance Objective Evidence NfA Satisfactory Not Satisfactory Immediate

Action

Handling, storage, and packaging shall be adequate to preserve product quality. The heat treater's furnace loading system, in-process handling, and shipping Each process that is assessed to potentially .

Is the handling, storage process shall be assessed for risk of part damage or damage a part during transport, loading,

2.9 and packaging adequate other quality concerns. processing, unloading and transport has

X to preserve product Some equipment includes conveyors and other special processing for hand load, hand

quality? moving components that may not be able to handle all unload, special racking instructions, and / or part configurations. Other practices such as stacking special shipping instructions. W I-7-001 of overloaded containers can also increase the risk of part damage.

Plant cleanliness, housekeeping, environmental, and

Are plant cleanliness, working conditions shall be conducive to controlling A plant survey is done by an internal auditor and improving quality. The heat treater should monthly to evaluate the plant for building

housekeeping, evaluate such cond itions and their effect on quality. A maintenance, lighting, cleanliness, and

environmental and 2.10

working conditions housekeeping policy shall be clearly defined and organization using Condition of facil ity form X

conducive to control and executed. The facility shall be reviewed for conditions see WI-6-002 A . This is a management

improved quality? that are detrimental to quality processing such as review measurable, see WI-6-001 loose parts on floor, oil around quench tanks, Infrastructure. inadequate plant lighting, smoke, etc.

- -- - - --- --------_ .. _---- '---


Assessment


Action

Many heat-treated parts are subjected to surface fin ish or appearance operations such as plating or coating after heat treatment. Parts shall be free from contaminants that are detrimental to subsequent processes or the product. Pre-wash (if applicable) and post-wash parameters shall be monitored and

Any part with detrimental amounts of oils or documented. Oils and other contaminants or residues

Are parts free from can be difficult to remove once subjected to the heat

drawing compounds are prewashed and all contaminants that would product is post washed prior to temper. All

2.11 be detrimental to the treatment process. Review the chemical supplier's

washers are on a preventive maintenance X heat treatment of the

recommendation for cleaning the system. Parts shall program and checked daily, . All washer

product? be free of rust, burrs , chips, detrimental amounts of

concentrations are verified by the soap drawing compound, cutting fluids, rust preventing oils,

supplier quarterly or as needed. lubricants, etc., prior to heat treat. Note: Refer to the appropriate heat treater's requirements and specifications to determine acceptability. Refer to Process Table, Section 5.0, for frequency of checking washer solutions.


Assessment


Action

The quenching system shall be monitored, documented, and controlled. The temperature, agitation, level, concentration (if applicable), time in the quenchant, and additions shall be controlled to the heat treater's specifications. Refer to Process Tables, The oil levels are checked manually every

Is the quenching system Sections 3.0 and 5.0, for frequency of checks. day. All levels are recorded and documented

2.12 monitored, documented, Computer-monitoring equipment, with alarms and on the pm request. The temperature,

X and controlled?

alarm logs, satisfy the verification requirement. agitation speed, time in the quench are all Quench delay tolerance and alarm is required for automatically controlled. All furnaces have furnaces with integral quench tanks. Temper delay high temp alarms time shall be specified by the heat treater for parts that are quenched and tempered, e.g. , carburizing , carbonitriding, neutral hardening, solution treating and aging.

Parts are often dipped in or sprayed with rust

Is soluble oil or other preventive solutions immediately after the heat

The rust prevention is controlled by new rust preventive

treating process. Soluble oil solutions or other rust additions of product and by supplier once

2.13 monitored and controlled

preventive solutions shall be monitored and controlled , every 6 months. Maintenance puts out a work

x

if applicable? if applicable. The heat treater shall have and maintain

order for this. documented tolerances for the solutions. Refer to Process Tables, Section 5.0, for frequency of checks.


Assessment

1 Needs Number Question ' -Requirements and Guidance Objective Evidence N/A Satisfactory Not Satisfactory Immediate

Action

Process control parameters shall be monitored per frequencies specified in Process Tables. Refer to .

Are process control P T bl S t' 3 0 C t 't ' All requ lr-ed process control parameters are . rocess ' a es, ec Ion . . ompu er mOn! orlng . . parameters monrtored equipment with alarms and alarm Jogs satisfy the continuously rec.orded and Signed off by the

2.14 per frequencies ' '_.' . tAd' t d fl operator at shift change at least every 8 X . , . ' venTication reqwremen . eSlgna e oor 'person ' .. speCified In Process h!! 'f th t b ' T r hours, This IS recorded on furnace 100

Tables? s a veri y e process parame ers, e.g. : Y.ln! la Ing a sheets. ~ striP chart or data log. Management review IS required per Question 1.9.

Are In-Process / Final I P / F' ITt F . h II b Y th ' . . I' I T t F . n- recess Ina es requencles s a e es, ere IS an Inspection samp Ing p an at 2.15 rfes drequenclesf' d performed as specified in Process Tables. Refer to every work station which matches or X

pe orme as speci Ie. . 'p T bl? Process Tables, Section 4.0. surpasses section 4 table In rocess a es .

Product test equipment shall be verified. Test

equipment shall be verified/calibrated per ,apPI,icable An outside service does the calibrations on all .customer-specific standard or per an applicable t t ' t ' II All t t

Is product test consensus standard such as those published by e~ equlpmen ,~eml-annua y. es 2.16 . t 'fi d? ASTM DIN EN ISO JIS NIST SAE t equ1pment IS verified Internally on a dally X

equlpmen veri Ie ' .. '. ' . ' .' , , ~ c. basis. See WI-7-001 E G I. Also WI-6-002 Ve~lflcatlon/calibratlon results shall be Internally B. alii ke t ~Ie~tronick reviewed, approved, and documented. Refer to p y Process Tables, Section 1.0, for frequency of checks.

" .. ,~lil' ' .., "co- a, ~ : :"",' ", ;t';" .~!, ~e,ct!()f1'),a J §q.,.ip:ment ~ ", ' ~ "


Assessment


Action

The heat-treat furnaces , generators, and quench

Do furnaces, generators, systems shall have proper process controls and All equipment has automatic temperature

and quench systems related equipment. Examples include temperature, controls, cycle timers, agitation control,

3.1 have proper process

carbon potential/dew point, gas flows , quench carbon control , oil temperature and flow X

control equipment? monitoring system including agitation, temperature scopes for each zone. All controls are control and quenching oil analysis, etc. as listed in the cal ibrated semi-annually. applicable Process Tables, Section 1.0.

Are process equipment The calibration and certification of the process

calibrations and/or equipment shall be checked at regular specified All calibrations are posted at/on the control or

3.2 verification certified,

intervals. Refer to the applicable Process Tables, equ ipment being certified. All internal X

posted, and current? Sections 1.0 and 2.0, for equipment calibration or verifications are also posted at the equipment certification time tables.

Are thermocouples & . The thermocouples and protection tubes shall be All thermocouples are changed out per our

3.3 protection tubes checked or replaced in compliance to a preventive

pm program semiannually. All protection X checked or replaced per maintenance schedule. Refer to the applicable Process Tables? Process Tables, Section 2.0.

tubes are evaluated at the same time.

Temperature uniformity surveys shall be conducted per the requirements in the applicable Process

We use the ongoing capability studies to Are temperature Tables, Section 2.0. The frequency reductions

uniformity surveys allowed in AMS 27500 are not allowed under this assure ourselves that the equipment can

3.4 performed per document. Certain furnace des.igns, e.g., rotary retorts meet the requirements. TUS surveys are X

requirements in Process preclude direct temperature profiles. Alternate test preformed per requirements of CQI-9 or

Tables? methods per AMS 27500 3.5.15 are acceptable for better. Continual improvement project still

furnaces where temperature uniformity studies are not being monitored for a 2017/2018 project

possible.


Assessment

Needs


Is the variation of the The variation between the furnace-control

furnace controlled thermocouple and the set point temperature shall be

Data collection program shows the thermocouple from set temperatu res to be with-in the given range.

3.5 point within the

within the limits defined in the applicable Process Calibrated to run with in CQI-9 requirements.

X

requirements in the Tables , Section 2.0. This does not apply to the first

This is monitored hourly by management. Process Table?

zone of a multi-zone continuous furnace.

Are the process & The heat treater shall have a list of heat treat process All alarms are posted at each piece of

equipment alarm checks and equipment alarms. These alarms shall be equipment with a PM done quarterly to verify

3.6 being tested quarterly or independently tested quarterly at a minimum, and X after any repair or after any repair or rebuild. These checks shall be

all alarms. Electroni ly monitored, reviewed

rebuild? documented. hourly by management.


Assessment

Needs


Generator and furnace atmosphere carbon potentiaVdew point shall be continuously monitored, automatically controlled, and documented. This requirement is specific to Process Table 1, Sections 1.0 and 3.0, for carburizing, carbonitriding, and neutral hardening. Continuous monitoring and automatic control of the carbon potential/dew point is required for all generators and atmosphere furnaces except rotary

Are generators and retort and shaker furnaces that preclude in situ control

All furnaces are automatically controlled and furnace atmospheres

and monitoring. For rotary retort and shaker furnaces, recorded . The carbon controllers are verified

3.7 continuously monitored, the method described in AMS 27500 3.5.15 .. 2

by dew point daily. The generators are X automatically contro.lled,

"Property Surveys" shall be used to ensure adequate monitored continuously and recorded . This is

and documented? control of the furnace atmosphere. If generators are

in maintnamizer. not used, the flow rates of the supplied atmosphere gases shall be monitored and controlled. The assessor shall verify the effectiveness of the

I atmosphere control system per customer requirements, the heat treater's control plan, and internal procedures. The atmosphere control system shall maintain the atmosphere dew point/carbon potential set point within the parameters specified in the control plan or internal procedures. The heat treate

Special Process: Heat Treat System Assessment I

i

Assessment

Needs Number Question Requirements and Gu idance Objective Evidence N/A Satisfactory Not Satisfactory Immediate

Action

This issue is specific to Process Table 1, carburizing , carbonitriding, and neutral hardening. When the back-up verification check of the atmosphere does not agree or correlate within pre-established limits w ith the primary control method (carbon potential/dew point reading), the heat treater shall reso lve the out-of-limit discrepancy. The back-up atmosphere monitoring system reading and the

When the back-up automatically controlled atmosphere dew point/carbon verification check of the potential reading shall be maintained within the

atmosphere does not correlation limits specified in the contro l plan or agree or correlate within internal procedures. These range tolerances vary with

A ll back-up checks are recorded on the data pre-established limits the specific heat treat process and the equipment

collection program and a maintenance work with the primary control used.

order will record the problem and the I

3.8 method (carbon The heat treater shall make appropriate technical correction . The data collection program will

X potential/dew point adjustments and corrections and then re-

show the correlation between the two reading), is correlation of establ ish/demonstrate the corre lation of the actual

readings. the carbon-bearing atmosphere carbon potential/dew point reading to the atmosphere to the primary control and back-up atmosphere reading.

primary control method The range tolerances for correlation between the two re-established? readings shall be in the control plan or internal

procedures. The back-up carbon potential/dew point reading shall be established using one or more of the f • Carbon bar or slug • Shim stock • 3-gas analyzer • Dew point • Hot wire res istance


Assessment


Action

All ammonia lines to furnaces shall be equipped with quick disconnects or a three-valve fail-safe vent system. Normal valves may allow ammonia to leak through even when they are closed. This can be

, undesirable and detrimental in heat treat processes not specifying/requiring ammonia.

Are all ammonia lines • A quick disconnect shall be present in any ammonia

equipped with quick line going to a furnace. This line shall be All equipment with ammonia available have

3.9 disconnects or a three disconnected after carbonitriding (or any other quick disconnects installed and used. The

X valve fail safe vent

' process using ammonia) before another heat treating furnace log sheet will show the addition or

system? operation not specifying/using ammonia begins. removal of the line. • An alternative three-valve ammonia "fail-safe" vent

, system is pelmitted. See the definition 'Three Valve Fail-Safe Vent" and diagram in the glossary. • Documentation shall show when ammonia lines are disconnected for non-ammonia bearing atmosphere processes.

This is applicable to fasteners and small metal parts. The heat treater shall perform a minimum 3 hours

For fasteners and smal.1 oxidizing burn-out prior to processing product not metal parts, is a requiring ammonia as an addition. Ammonia pick-up

minimum of 3 hours can be undesirable in parts and heat treat processes Procedure 0 1-008 instructs the operator to 3.10 allocated for an oxidizing not specifying/requiring ammonia as an addition. Log have the ammonia off for 4 hrs prior to X

burn-out prior to book, data logger, or other records shall document the running any neutral harding work . processing product not actual oxidizing burn-out time and that sufficient time

requiring ammonia? has been allocated to remove ammonia from the furnace prior to processing parts in heat treat processes not specifying ammonia.


Assessment

Needs Number ·Question Requiremenisand Guidance Objective Evidence N/A Satisfactory Not Satisfactory Immediate

Action

All atmosphere furnaces and generators (output Do all atmosphere trim/adjustment gas) shall have flow scopes or flow

3.11 . furnaces and generators . meters for all gases. Flow scopes and meters shall All furnaces and generators have flow scopes

X have flow scopes or flow be periodically serviced per the heat treater's for all gases. meters for all gases? preventive maintenance .program. Cleaning and

proper re-assembly procedures shall be documented.

In absence of a rigorous fail -saf.e at the front of the

Is there a rigorous fail-furnace to prevent non-uniform loading if parts (thi

safe at the front fo the sin eludes the combustion system maintenance!

furnace to prevent non-adjustments to ensure proper efficience and physical

uniform loading of parts? limitations for part loading) then the heat treater shall

I n absence of rigorous have aninfrared temperature pyrometer at the exit end. The infared

fail-safe, are continous temperature pyrometers are required at the exit €nd of. All process load requirments on the

3.12 belt furnaces equipped the continuous belt furnace to monitor for under workorder.

X with sight glass

temperature parts. The temperature alarm shall be inspection ports and

with in 28 C (50 F)of ther furnace set po.:nt infared temperature

, pyrometers at discharge: temperature. Results shall be strip charted or conti-nuosly data logged. Infrared temperatur.es

and of hardening pyrometers shall be calibrated annually at a minimum

furnace? and certified. All sight glasses shall be cleaned per the preventive amintenance schedule.

Applicable to ferritic-nitrccarburizing, austempering, and neutral hardening ·in salt.

Is salt chemistry in the The heat treater shall check the salt chemistry in the 3. 13 austenitizing salt bath austentizing salt bath, or part decarburization, daily. n/a X

monitored? Refer to the applicable Process Tables, Section 3.0, for frequency of checks.

The heat treater shall periodically have the quenching · medium analyzed for specific quenching · characteristics, e.g., cooling curve, water content, salt · concentration, as speciffed in the applicable Process

Is the quenching Tables, Section 5.0.

All furnaces have the quenchant checked by 3.14 • The quench media characteristic tolerances shall be X medium analyzed?

specified by the quench medium supplier or the heat an outside lab 4 times per year.

treater . • Ana!ysis shall be reviewed for conformance by the

· heat treater. This review shall 'be documented.


Assessment

I Needs Number Question Requirements and Gui dance Objective Evidence NfA Satisfactory Not Satisfactory Immediate

Action

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