Section 3.

Equipment
3.1 Thermocouples

3.1.1 Application of Thermocouples: Thermocouples shall 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 All 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). A grace period of 2 weeks is allowed for all 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 150ºC 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 External sources providing calibrations shall be accredited to ISO/IEC17025 or other

national equivalent. Internal sources providing calibrations shall do so in accordance with the
intent of ISO/IEC17025 or other national equivalent. Records shall be kept of training and
qualifications for internal personnel performing calibrations.

3.1.2.5 Thermocouples may be individually calibrated or made from calibrated rolls provided
that both ends of the roll 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 is placed in service 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.

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

Table 3.1.1 Calibration and Replacement Requirements for Thermocouples Used for Control,
Monitoring and Recording.

1. Non expendable
2. Thermocouples shall be replaced whenever needed, e.g. failed SAT, or damaged
thermocouple; however, thermocouples shall be replaced minimally as stated above.
3. Base metal thermocouples shall not be recalibrated.
4. Nobel metal thermocouples Type B, R, and S may be recalibrated in lieu of replacement.
5. Does not apply to Load Sensing Thermocouples. See Tables 3.1.4 and 3.1.5
.
1. Includes Load Sensing Thermocouples used as a Control Thermocouple.
2. When a non-expendable base metal thermocouple is used above 980ºC (1800ºF), the
maximum total number of uses is 90 uses which shall include any previous or subsequent
temperature readings taken with the subject thermocouple.
3. In the absence of documentation of the number of uses for non-expendable base metal
thermocouple used for TUS and SAT, then the thermocouples shall be replaced after 6 months.
4. Expendable base metal thermocouples for load sensing, are allowed more than one use if
thermocouple shows no visual degradation. Documentation is required to show compliance.
5. Non-expendable base metal thermocouples for load sensing, are allowed more than one use
if thermocouple shows no visual degradation. Documentation is required to show compliance.

3.2 Instrumentation

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

3.2.1.2 External sources providing calibrations shall be accredited to ISO/IEC17025 or other

national equivalent. Internal sources providing calibrations shall do so in accordance with the
intent of ISO/IEC17025 or other national equivalent. Records shall be kept of training and
qualifications for internal 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. A grace period of 2 weeks is allowed for all calibrations.

3.2.1.4 The temperature for each control zone shall be recorded by a recording instrument.
3.2.1.4.1 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 shall 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 minimum readability of 1.0ºC or 1.0ºF.

3.2.2.2 At least one controlling, monitoring, or recording instrument for each furnace or oven
zone shall have a minimum readability of 1.0ºC or 1.0ºF for digital instruments or 2.0 ºC or 4.0
°F 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
10ºF 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 minimum 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, SAT’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 2.0 ºC or 4.0 °F.

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 furnaces that are in
operation and running at typical operating temperatures, a single point calibration is acceptable
(parallel reading of thermocouple input). For furnaces with a load in process, the furnace
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 SAT is performed
quarterly per Probe Method A (per 3.3.4.1) AND the multi-point calibration is employed for the
instrument calibration.

3.2.5 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 of panel
mounted control, monitoring or recording instrumentation, on the device or as near as practical
to the device(s) to indicate its (their) most recent successful calibration. The label(s) at a
minimum 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:

Furnace 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.
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.
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 furnace 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).

3.3.4.1Probe 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
furnaces 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 +/- 10ºF) 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 SAT difference exceeds 5ºC (10ºF) the appropriate corrective
action shall be taken before commencing with additional thermal processing. Control
thermocouples failing to meet the requirements shall be replaced. A new SAT 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 included
in the SAT difference calculations.
 3.3.4.1.5 SAT frequency shall be quarterly.

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 furnaces 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 (±10ºF) 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 SAT frequency shall be quarterly

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 thermocouple) and the
uncorrected reading of any other permanently installed monitoring system (instrument, leadwire
and thermocouple) in the same work zone, such as an over temperature control system. See
Illustration 3.4.3

3.3.4.3.2 The temperature difference (delta) between the control system (control instrument,
leadwire and thermocouple) reading and the reading of any other permanently installed
monitoring system, at the time of the most recent conforming 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 +/-1°C (or +/-2°F) when checked at
a typical operating temperature. It is strongly recommended that the comparative check be
performed at or near the original comparison test temperature. See example below for
calculation of delta.

3.3.4.3.4 If both devices have their respective thermocouples in the same protection tube they
shall 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 shall be taken to correct a failed SAT before commencing with
additional thermal processing. A new delta shall be established after any maintenance that
could affect the SAT 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 thermocouple replacement
schedule.

3.3.4.3.7 SAT frequency shall be monthly.

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
Indication of test acceptance or failure
Identification of technician performing the test
External Calibration Company if applicable
Sign-off by responsible person in the heat treat organization

1. Maximum value of the Calculated SAT difference (see 3.3.4.1.3 and 3.3.4.2.5).
2. 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.
Instructions for completing the Job Audit

The organization is to complete a minimum 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 critical parts should be audited. This may not be easily determined with
fasteners, especially if the fastener manufacturer does 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 furnace 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 of the 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 furnace records for the actual time
frame/shift etc. that the job was processed shall also be checked. The actual furnace 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.
Section 4: Job Audit Form