Aiag Cqi-9

CQI-9
Special Process: Heat Treat System Assessment

Fourth Edition
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CQI-9
Fourth Edition, June 2020
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ABOUT AIAG
Purpose Statement
Founded in 1982, AIAG is a globally recognized organization where OEMs and suppliers unite to address
and resolve issues affecting the worldwide automotive supply chain. AIAG’s goals are to reduce cost and
complexity through collaboration; improve product quality, health, safety and the environment; and
optimize speed to market throughout the supply chain.
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AIAG Projects
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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,
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transportation/customs and truck & heavy equipment.
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Recognizing that this AIAG publication may not cover all circumstances, AIAG has established a maintenance
procedure. Please refer to the Maintenance Request Form at the back of this document to submit a request.
Published by:
Automotive Industry Action Group
4400 Town Center
Southfield, Michigan 48033
Phone: (248) 358-3570 • Fax: (248) 358-3253
APPROVAL STATUS
The AIAG Quality Steering Committee and designated stakeholders approved this document for publication in
June 2020.
AIAG COPYRIGHT AND TRADEMARK NOTICE:

The Automotive Industry Action Group copyrights the contents of all published materials unless otherwise indicated. Copyright is not
claimed as to any part of an original work prepared by a U.S. or state government officer or employee as part of the person’s official
duties. All rights are preserved by AIAG, and content may not be altered or disseminated, published, or transferred in part of such
content. The information is not to be sold in part or whole to anyone within your organization or to another company. Copyright
infringement is a violation of federal law subject to criminal and civil penalties. AIAG and the Automotive Industry Action Group are
registered service marks of the Automotive Industry Action Group.
© 2020 Automotive Industry Action Group

ISBN #: 978 1 60534 449 2
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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
committees.
The main task of technical committees is to prepare automotive standards and system requirements. Draft
documents adopted by the technical committees are circulated to the Steering Committee for review and
consensus approval. Publication of the documents requires approval by the Quality Steering Committee.
The Quality Steering Committee would like to acknowledge and thank the following individuals and their
companies who have contributed time and effort to the development of this document.
James Hawthorne – Acument Global Technologies North America

Dean Higdon – Acument Global Technologies North America
Dr. Gerd J. Brockmann – Alsoswiss GmbH
John Vander Woude – Benteler Automobiltechnik GmbH
Curt Holmes – Commercial Steel Treating Corporation
Darrell Rydzewski – Controls Service, Inc.
Justin Rydzewski – Controls Service, Inc.
Robert Hursh – Dana Inc.
Stephen Toltesi – Eaton Corporation
Pete Batche – Emerald Steel Processing
Ed Rahe – FCA, North America
Jake Sloan – FCA, North America (formerly)
Suranjeeta Dhar – Ford Motor Company
Medina Kaknjo – Ford Motor Company
Peter Schiefer – Ford-Retired 2018, Germany, AWT-Member
Robert Ferry – FPM Heat Treating
Rick Metcalf – General Motors Company, North America
Randall Lewis – GKN Driveline
Virender Choudhri – MAHLE International GmbH
Philip Mikula – P.C. Mikula Consulting, LLC
Willard Schultz – Peterson American Corporation
Ken Steele – Peterson Spring
Daniel Aldea – ZF Friedrichshafen, AG
Jeff Martin – ZF Friedrichshafen, AG
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Jens Wueppenhorst – ZF Friedrichshafen, AG
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CHANGES TO CQI-9 4TH EDITION

The Special Process: Heat Treat System Assessment, 4th edition contains some new requirements,
changed requirements, and clarifications that the supply organization will need to consider in making its
self-assessment. This 4th 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 4th edition.
Introduction Guidelines / Requirements

• Assessor qualifications for conducting HTSA have been refined.
• Exceptions to Section 4 of the Process Tables have been refined under Other Requirements in the
Introduction. (Reference 2.15 in the HTSA).
• Cover sheet has been reformatted.
Pyrometry
• Added a prefix to the Pyrometry section numbering system.
• Pyrometry reporting requirements updated.
• RTDs are now included in the thermocouple section.
• Added Notes 6 and 7 to Table P3.1.5.
o Note 6. Under no circumstance shall any expendable base metal thermocouple be used
beyond one year from date of first use. Under no circumstance shall any non-expendable
base metal thermocouple be used beyond two years from date of first use.
o Note 7. Resident thermocouples if used for Probe Method A and Probe Method B shall
be replaced after 6 months for temperatures below or equal to 980°C (1800°F) and after 3
months for temperatures above 980°C (1800°F).
• Added note to P3.2.1.
o Note: Analog instrumentation shall be replaced with digital instrumentation within
three years of issued date of CQI-9 Fourth Edition.
• P3.2.3 Max allowable offset increased.
• Revised Note 1 of Table 3.2.1.
o Note 1. Per P3.2.4.3.1 the frequency may be every six months provided that the
SAT is performed monthly per Probe Method A (per P3.3.4.1) AND the multi-
point calibration is employed for the instrument.
• Grace periods defined in Calibrations, SAT, and TUS sections.
• Revised P3.3.4.1.5 Resident SAT thermocouples shall be non-expendable and of a different type
than the sensor being tested. Only Types N, B, R and S are allowed as resident SAT thermocouples.
• Expanded guidance and refined requirements regarding instances in which traditional TUS testing
is not possible or practical due to furnace design characteristics (e.g. property surveys).
• Revised formula for calculating the required number of TUS test thermocouples for large furnace
volumes (reference Table P3.4.1, Note #1).
• Revised P3.4.3.1 TUS Methods: Batch/Chamber furnaces shall be surveyed so that the
volume defined as the qualified work zone is tested. For Batch/Chamber furnaces with multiple,
independently controlled chambers (e.g. multiple control zones and qualified work zones), the
performance of a TUS shall be required for each individual chamber. The TUS test thermocouples
shall be arranged three dimensionally (Volumetric Method) as illustrated in Figure P3.4.1.
• Reduced the number of TUS test thermocouples required for qualified work zone widths less than
0.3m (1ft).
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HTSA Questions
• HTSA format enhanced.
• Question 1.6.
o Authorization shall be defined to a responsible person (see 1.1) for establishing process
specification for the heat treatment of the products with the available equipment.
o Changes in process specification shall be documented, reviewed, and approved.
• Question 2.15.
o Any exceptions to test frequencies specified in the process tables shall be approved by the
Customer in writing.
• Questions 3.2, 3.3 and 3.4 in the HTSA have been revised to include more detail.
• Question 3.16.
o Signature monitor or energy monitor shall be used to monitor energy or power to the part
and record all out of control events.
Process Tables
• Test equipment calibrations change:
o Laboratory and Test equipment used for product and process testing shall be calibrated
annually at a minimum, per the applicable national standard (e.g. ASTM, EN, JIS) or
approved equivalent standard, and verified per internal procedure if not specified in the
applicable standard.
• Calibration requirement removed for refractometers.
• Generators shall be continuously monitored and recorded. Sign-off required for each shift for
generators. An alarm system will satisfy the sign-off requirement (for applicable Process Tables).
• A3.5 – Added “Daily” frequency requirement for continuous furnaces.
• A3.9 – Defined requirements for “Gas quench” systems.
• B4.5 – Defined inspection requirements for “White layer/compound zone (when specified)”.
• C3.4
o Quench Media – Sprayed: Media Flow Rate and Pressure shall be monitored with
alarm system set per acceptable limits. In absence of alarm system, sign-off every 2 hours
and at the end of the cycle, or each cycle for processes under 2 hours satisfies this
requirement. Nozzle pattern (number and direction) are to be defined, verified and logged.
o Quench Media – Forced Air: Media Flow Rate shall be monitored with alarm system
set per acceptable limits. In absence of alarm system, sign-off every 2 hours and at the
end of the cycle, or each cycle for processes under 2 hours satisfies this requirement.
Distribution pattern is to be defined, verified and logged.
o Quench Media – Submerged: Continuous monitor of level with alarm or daily
verification.
• C4.1.
o Batch: For hardness testing each batch or furnace load. For other destructive test
methods, daily per furnace unless specified by Customer to be checked with greater
frequency, e.g. each batch.
o Continuous: Every 4 hours for hardness testing. For other destructive testing methods,
daily per furnace unless specified by Customer to be checked with greater frequency, e.g.
each batch.
• D2.1 – Thermocouples and calibration of thermocouples shall conform to Section P3.1.
• D2.2 – Calibration of instrumentation shall conform to Section P3.2.
• D3.3 – Monitor part temperature (when specified). Note: This does not replace the requirement
for energy or signature monitors.
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• G3.4 – Added “Daily” frequency requirement for Atmosphere Generators.

• H1.3 – Vacuum monitoring devices shall be calibrated annually or verified annually against a
calibrated master. The master used for verification shall be calibrated at a minimum annually per
applicable ASTM, NIST, ISO or national equivalent standards.
• H1.4 – Gas ratio controllers for atmosphere delivery shall be calibrated annually or verified
annually against a calibrated master. Alternatively, using a Pre-mixed gas of Certified
Composition satisfies this requirement. The master used for verification shall be calibrated at a
minimum annually per applicable ASTM, NIST, ISO or national equivalent standards.
• H1.5 – Pre-Mixed Gases shall have a Certificate of Ratio of Gas Mixture and Gas Purity with
each shipment.
• H1.8 – The vessel shall achieve a leak up rate of 90 microns Hg per hour or less and shall be
verified weekly.
• H3.4 – Verify Process Gas Mixture settings each batch.
• H4.5 – Defined inspection requirements for “White layer/compound zone (when specified)”.
• Process Table I added and renamed “Hot Stamping”.
• I3.9 – Defined quench process monitoring requirements for “Supplemental Cooling Water –
Temperature”.
• I3.10 – Defined quench process monitoring requirements for “Supplemental Cooling Water –
Flow Rate”.
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Table of Contents
ABOUT AIAG.........................................................................................................................................................3
FOREWORD ..........................................................................................................................................................4
TH
CHANGES TO CQI-9 4 EDITION............................................................................................................................6
INTRODUCTION ..................................................................................................................................................10
GENERAL ................................................................................................................................................................... 10
INTEGRATING NEW INSPECTION DEVICES BETWEEN REVISIONS OF CQI-9............................................................................... 10
PROCESS APPROACH .................................................................................................................................................... 10
HEAT TREAT SYSTEM ASSESSMENT GOALS ........................................................................................................................ 10
ASSESSMENT PROCESS .................................................................................................................................................. 11
USE OF CQI-9, HTSA, AND PROCESS TABLES ................................................................................................................... 11
ASSESSOR QUALIFICATIONS ........................................................................................................................................... 11
OTHER REQUIREMENTS ................................................................................................................................................ 11
1 SCOPE..............................................................................................................................................................13
1.1 GENERAL.............................................................................................................................................................. 13
1.2 APPLICATION ........................................................................................................................................................ 13
1.3 REFERENCE ........................................................................................................................................................... 14
2 THE HEAT TREAT SYSTEM ASSESSMENT PROCEDURE .......................................................................................15
INSTRUCTIONS FOR COMPLETING THE COVER SHEET ........................................................................................................... 16
INSTRUCTIONS FOR COMPLETING SECTIONS 1 – 3 .............................................................................................................. 18
SECTION 1 – MANAGEMENT RESPONSIBILITY & QUALITY PLANNING ..................................................................................... 18
SECTION 2 – FLOOR AND MATERIAL HANDLING RESPONSIBILITY ........................................................................................... 19
SECTION 3 – EQUIPMENT .............................................................................................................................................. 19
P3.1 THERMOCOUPLES ................................................................................................................................................ 20
P3.2 INSTRUMENTATION .............................................................................................................................................. 27
P3.3 SYSTEM ACCURACY TEST (SAT) .............................................................................................................................. 32
P3.4 TEMPERATURE UNIFORMITY SURVEY (TUS).............................................................................................................. 43
INSTRUCTIONS FOR COMPLETING THE JOB AUDIT ............................................................................................................... 53
PROCESS TABLE A – CARBURIZING / CARBONITRIDING / CARBON RESTORATION / HARDENING / AUSTEMPERING
/ MARTEMPERING / TEMPERING / PRECIPITATION HARDENING – AGING ..........................................................55
PROCESS TABLE B – NITRIDING (GAS) AND FERRITIC-NITROCARBURIZING (GAS OR SALT) ...................................56
PROCESS TABLE C – ALUMINUM HEAT TREATING ...............................................................................................57
PROCESS TABLE D – INDUCTION HEAT TREATING................................................................................................58
PROCESS TABLE E – ANNEALING / NORMALIZING / STRESS-RELIEVING ...............................................................59
PROCESS TABLE F – LOW PRESSURE PROCESSING (CARBURIZING / CARBONITRIDING / NEUTRAL HARDENING) .60
PROCESS TABLE G – SINTER HARDENING ............................................................................................................61
PROCESS TABLE H – ION NITRIDING ....................................................................................................................62
PROCESS TABLE I – HOT STAMPING ....................................................................................................................63
GLOSSARY OF TERMS .........................................................................................................................................65
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INTRODUCTION
General
The work of preparing CQI-9 Special Process: Heat Treat System Assessment (HTSA), Fourth Edition,
was completed by the AIAG Heat Treat Work Group. These heat treat requirements are complementary to
customer and product standards.
English is the official language of the AIAG CQI-9 Special Process: Heat Treat System Assessment. If
there are any inconsistencies or contradictions as a result of a CQI-9 translation, the English version shall
prevail.
The HTSA can be used to assess an organization’s ability to meet the requirements in this assessment, as
well as customer, regulatory, and the organization’s own requirements.
In the HTSA, the word “shall” indicates a requirement for purposes of the system 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.
In the HTSA the term “procedure” indicates documented instructions that are available to all personnel on
every shift. In example, procedures may include work instructions, consensus standards, operation
manuals and equipment manuals. The examples can be used independently or in any combination to
satisfy the term “procedure.”
Integrating New Inspection Devices Between Revisions of CQI-9

Advancements in technology are such that the introduction of new process or product inspection and
control equipment may occur between the release of CQI-9 editions.
The intent of this document requires that the practices related to calibration and verification of devices not
specifically covered in the current CQI-9 edition be compliant to consensus standards or the approved
manufacturer’s procedures.
Process Approach
The HTSA supports the automotive process approach as described in IATF 16949.
Heat Treat System Assessment Goals

The goal of the HTSA is the development of a heat treat management system that provides for continual
improvement, emphasizing defect prevention and the reduction of variation and waste in the supply chain.
The HTSA, coupled with an internationally recognized quality management system and applicable
customer-specific requirements, defines the fundamental requirements for heat treat management systems.
The HTSA is intended to provide a common approach to a heat treat management system for automotive
production and service part organizations.
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Assessment Process
Ongoing assessments shall be conducted, at a minimum, annually, unless otherwise specified by the
customer, to ensure continuous compliance with the HTSA. Each assessment shall include a review of the
organization’s systems using the HTSA. Successive Job Audits (Section 4.0 of this document) shall
sample parts from different automotive component manufacturers that require compliance to the HTSA
document.
The assessment shall use the process approach to auditing as identified by the requirements of IATF 16949.
Use of CQI-9, HTSA, and Process Tables

CQI-9 HTSA and Process Tables address the most common thermal processes employed by the
automotive industry. Due to the vast differences in the various thermal processes currently available, it
may be necessary to incorporate requirements across the provided process tables.
The assessor has the availability to employ requirements from multiple Process Tables if an element of
the thermal process being assessed requires such.
Assessor Qualifications
Assessor or assessing team shall collectively have the following specific experience to conduct the HEAT
TREAT SYSTEM ASSESSMENT:
1. Assessor shall possess heat treating knowledge. Evidence shall include a minimum of 5 years’
experience in heat treating or a combination of formal metallurgical education and heat
treating experience totaling a minimum of 5 years.
2. Assessor shall be able to demonstrate understanding of applicable quality management

system (e.g. ISO 9001, VDA and IATF 16949) requirements related to the scope of the
assessment.
3. Assessor shall possess knowledge of and be familiar with the application of automotive
quality core tools including statistical process control, measurement systems analysis, part
approval, failure mode and effects analysis, and advanced quality planning.
Note: If more than one assessor is required to meet the above qualifications, the lead assessor shall
be the person meeting the requirements in item #1.
Other Requirements
The organization shall keep records as evidence of compliance to the requirements identified in the HTSA,
as well as all appropriate action plans to address any unsatisfactory ratings. These records shall be readily
available for review by any customer requiring compliance to the requirements within this document.
Documentation recovery shall meet IATF 16949 or ISO 9001 requirements for process control and
inspection records.
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It is assumed that the heat treater will meet all ‘In-Process/Final Test Requirements/Frequencies’ per
Section 4 of the Process Tables. If evaluation of the product characteristics detailed in Section 4 are not
practical, the heat treater shall obtain an exception from the customer. Examples of such exceptions
include employing surrogate test pieces in lieu of sectioning large or expensive product, using alternative
test methods for correlating specific mechanical characteristics, reduced frequency of inspection, etc.
Exceptions in frequencies or test methods for the evaluation of product characteristics shall be
documented in the customer approved PPAP control plan.
Exceptions are customer specific and do not carryover to other customers.
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1 SCOPE
1.1 General
This document specifies process requirements for an organization or its suppliers performing applicable
heat treating, who need to:
• 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 continual improvement of the system.
The Heat Treat System Assessment is applicable to sites where customer-specified parts for production
and/or service are processed throughout the automotive supply chain.
1.2 Application
All requirements of the HTSA are generic and are intended to be applicable to all organizations
performing the heat treat operations addressed in this document, regardless of type, size, and product.
Nine 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
• Carbonitriding
• Carbon Restoration or Correction
• Neutral Hardening (Quench and Temper)
• Austempering
• Martempering
• Tempering
• Precipitation Hardening – Aging
Process Table B – Ferrous
• Nitriding (Gas)
• Ferritic-Nitrocarburizing (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
• Conformance to CQI-9 is required for organizations that perform annealing, normalizing,
or stress-relieving to achieve desired final characteristics of the part.
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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 from
conforming to the requirements in CQI-9.
Process Table F – Low Pressure Processing (Carburizing / Carbonitriding / Neutral Hardening)

Process Table G – Sinter Hardening
Process Table H – Ion Nitriding
Process Table I – Hot Stamping
These Process Tables contain requirements for:

1. Process and Test Equipment
2. Pyrometry
3. Process Monitor Frequencies
4. In-Process/Final Test Frequencies
5. 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.
1.3 Reference
The following standards are referenced in this document. The applicability is limited to the subject matter
referenced.
Standard Title Standard’s Organization

Number
FMEA AIAG & VDA FMEA Handbook AIAG and VDA

International Automotive
IATF 16949 Quality management systems
Task Force (IATF)
SAE J1739 Design FMEA and Process FMEA SAE International
Thermocouples – Part 1: EMF specifications International Electrotechnical
IEC 60584-1
and tolerances Commission
General Requirements for the competence of International Organization for
ISO/IEC 17025
testing and calibration laboratories Standardization
International Organization for
ISO 9001 Quality management systems requirements
Standardization
Standard Specification and Temperature-
American Standards of
ASTM E230 Electromotive (EMF) for Standardized
Testing and Methods
Thermocouples
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2 THE HEAT TREAT SYSTEM ASSESSMENT PROCEDURE

1. Obtain current copy of CQI-9 Special Process: Heat Treat System Assessment, 4th edition
from AIAG.
2. Download and save the Excel file that contains the CQI-9 Special Process: Heat Treat System
Assessment, 4th edition from www.aiag.org following the steps below:
• Enter your username & password
• Go to My Account
− For an eDocument purchase: go to eDocuments
o Select Additional Documents
− For a Hardcopy purchase: go to Downloads
Please note that the assessment can only be downloaded from the account it was purchased under.
3. Identify all heat treat processes to which CQI-9 Special Process: Heat Treat System
Assessment, 4th edition applies (see CQI-9, 1.2 Application). Record these processes on the
HTSA Cover Sheet located on the Excel file.
4. Complete the HTSA, determining the level of compliance. A minimum of one job audit
(Section 4) shall be performed during each assessment.
5. Address each “Not Satisfactory” item and determine corrective action, including root cause
analysis and implementation of the corresponding corrective action(s). The corrective
action(s) shall be completed within 90 days. Records of the corrective action, including
verification, shall be maintained.
6. “Needs Immediate Action” requires immediate containment of potential suspect product.
This type of noncompliance could lead to the improper thermal processing of 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 action(s) shall be completed within 90 days or sooner, as determined by the
assessor and agreed upon with the quality leadership of the impacted organization. In some
instances a “Needs Immediate Action” finding could lead to actions up to and including a
processing stoppage until the noncompliance is resolved. Records of the corrective action,
including verification, shall be maintained.
7. Assessments shall be conducted annually unless otherwise specified by the customer.
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Instructions for Completing the Cover Sheet

1. 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 of the Operations
Manager or Quality Manager shall be used.
4. Fax Number: The fax number of the facility.
5. Date of Assessment: Enter the date(s) of the assessment. An alphanumeric format shall be
used to avoid confusion with different numeric formats.
Example: August 3 – 4, 2020
6. Date of Previous Assessment: List the date of the previous CQI-9 Special Process: Heat
Treat System Assessment of this facility.
7. Internal (Captive) Heat Treater (Y/N): Enter “Y” if this facility heat treats components for
their own company. Enter “N” if the company does not heat treat any components for their
own company.
8. Commercial Heat Treater (Y/N): Enter “Y” if this facility heat treats components for
companies other than their own company. Enter “N” if this facility does not heat treat any
components for other companies.
9. Type(s) of Thermal Processing at this Facility: Place a checkmark to designate all thermal
processes performed at this facility. 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.
10. Current Quality Certification(s): The heat treater shall list their current quality
certifications, e.g. IATF 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 also be given.
11. Date of Re-assessment (if necessary): 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 implementation of the corrective action(s), has been observed. Also, the
“Number of Not Satisfactory Findings” shall be modified as appropriate.
12. 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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13. Auditors/Assessors: List the name(s), Company(ies), phone number(s) and email
address(es), if available, of the auditor/assessor(s).
14. Number of “Not Satisfactory” Findings: Enter the number of “Not Satisfactory” findings
observed during the assessment.
15. Number of “Needs Immediate Action” Findings: Enter the number of “Needs Immediate
Action” findings observed during the assessment.
16. 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
Instructions for Completing Sections 1 – 3

Sections 1 – 3 of the Heat Treat Assessment 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” column.
Note 1: In the “Requirements” column, the word “shall” indicates a requirement and the term
“such as” indicates that any suggestions given are for guidance only.
Note 2: The “Requirements” 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: If the question is not applicable to the heat treater, then the assessor shall place a
checkmark in the “NA” column. If the 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” (S) column. If the observed evidence is not in
compliance to the question, then the assessor shall note the noncompliance in the
“Objective Evidence” column and place a check mark in the “Not Satisfactory” (NS)
column.
Note 4: 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) column.
NIA requires immediate containment of suspect product.
Section 1 – Management Responsibility & Quality Planning
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Section 2 – Floor and Material Handling Responsibility
Section 3 – Equipment
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P3.1 Thermocouples
P3.1.1 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 equivalent standards
or by the thermocouple manufacturer should be adhered to.
P3.1.1.1 All thermocouples shall comply with Tables P3.1.1, P3.1.2, P3.1.3, P3.1.4 and P3.1.5
requirements.
P3.1.1.2 Extension wire shall not be spliced. Only compensated jacks, plugs, connectors and
terminal strips may be used. (e.g. Type K plugs with Type K wire).
P3.1.2 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).
P3.1.2.1 Thermocouples shall be calibrated prior to first use and in the temperature range in
which they will be employed. The calibration temperature test points shall be no further than
150ºC or 250ºF apart.
The time interval for the replacement of thermocouples shall commence with the date the
thermocouple is placed in service.
Refer to Tables P3.1.1, P3.1.2, P3.1.3, and P3.1.4 for appropriate thermocouple calibration and
replacement requirements.
P3.1.2.2 Calibration certificates shall include the following detail: the actual test temperature
reading, the nominal test temperature, the corresponding correction factor (or error/deviation
value) for each calibration temperature test point, the provider of the calibration data, their
accreditation symbol (or equivalent) if not performed in-house and the calibration method used.
P3.1.2.3 The interpolation of correction factor values between calibration test points is allowed.
Extrapolation is not allowed; no determinations shall be made concerning values either above the
highest calibration temperature or below the lowest calibration temperature.
P3.1.2.4 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.
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P3.1.2.5 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 P3.1.1,
P3.1.2, P3.1.3, and P3.1.4 are satisfied.
P3.1.3 Reuse of Thermocouples: The date that any thermocouple is placed in service shall be
documented. The tracking of uses for non-expendable control, monitoring and recording thermocouples is
not required. Non-expendable control, monitoring and recording thermocouples shall be replaced or
recalibrated in accordance with the requirements indicated in Table P3.1.1. All other thermocouples shall
be replaced or recalibrated in accordance with requirements indicated in the applicable Table P3.1.2,
P3.1.3, P3.1.4 or P3.1.5.
P3.1.3.1 A “use” for thermocouples is defined as one cycle of heating and cooling of the
thermocouple (see glossary). See Table P3.1.5 for maximum number of uses of a thermocouple.
P3.1.3.2 All thermocouples shall be stored in such manner as to protect them from damage.
Damaged thermocouples shall not be reused. Examples of a damaged thermocouple would
include but are not limited to; insulation not intact, hot junction broken, evidence of corrosion,
crimping, termination fitting or plug has become loose or sheath material has been scratched
exposing mineral insulating material.
P3.1.3.3 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.
P3.1.3.4 Thermocouples shall be dedicated to a specific, unalterable purpose (TUS, SAT, Load
Sensing, Control, Monitoring or Recording). Thermocouples that have achieved their maximum
permitted number of uses for this assigned application shall not be repurposed for other CQI-9
compliance requirements.
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Table P3.1.1 Calibration and Replacement Requirements for Thermocouples Used for Process
Control, Monitoring and Recording
OPERATING CALIBRATION / CALIBRATION
THERMOCOUPLE CALIBRATED
TEMPERATURE REPLACEMENT ACCURACY
TYPE (1) AGAINST
INTERVAL REQUIRED
± 1.1ºC (± 2.0ºF) or
Primary or
Base Metal Types Calibrate before first use. ± 0.4% of reading
≥ 760ºC (1400ºF) Secondary
(K,N,J,E) Replace Annually (2,3,5) whichever is
Standard
greater
± 1.1ºC (± 2.0ºF) or
Calibrate before first use. Primary or
Base Metal Types < 760ºC ± 0.4% of reading
Replace Every Two Secondary
(K,N,J,E,T) (1400ºF) whichever is
Years (2,3,5) Standard
greater
± 1.1ºC (± 2.0ºF) or
Calibrate before first use. Primary or
Noble Metal Types ± 0.4% of reading
All Temps Replace Every Two Secondary
(B,R,S & RTDs) whichever is
Years (2,4,5) Standard
greater
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. Noble metal thermocouples Type B, R, S and RTDs (Resistance Temperature Detectors see
glossary) may be recalibrated in lieu of replacement.
5. Applies to resident thermocouples used for Comparative Method SAT. Does not apply to Load
Sensing Thermocouples. See Tables P3.1.4 and P3.1.5
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Table P3.1.2 Calibration and Replacement Requirements for Thermocouples Used for Primary
and Secondary Standards
CALIBRATION / CALIBRATION
THERMOCOUPLE USE REPLACEMENT ACCURACY
TYPE AGAINST
INTERVAL REQUIRED
± 0.6ºC (± 1.0ºF)
Secondary Before first use. or
Primary Types R and S Reference
Standard Recalibrate each ± 0.1% of reading
Standard (1) Noble Metal Standard (4)
Calibration three (3) years. whichever is
greater
± 0.6ºC (± 1.0ºF)
Test Before first use. or
Secondary Types R and S Primary
Thermocouple Recalibrate each ± 0.1% of reading
Standard (2,3) Noble Metal Standard
Calibration two (2) years. whichever is
greater
± 0.6ºC (± 1.0ºF)
Test Before first use. or
Secondary Type B Primary
Thermocouple Recalibrate each ± 0.25% of
Standard (2,3) Noble Metal Standard
Calibration two (2) years. reading whichever
is greater
Before first use.

± 1.1ºC (± 2.0ºF)
Replace each
Test or
Secondary one (1) year Primary
Base Metal Thermocouple ± 0.4% of reading
Standard (2,3) period minimum. Standard
Calibration whichever is
Recalibration
greater
prohibited (5)
1. A primary standard thermocouple together with a primary standard instrument shall be used to
calibrate secondary standard thermocouples.
2. A secondary standard thermocouple together with, at a minimum, a secondary standard
instrument shall be used to calibrate test thermocouples.
3. Use is limited to the calibration of temperature uniformity, system accuracy, controlling,
recording, monitoring, and load thermocouples.
4. A Type R or S noble metal thermocouple calibrated against a NIST (or equivalent) reference
standard. No error permitted.
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Table P3.1.3 Calibration and Replacement Requirements for Thermocouples Used for
Temperature Uniformity Survey (TUS) and System Accuracy Test (SAT)
CALIBRATION / CALIBRATE CALIBRATION
THERMOCOUPLE
USE REPLACEMENT D ACCURACY
TYPE
INTERVAL AGAINST REQUIRED
Temperature Primary or ± 1.1ºC (± 2.0ºF) or

Types B, R and S Before first use. Replace or
Uniformity Secondary ± 0.4% of reading
Noble Metal Recalibrate every 2 years.
Surveys Standard whichever is greater
Primary or ± 1.1ºC (± 2.0ºF) or

Types B, R and S SAT – Probe Before first use. Replace or
Secondary ± 0.4% of reading
Noble Metal Method Recalibrate every 2 years.
Standard whichever is greater
SAT – Primary or ± 1.1ºC (± 2.0ºF) or

Comparative Secondary ± 0.4% of reading
Noble Metal Recalibrate every 2 years.
Method Standard whichever is greater
Temperature Primary or ± 1.1ºC (± 2.0ºF) or

Before first use. Replace
Base Metal Uniformity Secondary ± 0.4% of reading
per Table P3.1.5 (1)
Surveys Standard whichever is greater

SAT – Probe Before first use. Replace
Base Metal Secondary ± 0.4% of reading
Method per Table P3.1.5 (1)
Standard whichever is greater
SAT – Primary or ± 1.1ºC (± 2.0ºF) or

Before first use. Replace
Base Metal Comparative Secondary ± 0.4% of reading
per Table P3.1.1 (1)
Method Standard whichever is greater
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Table P3.1.4 Calibration and Replacement Requirements for Thermocouple Used for Load
Sensing
CALIBRATION / CALIBRATION
REPLACEMENT ACCURACY
TYPE AGAINST REQUIRED
INTERVAL
Secondary ± 0.4% of reading
Noble Metal Recalibrate every six (6) months.
Standard whichever greater
Before first use. Replace per Primary or ± 1.1ºC (± 2.0ºF) or
Base Metal Table P3.1.5 Recalibration Secondary ± 0.4% of reading
prohibited. (1) Standard whichever greater
Table P3.1.5 – Allowable Number of Uses for Thermocouples in Specific Applications
MAXIMUM
THERMOCOUPLE OPERATING PERMITTED
USE
TYPE TEMPERATURE USES
(6)
Expendable Base Metal Temperature Uniformity Surveys / SAT ≤ 980ºC (1800ºF) 15
Expendable Base Metal Temperature Uniformity Surveys / SAT > 980ºC (1800ºF) 1
Expendable Base Metal Control (1) All 1
Expendable Base Metal Monitor/Record/Load Sensing (4) > 650ºC (1200ºF) 1
Expendable Base Metal Monitor/Record/Load Sensing (4) ≤ 650ºC (1200ºF) 30
Temperature Uniformity Surveys,

Non-expendable Base
SAT and Load Sensing ≤ 980ºC (1800ºF) 180 (3,7)
Metal
Thermocouples (5)
Temperature Uniformity Surveys,
Non-expendable Base
SAT and Load Sensing > 980ºC (1800ºF) 90 (2,3,7)
Metal
Thermocouples (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. These uses shall be documented.
3. In the absence of documentation of the number of uses for non-expendable base metal
thermocouples used for TUS and SAT, then the thermocouples shall be replaced after 6 months
for temperatures below or equal to 980°C (1800°F) and after 3 months for temperatures above
980°C (1800°F).
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4. Expendable base metal thermocouples for load sensing are only allowed more than one use if
thermocouple shows no visual damage. Documentation is required to show compliance.
5. Non-expendable base metal thermocouples for load sensing are only allowed more than one use if
thermocouple shows no visual damage. Documentation is required to show compliance.
6. Under no circumstance shall any expendable base metal thermocouple be used beyond one year
from date of first use. Under no circumstance shall any non-expendable base metal thermocouple
be used beyond two years from date of first use.
7. Resident thermocouples if used for Probe Method A and Probe Method B shall be replaced after 6
months for temperatures below or equal to 980°C (1800°F) and after 3 months for temperatures
above 980°C (1800°F).
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P3.2 Instrumentation
P3.2.1 General Instrumentation Requirements: Instrumentation shall be selected as appropriate for
their intended use and shall meet or exceed the accuracy requirements indicated in Table P3.2.1.
Note: Analog instrumentation shall be replaced with digital instrumentation within three years of
issued date of CQI-9 Fourth Edition.
P3.2.1.1 All instrumentation calibrations shall be traceable to the National Institute of Standards
and Technology (NIST) or other national or international standard.
P3.2.1.2 External sources providing calibrations shall be accredited to ISO/IEC17025 or other

national equivalent.
Original equipment manufacturers without accreditation may be used to perform calibrations on

their equipment. Calibrations shall be performed in accordance with the intent of 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.
P3.2.1.3 Calibration frequencies and accuracies are specified in the applicable Process Tables
and in the Instrumentation Table P3.2.1. A grace period of 2 weeks is allowed for all calibrations.
P3.2.1.3.1 If calibrations are found to be outside the limits established in Instrumentation Table
P3.2.1, the cause of the deviation shall be determined and documented, and the equipment shall
not be used for additional processing until a successful calibration adjustment has been
performed.
P3.2.1.3.2 If an instrument calibration cannot be performed within the prescribed interval

requirements, the equipment shall not be used for production. An instrument calibration meeting
the requirements established in Table P3.2.1 shall be performed prior to equipment being used for
production.
P3.2.1.4 The temperature for each control zone shall be recorded by a recording instrument.
Where temperature within the work zone is controlled indirectly, e.g. retort type furnaces, the
temperature within the work zone shall also be recorded by a recording instrument where furnace
design permits.
P3.2.1.4.1 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.
P3.2.2 Readability and Resolution: The following represent minimally acceptable requirements:
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P3.2.2.1 Test instruments shall be digital and have a minimum readability of 1.0ºC or 1.0ºF.
P3.2.2.2 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 2.0oC or 4.0oF
for analog instrumentation.
P3.2.2.3 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
P3.2.3 Offsets: Although the use of offsets is generally discouraged, they are allowed to (specifically)
correct for calibration errors, SAT errors and to center a TUS result.
Offset or bias values applied are limited and shall not exceed 3⁰C or 5⁰F for the correction of instrument
calibration error. An additional offset or bias of 3⁰C or 5⁰F is allowed for the correction of an SAT error
and another 3⁰C or 5⁰F of offset or bias for the purpose of centering a TUS result.
When offsets are used a documented procedure shall exist which at a minimum describes each of the
following:
• When the use of offset is permitted
• How manual and electronic offsets are performed
• How the basis (calibration, SAT or TUS) for the offset is documented
• How offset is accounted for when performing calibrations
• How offset is considered when performing an SAT
• How to reintroduce any intentional offsets
• Who has the authority to approve the use of offsets
• How the approval is documented
P3.2.4 Calibration: Calibration of control, monitoring, and recording instruments shall be performed to
the manufacturer’s instructions; however calibration may be performed as described in P3.2.4.1.
P3.2.4.1 It is acceptable to perform calibrations on either a single point (measure) or multi-point

(source) basis. The following requirements shall be met:
P3.2.4.1.1 For the calibration of control, monitoring and recording instruments on furnaces that
are in operation and running at typical operating temperatures, a single point calibration is
acceptable (parallel reading of the thermocouple input at the instrument or module).
P3.2.4.1.2 Calibration of control, monitoring and recording instruments may be performed on a

multi-point basis by sourcing a signal to the instrument representing the low, mid and high points
of the range of the instrument.
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P3.2.4.1.3 For furnaces with a load in process the furnace temperature shall remain within
processing tolerance.
P3.2.4.1.4 Test equipment used for the calibration of control, monitoring and recording
instruments shall at a minimum meet the requirements for Field Test Equipment as specified in
Table P3.2.1.
P3.2.4.2 For each channel or group of channels in use that can be altered or adjusted, a
calibration shall be required.
P3.2.4.3 Calibration Frequency for control, monitoring, and recording instruments shall be
quarterly.
P3.2.4.3.1 The frequency may be every six months provided that the SAT is performed monthly
per Probe Method A (per P3.3.4.1) AND the multi-point calibration is employed for the
instrument.
P3.2.5 Calibration Records: Calibration status and results shall be reported as follows.
P3.2.5.1 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
P3.2.5.2 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 (PLC devices/modules not
serialized require unique identification)
• 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)
• Basis for offset/bias values indicated and clearly defined (Calibration, SAT, or TUS)
• 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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• Name and signature of the technician who performed the calibration

• Accreditation symbol (or equivalent) if not performed in-house
• Calibration company if not performed in-house
• Sign-off by responsible person in the heat treat organization
P3.2.6 Electronic Records: When using a control, recording, monitoring or data acquisition 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 P3.2.1 INSTRUMENT CALIBRATION REQUIREMENTS
MAXIMUM
CALIBRATION
INSTRUMENT CALIBRATION CALIBRATED
INSTRUMENT ACCURACY USE
TYPE PERIOD AGAINST
REQUIRED
(MONTHS) (2)
Reference Zener voltage NIST or equivalent Per NIST or ISO Limited to primary
36
Standard reference National Standard EN Standard. standard calibration.
± 0.05ºC (± Limited to laboratory

0.1ºF) or calibration of secondary
Potentiometer,
Primary Reference ± 0.015% of standard and test
digital volt meter 36
Standard Standard reading, instruments and primary
or equivalent.
whichever is and secondary standard
greater. sensors.
Limited to laboratory
calibration of field test
± 0.2ºC (± 0.3ºF)
instruments, system
or
Potentiometer, accuracy test sensors,
Secondary ± 0.05% of
digital volt meter 12 Primary Standard temperature uniformity
Standard reading,
or equivalent. survey test sensors, load
whichever is
sensors, and controlling,
greater.
monitoring, or recording
sensors.
SAT/TUS
portable Limited to controlling,
± 0.6ºC (± 1.0ºF)
potentiometer or monitoring, or recording
or
digital Primary or instrument calibration,
Field Test ± 0.1% of
instrument, 12 Secondary performance of system
Instrument reading
electronic data Standard accuracy tests and
whichever is
recorder or data temperature uniformity
greater.
acquisition surveys.
system.
Field Test
Instrument
3 (single-point or
Digital
Control, multi-point Limited to measuring,
Instrument
Monitoring or calibration) recording, and controlling
Electro ± 2.0ºC (± 4.0ºF)
Recording the temperature of thermal
mechanical
Instruments Field Test processing equipment.
instrument.
Instrument
6 (1)
(multi-point
calibration)
Field Test Limited to measuring the

Control, Mechanical
Instrument temperature of
Monitoring or (analog) or
3 (single-point or ± 2.0ºC (± 4.0ºF) refrigeration and quench
Recording Thermal
multi-point bath thermal processing
Instruments element.
calibration) equipment.
1. Per P3.2.4.3.1 the frequency may be every six months provided that the SAT is performed
monthly per Probe Method A (per P3.3.4.1) AND the multi-point calibration is employed for
the instrument.
2. Calibration time interval commences with date of last calibration.
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P3.3 System Accuracy Test (SAT)

P3.3.1. SAT shall be performed for all control, monitoring and recording thermocouples. This does not
include the “over temperature” thermocouples which are used solely to protect the furnace from
overheating.
P3.3.1.1 The SAT shall be performed using either the Probe Method (Section P3.3.4.1 or Section
P3.3.4.2) or the Comparative Method (Section P3.3.4.3)
P3.3.2 The SAT using the Probe Method shall be performed using a test thermocouple conforming to the
requirements of Thermocouple Table P3.1.3 coupled with a field test instrument meeting the
requirements of Instrumentation Table P3.2.1.
P3.3.3 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, monitoring, or
recording instrument.
P3.3.4 The SAT shall be performed while the furnace is operating at a typical operating temperature
using one of the following methods:
P3.3.4.1 Probe Method A:
P3.3.4.1.1 Probe Method A is a check between the uncorrected reading of the control,
monitoring, or recording temperature system (control instrument, leadwire, and thermocouple)
and the corrected reading of a test temperature system (test instrument and test thermocouple).
See Illustration P3.3.1 and P3.3.2
P3.3.4.1.2 The tip (measuring junction) of the test thermocouple shall be no further than 50mm
(2 inches) from the tip (measuring junction) of the control thermocouple.
P3.3.4.1.3 The temperature indication of the control, monitoring, or recording instrument

connected to its associated 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, monitoring, or recording thermocouple.
P3.3.4.1.3.1 When using Probe Method A, any electronic offset value introduced into the control
instrument for the purpose of centering a TUS result shall be mathematically removed when
calculating the SAT difference.
P3.3.4.1.4 If the calculated SAT difference exceeds 5ºC (10ºF) the appropriate corrective action
shall be taken before commencing with additional thermal processing. Control, monitoring, or
recording thermocouples failing to meet the requirements shall be replaced. A new SAT shall be
conducted on the replacement thermocouple.
P3.3.4.1.4.1 Actions taken to correct the failed SAT shall be documented.
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P3.3.4.1.5 Resident SAT thermocouples shall be non-expendable and of a different type than the
sensor being tested. Only Types N, B, R and S are allowed as resident SAT thermocouples. See
Table 3.1.5, SAT Probe Method for the resident thermocouple replacement schedule.
P3.3.4.1.6 SAT frequency shall be quarterly. A grace period of 2 weeks is allowed for Probe
Method A SATs.
P3.3.4.1.7 If an SAT cannot be performed within the prescribed interval requirements, the
equipment shall not be used for production. An SAT meeting the requirements established in
Table P3.3.1 shall be performed prior to equipment being used for production.
EXAMPLE OF PROBE METHOD “A”
Example of a Probe Method “A” System Accuracy Test (SAT)

Performed on the Temperature Control System
CONTROL CONTROL ADJUSTED TEST TEST TEST CORRECTED TEST CALCULATED

INSTRUMENT INSTRUMENT CONTROL INSTRUMENT THERMOCOUPLE INSTRUMENT INSTRUMENT SAT
TEMPERATURE TUS OFFSET INSTRUMENT TEMPERATURE CORRECTION CORRECTION TEMPERATURE DIFFERENCE
INDICATION TEMPERATURE INDICATION FACTOR FACTOR READING
(A) (B) (C)=(A)-(B) (D) (E) (F) (G)=(D)+(E)+(F) (C) – (G)
900°C 0°C 900°C 901°C + 0.3°C + 0.1°C 901.4°C - 1.4°C

(1652°F) (0°F) (1652°F) (1654°F) (+ 0.5°F) (+ 0.2°F) (1654.7°F) (- 2.7°F)
ILLUSTRATION P3.3.1
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EXAMPLE OF PROBE METHOD “A”
PERFORMED WITH A RESIDENT THERMOCOUPLE
Example of a Probe Method “A” System Accuracy Test (SAT)

Performed with a Resident Thermocouple on the Temperature Control System
CONTROL CONTROL ADJUSTED TEST RESIDENT TEST CORRECTED TEST CALCULATED

INSTRUMENT INSTRUMENT CONTROL INSTRUMENT THERMOCOUPLE INSTRUMENT INSTRUMENT SAT
TEMPERATURE TUS OFFSET INSTRUMENT TEMPERATURE CORRECTION CORRECTION TEMPERATURE DIFFERENCE
INDICATION TEMPERATURE INDICATION FACTOR FACTOR READING
(A) (B) (C)=(A)-(B) (D) (E) (F) (G)=(D)+(E)+(F) (C) – (G)
900°C 0°C 900°C 900°C + 0.3°C + 0.1°C 900.4°C - 0.4°C

(1652°F) (0°F) (1652°F) (1652°F) (+ 0.5°F) (+ 0.2°F) (1652.7°F) (- 0.7°F)
ILLUSTRATION P3.3.2
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P3.3.4.2 Probe Method B:
P3.3.4.2.1 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 P3.3.3 and P3.3.4.
P3.3.4.2.2 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.
P3.3.4.2.3 After insertion of the test thermocouple, sufficient time shall be allowed to achieve
equilibrium between the test thermocouple and the control thermocouple under test.
P3.3.4.2.4 The uncorrected reading of the control, monitoring, or recording 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.
P3.3.4.2.5 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.
P3.3.4.2.5.1 Actions taken to correct the failed SAT shall be documented.
Table 3.1.5, SAT Probe Method for the resident thermocouple replacement schedule.
P3.3.4.2.7 SAT frequency shall be quarterly. A grace period of 2 weeks is allowed for Probe
Method B SATs.
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EXAMPLE OF PROBE METHOD “B”
Example of a Probe Method “B” System Accuracy Test (SAT)

CONTROL TEST TEST TEST CORRECTED CALCULATED

THERMOCOUPLE THERMOCOUPLE THERMOCOUPLE INSTRUMENT “Y” TEST SAT
TEMPERATURE TEMPERATURE CORRECTION CORRECTION INSTRUMENT DIFFERENCE
INDICATION ON TEST INDICATION ON TEST FACTOR FACTOR TEMPERATURE
INSTRUMENT “X” (1) INSTRUMENT “Y” (2) READING
(A) (B) (C) (D) (A) – (E)

(E)=(B)+(C)+(D)
900°C 901°C + 0.3°C + 0.1°C 901.4°C - 1.4°C

(1652°F) (1654°F) (+ 0.5°F) (+ 0.2°F) (1654.7°F) (- 2.7°F)
ILLUSTRATION P3.3.3
1. Uncorrected temperature reading.
2. Although multiple test instruments are illustrated, the use of multiple test instruments is not required to
perform this testing process; A single test instrument is typically utilized (test instrument “X” and “Y”
would be the same instrument).
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EXAMPLE OF PROBE METHOD “B”

Example of a Probe Method “B” System Accuracy Test (SAT)

CONTROL RESIDENT RESIDENT TEST CORRECTED TEST CALCULATED

THERMOCOUPLE THERMOCOUPLE THERMOCOUPLE INSTRUMENT “Y” INSTRUMENT SAT
TEMPERATURE TEMPERATURE CORRECTION CORRECTION TEMPERATURE DIFFERENCE
INDICATION ON TEST INDICATION ON TEST FACTOR FACTOR READING
INSTRUMENT “X” (1) INSTRUMENT “Y” (2)
(A) (B) (C) (D) (E)=(B)+(C)+(D) (A) – (E)
900°C 901°C + 0.3°C + 0.1°C 901.4°C - 1.4°C

(1652°F) (1654°F) (+ 0.5°F) (+ 0.2°F) (1654.7°F) (- 2.7°F)
ILLUSTRATION P3.3.4
1. Uncorrected temperature reading.

2. Although multiple test instruments are illustrated, the use of multiple test instruments is not required to
perform this testing process; A single test instrument is typically utilized (test instrument “X” and “Y”
would be the same instrument).
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P3.3.4.3 Comparative Method:
P3.3.4.3.1 The Comparative Method is a comparison between the uncorrected reading of the
control, monitoring, or recording 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 P3.3.5 and P3.3.6
P3.3.4.3.2 The temperature difference (delta) between the control, monitoring, or recording
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).
P3.3.4.3.3 This established delta shall not differ by more than +/-1oC (or +/-2oF) 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 examples in Illustrations
P3.3.5 and P3.3.6 for calculation of delta.
P3.3.4.3.4 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 or Type S with Type B, K or N).
This is to prevent false readings due to similar degradation rate.
P3.3.4.3.5 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.
Table 3.1.3, SAT Comparative Method for the resident thermocouple replacement schedule.
P3.3.4.3.7 SAT frequency shall be monthly. A grace period of 3 days is allowed for Comparative
Method SATs.
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EXAMPLE OF COMPARATIVE METHOD
Example of a Comparative Method System Accuracy Test (SAT)

CONTROL PERMANENTLY CONTROL PERMANENTLY CALCULATED

INSTRUMENT INSTALLED INSTRUMENT INSTALLED DEVIATION
TEMPERATURE MONITORING TEMPERATURE MONITORING FROM INITIAL
AT TIME OF INSTRUMENT INITIAL DELTA AT TIME OF INSTRUMENT DELTA(2)
INSTRUMENT TEMPERATURE MONTHLY TEMPERATURE
CALIBRATION(1) AT TIME OF CHECK(1) AT TIME OF
CALIBRATION(1) MONTHLY
CHECK(1)
(A) (B) (C) = (B) – (A) (D) (E) (E) – (D) – (C)
900°C 901°C + 1.0°C 901°C 902°C 0°C

(1652°F) (1654°F) (+ 2.0°F) (1654°F) (1656°F) (0°F)
ILLUSTRATION P3.3.5
1. (A) & (B) indications/data illustrated above; Subsequent (D) & (E) indications/data not illustrated above.
2. Calculated deviation from initial delta shall be ≤ 1°C (≤ 2°F).
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EXAMPLE OF COMPARATIVE METHOD

Example of a Comparative Method System Accuracy Test (SAT)

CONTROL RESIDENT CONTROL RESIDENT CALCULATED

INSTRUMENT THERMOCOUPLE INSTRUMENT THERMOCOUPLE DEVIATION
TEMPERATURE TEMPERATURE TEMPERATURE TEMPERATURE FROM INITIAL
AT TIME OF INDICATION INITIAL DELTA AT TIME OF INDICATION ON TEST DELTA(2)
INSTRUMENT ON TEST MONTHLY INSTRUMENT
CALIBRATION(1) INSTRUMENT(1) CHECK(1) AT TIME OF
MONTHLY CHECK(1)
(A) (B) (C) = (B) – (A) (D) (E) (E) – (D) – (C)
900°C 901°C + 1.0°C 901°C 902°C 0°C

(1652°F) (1654°F) (+ 2.0°F) (1654°F) (1656°F) (0°F)
ILLUSTRATION P3.3.6
1. (A) & (B) indications/data illustrated above; Subsequent (D) & (E) indications/data not illustrated above
2. Calculated deviation from initial delta shall be ≤ 1°C (≤ 2°F)
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Fourth Edition, Issued TBD
P3.3.5 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
• Control instrument setpoint value
• 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
• Name and signature (written or electronic) of technician performing the test
• Accreditation symbol (or equivalent) if not performed in-house
• External calibration company if applicable
• Sign-off by responsible person in the heat treat organization (written or electronic)
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TABLE P3.3.1 SYSTEM ACCURACY TEST REQUIREMENTS
REQUIRED MAXIMUM
METHOD SAT SENSOR SAT TESTING SAT DIFFERENCE
TYPE FREQUENCY ALLOWED
Types B, R and S
Noble Metal
± 5.0ºC (± 10.0ºF)
Probe Method Quarterly
Types K, N, J and E (1,3)
Base Metal
Types B, R and S
Noble Metal
Comparative
± 1.0ºC (± 2.0ºF)
Method Monthly
Types K, N, J and E (2,3)
Base Metal
1. Maximum value of the Calculated SAT difference (see P3.3.4.1.3 and P3.3.4.2.5).
2. Maximum deviation from initial delta (see P3.3.4.3.3)
3. Total offset/bias assigned to the correction of an SAT error shall not exceed 3.0ºC (5.0ºF).
This permissible offset/bias is separate from offset/bias assignable to a Calibration error or
TUS.
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P3.4 Temperature Uniformity Survey (TUS)
P3.4.1 General TUS Requirements: Temperature uniformity characteristics, qualified work zones, and
operating temperature ranges of furnaces 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.
TUS frequencies are specified in the applicable Process Tables. The grace period of two (2) weeks is
allowed for all temperature uniformity surveys.
If a TUS cannot be performed within the prescribed interval requirements, the furnace shall not be used
for production. A TUS shall be performed prior to the furnace being used for production.
P3.4.1.1 Any furnace modification or repair that could alter the temperature uniformity
characteristics of the furnace shall result in a temperature uniformity survey being performed
prior to the furnace system being used for processing. See “Furnace Modifications” and “Furnace
Repairs” in the Glossary for further guidance.
P3.4.1.2 All 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.
P3.4.1.3 TUS Test Temperatures: If the operating temperature range of the qualified work
zone is equal to or less than 170ºC (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 170ºC (305ºF) then the minimum 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.
P3.4.1.4 TUS Furnace Parameters: When performing any temperature uniformity survey the
furnace system parameters during the test shall replicate the furnace 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 ensure required test locations are securely held.
If the TUS is performed with a loaded furnace the load shall replicate typical operations and the
thermocouples shall be attached to or buried in the load.
P3.4.1.5 Use of Heat Sinks: If the TUS is performed without a load the TUS test thermocouples
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.
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P3.4.1.6 Furnace Vacuum Level 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.
P3.4.2 Continuous and Semi-Continuous Furnaces
P3.4.2.1 TUS Methods: Continuous and semi-continuous furnaces 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) or in a plane (Plane Method).
P3.4.2.2 Number and Location of TUS Thermocouples
P3.4.2.2.1 Volumetric Method: Shall be used with semi-continuous furnaces or other furnace
systems where parts are indexed or sequenced from the charge end to the discharge end, e.g.
pusher furnaces. See Table P3.4.1 for number of TUS thermocouples. See Figure P3.4.1 for the
location of the TUS thermocouples.
P3.4.2.2.2 Plane Method: Shall be used for continuous furnaces where the product is
continuously moving through the furnace, e.g. belt furnaces. See Table P3.4.2 for number of
thermocouples. Refer to Figure P3.4.2 for the location of the TUS thermocouples.
P3.4.2.3 TUS Data Collection:
P3.4.2.3.1 TUS test thermocouples shall be traversed through the furnace at a traverse speed
typically used in production and representing all test locations as required in Table P3.4.1 and
Figure P3.4.1 or Table P3.4.2 and Figure P3.4.2 as appropriate.
P3.4.2.3.2 Data collection shall begin when the TUS test thermocouples are loaded into the
furnace. All data collected shall be included in the TUS reporting.
All temperature data generated by the TUS test thermocouples shall be recorded automatically at
least every thirty seconds. The process record for furnace 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 person in
the heat treat organization can determine compliance with internal process specifications defining
suitable soak time.
P3.4.3 Batch/Chamber Furnaces
P3.4.3.1 TUS Methods: Batch/Chamber furnaces shall be surveyed so that the volume defined
as the qualified work zone is tested. For Batch/Chamber furnaces with multiple, independently
controlled chambers (e.g. multiple control zones and qualified work zones), the performance of a
TUS shall be required for each individual chamber. The TUS test thermocouples shall be
arranged three dimensionally (Volumetric Method) as illustrated in Figure P3.4.1.
P3.4.3.2 Number of TUS Thermocouples: The required number of TUS thermocouples shall
be in accordance with the TUS Test Thermocouple Table P3.4.1.
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P3.4.3.3 Location of TUS Thermocouples: See Figure P3.4.1 for the typical location of
thermocouples in rectangular and cylindrical shaped furnaces. For furnace work zone volumes
greater than 8.5m³ (300ft3), the thermocouple locations shall be similar to the example in Figure
P3.4.1 and the additional thermocouples shall be located to best represent the qualified work
zone.
P3.4.3.4 TUS Data Collection: Data collection shall begin when the TUS thermocouples are
loaded into the furnace. All 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 furnace zone temperature shall be compared to the TUS data to ensure
compliance to TUS requirements.
P3.4.3.4.1 When the furnace 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 minimum.
P3.4.4 Permissible TUS Test Thermocouple Failures: The permissible TUS test thermocouple failure
rate is defined below:
When using 3 to 9 thermocouples 0 failures are permitted

When using 10 to 16 thermocouples 1 failure is permitted
When using greater than 16 thermocouples Less than or equal to 10% failures
A temporary condition such as a short or loose connection or momentary loss of telemetry signal where
normal temperature readout is restored shall not be considered a failed TUS test thermocouple. No corner
position failures of a TUS test thermocouple are allowed.
P3.4.5 TUS Pass/Fail Requirements:
P3.4.5.1 Evaluation of temperature readings for TUS thermocouples and control thermocouples
shall be performed relative to the set point temperature unless the qualified work zone is
controlled indirectly. In this case the evaluation shall be performed relative to the target
temperature and confirmed against the process record.
A temperature uniformity survey shall be acceptable if all previous requirements are met
including the following:
• All TUS thermocouples and control thermocouples readings are within the respective
temperature tolerance requirements shown in the applicable Process Table during the
defined soak period.
• The upper temperature tolerance shall not be exceeded at any time. Exceptions may exist
in systems where multiple process temperatures exist in a single process cycle.
• 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.
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• The organization’s internal process specification defining suitable soak time was met.
Internal process specification shall define suitable soak time at temperature requirements.
P3.4.5.2 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.
P3.4.5.2.1 If the Qualified Operating Temperature Range of the qualified work zone is equal to
or less than 170°C (305°F) then the initial TUS test temperature shall be resurveyed. If the
Qualified Operating Temperature Range of the qualified work zone exceeds 170°C (305°F) then
both initial TUS test temperatures shall be resurveyed.
P3.4.6 TUS Instrumentation: TUSs shall be performed using independent test instrumentation meeting
the requirements of Table P3.2.1 – Instrument Calibration Requirements and independent test
thermocouples meeting the requirements of Table P3.1.3 – Thermocouples.
P3.4.6.1 Compensation for known deviations in the test instrumentation shall be made by
electronic or mathematical corrections.
P3.4.7 TUS Report: The items listed below shall be included in the temperature uniformity survey
report:
• Furnace identification
• Method of TUS
• Empty or loaded; if loaded, identify load rate or load condition
• 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
• Control instrument tuning parameters, e.g. - PID values
• TUS thermocouple calibration report to include correction factors or error/deviation
• Survey test instrument identification number
• Survey test instrument calibration report to include calibration data and correction factors
or error/deviation for each adjustable channel or input
• Corrected readings of all TUS thermocouples at each survey temperature. Readings shall
be identified as corrected
• Any furnace limitations or restrictions identified by the TUS
• Testing company identification (if not performed in-house)
• Name and 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
• Soak time required vs soak time achieved
• Documentation of any furnace survey thermocouple catastrophic failures
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• Time and temperature profile data for all TUS thermocouples and control thermocouples
for all zones tested; Control thermocouple data shall be generated by the associated
process recorder or process data acquisition system
• Indication of test pass or test fail status
• Summary of final plus and minus readings at each test temperature
P3.4.8 Alternative TUS Testing Methods: It is incumbent upon the Heat Treater to provide objective
evidence that the temperature uniformity characteristics of thermal processing equipment meet the
requirements of the applicable Process Table(s) and satisfy the intent of this document.
In instances where it is impossible or impractical to traverse or insert TUS test thermocouples through or
into the furnace work zone(s) due to the design characteristics of the furnace system, the Heat Treater
shall be required to perform Property Surveys or develop an acceptable alternative TUS testing method.
P3.4.8.1 Property Surveys: The purpose of a property survey shall be to establish and routinely
evaluate those characteristics that are sensitive to variations in process temperatures to ensure and
objectively demonstrate that each furnace process is capable of consistently yielding an
acceptable product.
P3.4.8.1.1 Initial Property Survey: Initial property surveys shall establish baseline data against
which subsequent product property trends shall be performed. If possible, the selected product is
processed frequently and the typical process lot size range shall be representative 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.
P3.4.8.1.1.1 For initial property surveys, a minimum of one product property survey shall be
performed at each required survey temperature.
P3.4.8.1.1.2 For batch/chamber furnaces and semi-continuous furnaces or other furnace systems
where parts are indexed or sequenced from the charge end to the discharge (e.g. pushers), at a
minimum, product shall be sampled from the corners and the center of the load.
P3.4.8.1.1.3 For continuous furnaces where the product is continuously moving through the
furnace (e.g. belt furnaces), at a minimum, efforts shall be made to sample product across the
work zone at the beginning, middle, and end of the lot.
P3.4.8.1.1.4 Any furnace relocation, modification or repair that could alter the temperature
uniformity characteristics of the furnace shall result in an initial property survey being performed.
P3.4.8.1.1.5 All 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.
P3.4.8.1.2 Property Survey Test Temperatures: If the operating temperature range of the
furnace is equal to or less than 170ºC (305ºF), then only one temperature within the operating
temperature range shall be represented by the product property survey. If the operating
temperature range of the furnace is greater than 170ºC (305ºF), then the minimum and maximum
temperatures of the operating range shall each be represented by a product property survey.
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P3.4.8.1.3 Property Survey Test Parameters: It is strongly recommended that subsequent

property surveys be performed utilizing similar product and furnace setup at or near the initial
property survey temperature(s) and product locations. At a minimum, subsequent property
surveys shall be performed every six months.
P3.4.8.1.3.1 All control thermocouples readings shall be within the respective temperature
tolerance requirements shown in the applicable Process Table during the property survey.
P3.4.8.1.4 Property Survey Procedure: When property surveys are used, a documented
procedure shall exist, which at a minimum, clearly describes each of the following:
• The temperature-critical part quality characteristics
• The acceptable tolerances of each characteristic
• The test methods used to check each characteristic
• The test equipment used
• The quantity of parts tested
• The defined part sampling locations
• The operating temperature range of the furnace system
• The person qualified to evaluate and approve data/reporting
• The response process to part failures/unfavorable data (e.g. Action Plan)
P3.4.8.1.5 Reaction to Failures: In the event that property data exceeds assigned tolerances, the
cause of the failure shall be determined and documented. The equipment shall not be used for
additional processing until the cause has been sufficiently mitigated and/or corrected and
passing/acceptable property data has been collected.
P3.4.8.1.6 Reporting: The items listed below shall be included in the property survey report:
• Identification of property survey procedure used
• Furnace identification
• Product identification
• Product lot identification
• Identification of part quality characteristic being tested
• Initial baseline test data
• Identification of process type
• Operating temperature range / test temperature(s)
• Identification load rate or load condition
• Identification of product sampling locations
• Survey start / stop date and time
• Time and temperature data for all control thermocouples. Control thermocouple data shall
be generated by the associated process recorder or process data acquisition system during
sampling.
• Assigned product tolerance requirements
• Product property survey data
• Indication of pass or fail status of product property survey
• Test instrument identification number
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• Name & Signature of the technician performing the property survey

P3.4.8.2 Site-Developed Alternative TUS Testing Methods:
P3.4.8.2.1 Site-developed alternative TUS testing methods shall require a documented procedure
which, at a minimum, clearly addresses each of the following:
• Description of test method(s) and testing parameters
• Intended data to be collected and evaluated
• Assigned process, part, and/or test tolerance(s)
• Test pass/fail requirements
• Reaction plan to failures or unfavorable data
• Description of all test equipment and materials
P3.4.8.2.2 Site-developed alternative TUS testing methods shall be validated and approved by
the responsible person within the heat treat organization.
P3.4.8.2.3 At a minimum, test reporting shall meet the requirements of P3.4.7 and/or P3.4.8.1.6
as applicable.
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Table P3.4.1 – TUS Test Thermocouple
0.1 to 8.5m³
Workspace Volume < 0.1 m³ (3ft³)
(3ft3 to 300ft³)
Number of Thermocouples 5 9
(VOLUMETRIC METHOD)
Note 1. For furnace volumes greater than 8.5 m³ (300ft³), add at a minimum one thermocouple
for each additional 3 m3 (105 ft3) up to 85 m³ (3000ft³). For furnace volumes greater than
85 m³ (3000ft³) add at a minimum two additional TUS test thermocouples for each 14 m³
(500ft³). For example, for a 113.2 m3 (4000 ft3) furnace, 39 TUS test thermocouples shall
be used at a minimum.
Note 2. Total offset/bias attributable to the centering of a TUS shall not exceed 3ºC (5ºF). This
permissible offset/bias is separate from offset/bias assignable to the correction of a
calibration error or an SAT error.
Represents thermocouple locations

Represents a center thermocouple location
Figure P3.4.1 – Volumetric Method TUS Test Thermocouple Locations
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Table P3.4.2 – Number and Location of the TUS Thermocouples

(PLANE METHOD)
Qualified work zone height

< 300 mm (1 ft.) > 300 mm (1 ft.)
Qualified work zone width see Note 1 see Note 2
< 0.3 m (1 ft.) 2 4
0.3 m to 0.75 m (1 ft. – 2.5 ft.) 3 5
0.75 m to 1.5 m (2.5 ft. – 5 ft.) 3 7
1.5 m to 2.4 m (5 ft. – 8 ft.) 3 8
Add one thermocouple for
> 2.4 m (8 ft.) each 0.6 m (2 ft.) of 8
additional width
Note 1: For qualified work zone widths greater than 0.3 m (1 ft.), two TUS thermocouple
locations shall be within 50 mm (2 inches) of the work zone corners or edge and one TUS
thermocouple location 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
corners 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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Qualified work zone height

< 300 mm (1 ft.) > 300 mm (1 ft.)
HEIGHT
HEIGHT
WIDTH
WIDTH
HEIGHT
HEIGHT
WIDTH
WIDTH
HEIGHT
HEIGHT
WIDTH
WIDTH
HEIGHT
HEIGHT
WIDTH
WIDTH
Represents thermocouple locations

Represents a center thermocouple location
Figure P3.4.2 – Plane Method TUS Test Thermocouple Locations
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Instructions for Completing the Job Audit

The organization shall complete a job audit during the annual HTSA. The scope of the job audit is
intended to verify the overall effectiveness of the heat treat system.
The job audit shall be conducted on a specific lot that is in process or has been recently processed but not
yet shipped. In subsequent heat treat system assessments, different parts and heat treat processes shall be
audited.
An automotive manufacturer’s part shall be used in performing the job audit. If an automotive
manufacturer’s part is not available, the selected part shall be another part processed in compliance with
CQI-9. The job audit shall be performed when applicable parts are available.
Each processing step shall be reviewed for proper production records/compliance/inspection. These steps
can be compared to those in the HTSA 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 audited.
Address each “Fail” item immediately. Any fail item shall result in the update of the corresponding
HTSA element (see Heat Treat System Assessment Procedure).
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Section 4 Job Audit
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PROCESS TABLE A – CARBURIZING / CARBONITRIDING / CARBON

RESTORATION / HARDENING / AUSTEMPERING / MARTEMPERING / TEMPERING
/ PRECIPITATION HARDENING – AGING
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PROCESS TABLE B – NITRIDING (GAS) AND FERRITIC-NITROCARBURIZING

(GAS OR SALT)
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PROCESS TABLE C – ALUMINUM HEAT TREATING
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PROCESS TABLE D – INDUCTION HEAT TREATING
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PROCESS TABLE E – ANNEALING / NORMALIZING / STRESS-RELIEVING
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PROCESS TABLE F – LOW PRESSURE PROCESSING (CARBURIZING /

CARBONITRIDING / NEUTRAL HARDENING)
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PROCESS TABLE G – SINTER HARDENING
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PROCESS TABLE H – ION NITRIDING
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PROCESS TABLE I – HOT STAMPING
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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.
Alternative TUS Testing Methods – Testing processes which are intended to provide adequate objective
evidence to verify the temperature uniformity, qualified work zone(s), and qualified operating
temperature range(s) of thermal processing equipment in the specific instances where it is not possible or
practical to traverse or insert TUS test thermocouples through or into the work zone. Alternative TUS
Testing Methods include ‘Property Surveys’ and ‘Site-Developed Alternative TUS Testing Methods’.
Apparent Hardness – Used in sintered materials. The value obtained by testing with standard
indentation hardness equipment (macro hardness testing). Since the reading is a composite of pores and
solid material, it is usually lower than that of solid material of the same composition and condition.
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.
Atmosphere: Any gas that may be introduced into a thermal process furnace with the objective of
providing, for example, a surface protection or surface modification.
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.
Batch: A quantity of parts or material processed in a single load at the same time.
Bias: The intentional adjusting of the process variable (PV) input value to a measuring device to correct
for such things as; calibration error, SAT error or to center a TUS results. See Offset.
Calculated SAT Difference: The difference between corrected and uncorrected readings taken during an
SAT as specified in Section P3.3 and Table P3.3.1 of this document.
Calibrated Master: A device that has been calibrated traceable to the National Institute of Standards and
Technology (NIST), or other national or international standards laboratory, and is used in turn to verify
the accuracy of another like device. The calibrated master shall have the same or higher accuracy as the
device to be tested. A certificate of calibration shall be on file.
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; e.g. a calibration adjustment.
Capability: The total range of inherent variation in a stable process.
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Carbon Restoration: A heat treat atmosphere process with the proper carbon potential that will restore
the surface of the steel to the proper carbon content. It is usually performed on raw material that has
decarburization at the surface. This is not to be used as a re-processing process.
Certificate: Documentation issued by an authoritative body attesting to a status or level of achievement.
Certify: Confirm in a formal statement, for example a certificate of calibration.
Compound Layer: See Nitride Layer
Continuous Furnace: Any furnace where product is conveyed continuously from the charge end to the
discharge end, by way of example this would include continuous belt furnaces. See Semi-Continuous
furnace.
Continuously Recording: To collect data in an uninterrupted fashion during the production process.
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 for example ovens, furnaces, generators, quench
baths, washers and refrigeration equipment. The device may or may not also record temperature.
Control Thermocouple: A thermocouple connected to the temperature control instrument of the process
equipment. For the purposes of this document may also include an RTD.
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. In some
instances the control zone may be separate from the working zone (e.g. retort furnaces).
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 thermocouple(s) either by electronic methods or mathematical correction. Same as 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, or an instrument or a combination thereof (system) to obtain
true temperature.
In the context of this document a 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 critical for the operation of equipment.
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 product or 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
Pattern.
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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 or a 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.
Diffusion Layer: See Nitride Layer
Digital Instrumentation: An instrument that displays or presents the values of process variable
measurements in a digitized form (in numbers).
Dry Contact Press Hardening: A process where a work piece (blank) that has been heated to an
elevated temperature is formed and quenched at the same time. The blank is typically a thin section
material with excellent formability. Quenching is achieved by direct contact with a die that is internally
cooled with a suitable medium. The die is used in conjunction with a high tonnage press and relatively
short heat treat cycles are used.
Energy Monitor: An electronic monitor that measures and displays the actual energy delivered to the
induction heating coil.
Error: In process instrumentation, the algebraic difference between the indication and the true value of
the measured signal.
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.
External 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 all the requirements of Table P2.1
and is used routinely to calibrate control, monitoring and recoding instruments found on thermal
processing equipment. It is also used in the performance of SATs and TUSs.
Final Value: See As-Left Data.
Flow Control: Device to control or monitor atmosphere or liquid flow into the process. May include, for
example, flow meters or flow scopes.
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.
Furnace: Equipment used for the thermal processing of materials and parts.
Furnace Modifications: Actions taken that change the furnace from its original documented state.
Examples of furnace modifications that could alter the temperature uniformity characteristics of the
furnace and shall require an additional TUS would include:
• Increase in the maximum qualified operating temperature
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• Decrease in the minimum qualified operating temperature

• Change in burner size, number, type or location
• Change in heating element number, type or location
• Changes to airflow (baffle positions, fan speed, fan quantity, etc.)
• Change of refractory thickness
• New refractory with different thermal properties
• Change of vacuum furnace hot zone design or materials
• Change of control sensor location
• Change of combustion pressure settings from original settings
• Temperature control scheme changes (proportional vs. high-low/on-off)
• Changes in temperature control tuning constants
• Work zone volume increase covering area not previously tested
• Work zone location change covering area not previously tested
Furnace Repairs: Maintenance actions that restore the furnace to its original documented condition. If
repairs are not expected to impact the temperature uniformity characteristics of the furnace an additional
TUS shall not be required.
Examples of furnace repairs that would not require an additional TUS would include:
• Replacing a burner with an identical burner
• Replacing a heating element with an identical heating element
• Refractory repair using material with identical thermal properties
• Replacing a control thermocouple without changing its documented location
• Replacing heating system components (gas regulator, valve, metering device, etc.) with
identical components and settings
• Restoring original documented combustion pressure settings
• Restoring original documented control tuning constants
• Replacing a controller with an identical controller with the same tuning constants
• System accuracy test failures
• Correction of furnace pressure control problem
• Repair of furnace door seals
Grace Period: A permissible duration of time beyond the required calibration or testing interval due date during
which testing may occur
Heat: See Steel Mill Heat

Heat Sink: A mass of material intended to represent simulated product and shall possess the highest
thermal conductivity / heat transfer characteristics of the material predominantly processed in the furnace
under test.
Heat Treater: An organization that performs heat treating to production and/or service parts. The heat
treating may be internal or “captive” to a manufacturing organization, or a separate commercial heat
treating supplier.
HTSA: Heat Treat System Assessment.
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Infrared: Thermal radiation. Every body with a temperature above absolute zero, emits, as a function of
its temperature, infrared radiation. Infrared, or IR devices, measure thermal radiation emitted from a body
to determine its temperature.
Initial Value: See As-Found Data.
Internal Offset/Bias: The intentional adjusting of the process variable (PV) input value 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 furnace used solely for determining response to heat treatment as required by
material specifications.
Load Sensor: A thermocouple that is attached to, inserted into or buried in the production material or a
representation of the production material and supplies temperature data to process instrumentation.
Lot: Identification of a defined quantity of product manufactured or processed together under the same
conditions that use the same material (e.g. same heat number) and specifications with uniform
characteristics that enable traceability to the heat treat process to a given point in time. This provides
traceability for potential containment activities associated with thermal processing issues.
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 varies 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.
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 instrument are 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 calibrated. See Calibration. A diagram
representing a typical multi-point calibration is given below.
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Nitride Layer: The total depth of Nitride penetration measured from the surface of the steel into the core
material. Typical processes are Nitriding, Ferritic Nitrocarburizing, Plasma Nitriding, etc. The Nitride
Layer thickness is comprised of the following sub-layers:
• OXIDE LAYER: The outermost layer developed on the surface of parts after exposing them
to a controlled oxidation treatment following the formation of a nitride or ferritic
nitrocarburized case. This oxide layer can be developed after gas, salt or plasma nitriding
processes. The purpose of the layer is to provide improved corrosion resistance for the parts.
• COMPOUND LAYER: Also referred to as the white layer. The outermost layer of a nitrided
steel before oxidation treatments. This layer is generally very thin (typically 2–50 microns
thick) and improves the tribological (wear and anti-galling) properties and corrosion
resistance of the steel. The compound layer is typically high in hardness and thus brittle in
nature.
• WHITE LAYER: Also referred to as the compound layer.
• DIFFUSION LAYER: The total depth of Nitride penetration underneath the compound
layer. This layer provides improved fatigue strength and load carrying ability and supports
the compound layer of the nitrided part.
• TRANSITION LAYER: This layer is part of the diffusion layer however can be prominent
in appearance in some steels but not in others. The transition layer is located between the
diffusion layer and the core metal. This layer has the lowest concentration of diffusion and
does not add significantly to the overall properties of a nitrided layer.
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Noble Metal Thermocouple: A thermocouple whose elements are made of platinum or platinum-
rhodium and their alloys (Types B, R, and S). Although functionally different, for the purposes of this
document platinum RTDs are included in this definition.
Nonconforming Product: Product that does not conform to the customer requirements.
Non-Contact Thermometry: The measuring of thermal radiation emitted from a target object to
determine its surface temperature. A non-contact thermometry sensor/device measures the temperature of
a target object while a contact thermometry sensor (thermocouple) measures the temperature of itself.
Non-expendable 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 act or practice of noting and recording some fact or event, often involving the
measurement of some quantity with suitable instruments.
Off Set: The intentional adjusting of the process variable (PV) input value to a measuring device to
correct for such things as; calibration error, SAT error or to center a TUS results. See Bias.
Over-Temperature Instrumentation: Temperature instrumentation installed in a furnace 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. Same as temperature high limit.
Oven: See furnace
Oxide Layer: See Nitride Layer
Oxidizing Burn-Out: A process to remove any residual ammonia from the furnace. The process usually
involves removing most of the carbon–bearing protective atmosphere and then introducing oxygen.
Oxygen Probe: A measuring device that determines the partial pressure of oxygen in carbon-bearing
atmospheres. This measurement provides an indirect measurement for the carbon potential of the
atmosphere.
Pack Density: Product mass represented by a specific area or volume of the work zone. Changes to pack
density may impact temperature uniformity characteristics.
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Parts Heat Treatment: Heating or cooling a specific metal or alloy in an effort to obtain specific
physical or mechanical 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 furnace 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 with accuracies of ±0.6⁰C (±1.0⁰F) or ±0.1%
of reading, whichever is greater, with calibration directly traceable to the NIST or other national standards
laboratory.
Primary Standard: A measurement standard established through calibration with respect to a
Reference Standard for a quantity of the same kind and with accuracies of ±0.05⁰C (±0.1⁰F) or ±0.015%
laboratory.
Probe: Interchangeable with sensor when used as a noun, e.g. oxygen probe or oxygen sensor, carbon
probe or carbon sensor. References SAT methodologies when used as a verb, e.g. Probe Method A.
Process Cycle: For a continuous or semi-continuous furnace the process cycle concludes when product
completes its traverse through the furnace. For a batch furnace the process cycle concludes when the
applicable process recipe time requirement has been achieved.
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 minimum requirements.
Product Properties: Product characteristics affected by heat treat (hardness, microstructure and case
depth, etc.).
Property Survey: An Alternative TUS Testing Method; A series of system specific tests or testing
processes where material/part characteristics that are sensitive to process temperature variations are
identified and routinely evaluated.
This testing process is intended to verify the temperature uniformity, qualified work zone(s), and qualified
operating temperature range(s) of a furnace or oven system in the specific instance where it is not possible
or practical to traverse or insert TUS test thermocouples through or into the work zone.
Pyrometry: In its simplest of terms, pyrometry is the measurement of temperature. However, for the
purposes of this document, the term “pyrometry” is intended to encompass instruments that control,
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monitor, and record temperature to include other thermal process control equipment such as IR devices
and thermocouples. The “pyrometry” section of this document addresses the maintenance, testing, and
management requirements of thermal process control instruments and equipment. These requirements
address: thermocouple accuracy and replacement intervals, instrument accuracy and calibration intervals,
system accuracy testing, and temperature uniformity testing.
Qualified Operating Temperature Range: The temperature range in which a furnace 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 furnace volume where at a minimum, temperature
uniformity conforms to the requirements of the applicable process table and as further defined by the heat
treater.
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 Delay: The time delay between the end of the heat treat cycle and the start of the quench
operation. For furnace heat treating, this is the total time elapsed from the start of the furnace 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). See also Process Table C, item C3.5.
Quenching: Rapid cooling.
Quenching Medium: The medium used to quench parts after heat treating, e.g. air, oil, polymer, and
water.
Quench System: A system facilitating the rapid cooling of heat treated product.
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 the values of one or more process
variables (e.g. .temperature, carbon potential, dew point, O2). 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.
Redundant Oxygen Probe: A secondary oxygen probe that monitors the primary oxygen probe.
Reference Standard: A measurement standard designated for the calibration of other measurement
standards for quantities of the same kind and meeting the requirements of Table P3.2.1. Typically used
for the calibration of Primary Standard instruments.
Resident SAT Thermocouple: A non-expendable system accuracy test thermocouple meeting the
requirements of Table P3.1.3 that is not removed from its test location between system accuracy tests.
The resident thermocouple shall be read with a Field Test instrument.
Resident thermocouples used with Probe Methods A and B shall be replaced at a minimum of each 180
days for temperatures below or equal to 980ºC (1800ºF) and each 90 days for temperatures greater than
980ºC (1800ºF). See Table P3.1.5.
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Resident thermocouples used with the Comparative Method shall be replaced in accordance with Table
P3.1.1.
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 all key functions.
This matrix includes the primary and secondary designees.
Retort Furnace: A furnace that employs a retort or muffle in which the product being heat treated is
contained.
Rework: See reprocessing.
RTD: Acronym for a resistance thermometer device. A temperature sensing device utilizing resistance
measurements to determine temperature. See also Thermocouple.
Salt Bath Furnace: A furnace utilizing molten salt as the heat medium.
SAT 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 with accuracies of ±0.2⁰C (±0.3⁰F) or ±0.05% of reading,
whichever is greater, with calibration directly traceable to the NIST or other national standards laboratory.
Typically used for the calibration of Field Test instruments.
Secondary Standard Thermocouple: A test thermocouple with accuracies of ±0.6⁰C (±1.0⁰F) or ±0.1%
laboratory.
Semi-Continuous Furnace: A furnace where product is conveyed at regular time intervals or indexed
from the charge end to the discharge end. By way of example this would include pusher type furnaces.
Set-up: The preparation and adjustment of machines for an assigned task. The manner in which the
elements of components of a machine, apparatus or system are arranged, designed or assembled. Also
applies to arrangement of thermocouples for TUS.
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.
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.
Sign-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 signal at a
single test point. A signal 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 Calibration. A diagram representing a typical single-point
calibration is given below.
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Sinter Hardening: Heating a mass of fine particles for a prolonged time below the melting point,
usually to cause agglomeration, coupled with, quenching and tempering steps to produce increased
strength.
Sintering: Heating a mass of fine particles for a prolonged time below the melting point, usually to cause
agglomeration. CQI-9 does not apply to Sintering where hardening is not performed, unless required by
customer specific requirements.
Site-Developed Alternative TUS Testing Method: An Alternative TUS Testing Method; A site-
developed, non-standard test methodology which has been approved and thoroughly validated to show
that a specific thermal processing system is capable of consistently meeting specified process
requirements.
This testing approach is intended to verify the temperature uniformity, qualified work zone(s), and
qualified operating temperature range(s) of a furnace or oven system in the specific instance where
Property Surveys are not possible or meaningful and it is not possible or practical to traverse or insert
TUS test thermocouples through or into the work zone in a manner explicitly defined within CQI-9.
A detailed, documented procedure is required for this test method.
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 furnace 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 level 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 compliance 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 all control thermocouples and TUS
test thermocouples are within the allowable TUS tolerance span as indicated in the appropriate Process
Table and the controllers are cycling and/or maintaining the set temperature in each zone.
In addition, for unloaded furnaces, no TUS test thermocouple may exhibit a continuous upward or
downward temperature trend.
For loaded furnaces some 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.
Steel Mill Heat: The stated full tonnage or volume of steel obtained from a single melt, which is
continuously cast or ingot cast.
System Accuracy Test (SAT): An on-site, in-situ comparison of temperature 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 furnace zone in accordance with the
requirements and methods established in Section P3.3.
System Accuracy Test (SAT) Thermocouple: A thermocouple used in the performance of system
accuracy testing and meeting the requirements of Table P3.1.3.
Temperature Controller: The instrument used to control the temperature within a furnace zone.
Temperature Pattern: A periodic repeated temperature variation within the thermal processing
equipment. See Cycling.
Temperature Uniformity: The temperature variation within the qualified furnace work zone in
relationship to set point temperature. For retort furnaces 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 furnace set temperature.
Temperature Uniformity Survey (TUS): A test or a series of tests where calibrated field test
instrumentation and calibrated test thermocouples are used to determine temperature variation within the
qualified work zone. This testing process is intended to verify the temperature uniformity, qualified work
zone(s), and qualified operating temperature range(s) of furnace and oven systems.
Note: Some Alternative TUS Testing Methods may or may not require the utilization of test
thermocouples. (see Alternative TUS Testing Methods)
Temperature Uniformity Survey (TUS) Thermocouple: A thermocouple used in the performance of

temperature uniformity survey testing and meeting the requirements of Table P3.1.3.
Temper Delay: The time delay form when the parts exit the quench tank to the time when the parts are
placed in the tempering furnace.
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.
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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. Although functionally different, for the purposes of this document platinum
RTDs are included in this definition.
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 potential of the
atmosphere.
Three-Valve Fail-Safe Vent (for ammonia lines): An arrangement of three valves that prevents
ammonia from inadvertently entering the furnace during carburizing or neutral hardening operations. The
valves are arranged in such a way that, when the ammonia line to the furnace is shut off, any ammonia
that might leak past the valve is vented to the atmosphere and thus prevented from entering the furnace.
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 thermocouple(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 thermocouple 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.
It is not a requirement to track uses for non-expendable control, monitoring and recording thermocouples.
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”.
Work Zone: The defined portion of a furnace volume where product is processed. The working zone.
That part of the furnace chamber which can be used for the desired process.
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MAINTENANCE REQUEST FORM

Name of Submitter: Date:
Company:
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 Industry Action Group • 4400 Town Center • Southfield, MI 48075
Telephone: (248) 358-3570 • eMail: Quality@aiag.org
Web: www.aiag.org
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Aiag Cqi-9

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CQI-9

Special Process: Heat Treat System Assessment

AIAG COPYRIGHT AND TRADEMARK NOTICE:

© 2020 Automotive Industry Action Group

James Hawthorne – Acument Global Technologies North America

Jens Wueppenhorst – ZF Friedrichshafen, AG

CHANGES TO CQI-9 4TH EDITION

Introduction Guidelines / Requirements

• G3.4 – Added “Daily” frequency requirement for Atmosphere Generators.

Integrating New Inspection Devices Between Revisions of CQI-9

Heat Treat System Assessment Goals

Use of CQI-9, HTSA, and Process Tables

2. Assessor shall be able to demonstrate understanding of applicable quality management

Exceptions are customer specific and do not carryover to other customers.

Process Table F – Low Pressure Processing (Carburizing / Carbonitriding / Neutral Hardening)

These Process Tables contain requirements for:

Standard Title Standard’s Organization

FMEA AIAG & VDA FMEA Handbook AIAG and VDA

2 THE HEAT TREAT SYSTEM ASSESSMENT PROCEDURE

Instructions for Completing the Cover Sheet

Cover Sheet Form

Instructions for Completing Sections 1 – 3

Section 1 – Management Responsibility & Quality Planning

Section 2 – Floor and Material Handling Responsibility

P3.1.2 Calibration of Thermocouples: Thermocouples shall be calibrated traceable to the National

P3.1.2.4 External sources providing calibrations shall be accredited to ISO/IEC17025 or other

Before first use.

Temperature Primary or ± 1.1ºC (± 2.0ºF) or

Primary or ± 1.1ºC (± 2.0ºF) or

SAT – Primary or ± 1.1ºC (± 2.0ºF) or

Temperature Primary or ± 1.1ºC (± 2.0ºF) or

Primary or ± 1.1ºC (± 2.0ºF) or

SAT – Primary or ± 1.1ºC (± 2.0ºF) or

1. Base metal thermocouples shall not be recalibrated.

1. Base metal thermocouples shall not be recalibrated.

Table P3.1.5 – Allowable Number of Uses for Thermocouples in Specific Applications

Expendable Base Metal Temperature Uniformity Surveys / SAT ≤ 980ºC (1800ºF) 15

Expendable Base Metal Control (1) All 1

Expendable Base Metal Monitor/Record/Load Sensing (4) > 650ºC (1200ºF) 1

Expendable Base Metal Monitor/Record/Load Sensing (4) ≤ 650ºC (1200ºF) 30

Temperature Uniformity Surveys,

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

P3.2.1.2 External sources providing calibrations shall be accredited to ISO/IEC17025 or other

Original equipment manufacturers without accreditation may be used to perform calibrations on

P3.2.1.3.2 If an instrument calibration cannot be performed within the prescribed interval

P3.2.4.1 It is acceptable to perform calibrations on either a single point (measure) or multi-point

P3.2.4.1.2 Calibration of control, monitoring and recording instruments may be performed on a

P3.2.5.2 Instrumentation calibration results shall be documented. The instrument calibration

• Name and signature of the technician who performed the calibration

TABLE P3.2.1 INSTRUMENT CALIBRATION REQUIREMENTS

± 0.05ºC (± Limited to laboratory

Field Test Limited to measuring the

P3.3 System Accuracy Test (SAT)

P3.3.4.1 Probe Method A:

P3.3.4.1.3 The temperature indication of the control, monitoring, or recording instrument

P3.3.4.1.4.1 Actions taken to correct the failed SAT shall be documented.

EXAMPLE OF PROBE METHOD “A”

Example of a Probe Method “A” System Accuracy Test (SAT)

CONTROL CONTROL ADJUSTED TEST TEST TEST CORRECTED TEST CALCULATED

(A) (B) (C)=(A)-(B) (D) (E) (F) (G)=(D)+(E)+(F) (C) – (G)

900°C 0°C 900°C 901°C + 0.3°C + 0.1°C 901.4°C - 1.4°C

EXAMPLE OF PROBE METHOD “A”

PERFORMED WITH A RESIDENT THERMOCOUPLE