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AC7102 REV.

AUDIT CRITERIA

Issued 1993-06
Revised: 2014-9

161Thorn Hill Road


Warrendale, PA 15086-7527

Superseding AC7102 Rev. G.

Baseline
Nadcap AUDIT CRITERIA for HEAT TREATING
TO BE USED ON AUDITS CONDUCTED ON OR AFTER 11-May-2014
Editorial Revision: 14-May-2014 para 1.1.2, 3.2.1, 2.1, 2.2., 2.3, 2.4, 5.2, 5.2.1, 13.3.3
Editorial Revision: 11-Sept-2014 para 1.1.1, added AC7102/10
Editorial Revision: 23-Sept-2014 para 2.3, 7.3.1, 7.3.2, 7.3.3, 7.3.4, EC Data

1.0

INSTRUCTIONS TO SUPPLIER TO BE AUDITED

1.1

Prior to the Audit

1.1.1

The Supplier shall complete a self-audit to (as applicable):

YES

NO

AC7102
AC7102/1 (If seeking Brazing approval)
AC7102/2 (If seeking Aluminum approval)
AC7102/3 (If seeking Carburizing approval)
AC7102/4 (If seeking Nitriding approval)
AC7102/5 (If Hardness testing is used in support of in-house heat
treating)
AC7102/6 (If seeking HIP approval)
AC7102/7 (If seeking Induction Hardening approval)
AC7102/8 (If seeking Heat Treating approval)
AC7102/10 (If seeking Localized Heat Treating approval)
AC7101/3 (If Tensile testing is used in support of in-house heat
treating)
AC7101/4 (If Metallography and Microindentation testing are used
in support of in-house heat treating)
AC7102/S (If seeking Primes specific approval)

All non-conformances shall be corrected by the corrective action system, prior to


the actual audit. Nonconformance of a technical nature found during the actual
audit will, at the Task Groups discretion, require a follow-up audit at the suppliers
expense. This self-audit shall be maintained by the Supplier for review by the
auditor.
During the self-audit the Supplier shall record each procedure and paragraph
number for each checklist question requiring an answer on procedures.

PRI operating procedures provide that "This report is published by PRI to advance the state of technical, engineering, and quality
sciences. The use of this report is entirely voluntary, and its applicability and suitability for any particular use, including any patent
infringement arising there from, is the sole responsibility of the user."
PRI values your input. To provide feedback on this document, please contact the appropriate commodity staff engineer.
(Contact information is located at http://www.eauditnet.com under Contact Us.)
Copyright 2014 Performance Review Institute. All rights reserved.
t-frm-15

2-Jan-14

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Ready availability of all documentation required by the Nadcap auditor will speed
up the audit process significantly.

1.1.2

The Supplier shall send the following to the auditor 30 days prior to the scheduled
audit (in English, unless otherwise agreed between auditor and supplier):

List of equipment (atmosphere generation, testing equipment, lab


equipment, inspection equipment, plating, coating, cleaning,
Pyrometry, and Pyrometry testing, etc.) (U14)
List of purchased services, including name(s) of supplier for
calibration, processing, testing, etc., schedule of calibrations,
uniformity surveys, system accuracy tests, hardness machines
servicing, etc., schedule of periodic tests (tensile, decarburization,
etc.)
List of Prime customers and specifications for which heat treater is
approved
List of heat treat specifications [military, government, industry (AMS,
etc.) and customer] that supplier is working to
Copy of internal general procedures for heat treat processing,
Pyrometry and testing/inspection of heat treated product (exemption
for ITAR and Export Control documents applies).
Organization chart

1.2

During the Audit

1.2.1

The Supplier should provide for an in-briefing for the auditor. Key members of the
Suppliers staff should attend the in-briefing so the audit purpose, methods and
assessment process can be discussed.

1.2.2

Working space for the auditor with desks or tables, chairs, telephone, clerical,
typing and reproduction services should be provided as required.

1.2.3

Auditor shall verify the scope of accreditation and modify it in eAuditNet as


required in agreement with the Supplier.

1.2.4

A final debriefing shall be conducted at the completion of the audit. Each


nonconformance report (NCR) shall be reviewed and the Supplier will be given the
opportunity to seek clarifications.
NOTE: The Heat Treating Task Group may, upon review, change the auditors
determination of a finding.

1.2.5

The Supplier has 21 calendar days to submit corrective actions and effective
dates for each NCR. The supplier shall respond to each individual NCR using the
appropriate form/media (see Public Documents on eAuditNet). Supporting
documentation shall be traceable to each individual NCR. The response must
address the root cause of the nonconformance from a systems management
approach and the actions taken or to be taken to preclude reoccurrence

1.3

Definitions and Interpretations

1.3.1

For definitions and interpretations see Heat Treating Task Group Audit Handbook.

1.3.2

(Info) When noted (as shown) below, the YES/NO column indicates a question
that is asked for information only, with no corresponding requirements. The NO

YES

NO

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answers to these questions do not require a nonconformance report or an


explanation.
1.4

Additional information for Suppliers

1.4.1

In addition to the commodity checklist noted herein, there may be other pertinent
data such as audit handbooks, attachments and preparatory instructions
necessary for the completion of the audit. These can be found and downloaded
from eAuditNet under Public Documents.

1.4.2

Questions marked with (U) codes are applicable to all Suppliers. (Uxx)
codes indicate that there are additional related questions in AC7102/S.
Those questions concern only the corresponding prime and shall be
answered only if the prime is identified as a customer.

2.0

SUPPLIER INFORMATION

DIVISION:
NATURE OF BUSINESS (U14):
IN-HOUSE PRODUCTS ONLY:

ACCEPTS OUTSIDE WORK:

TOTAL EMPLOYEES:

HEAT TREATING PERSONNEL:

SQUARE FEET OF HT AREA(S):

NO. OF SHIFTS WORKED:

ADDITIONAL CONTACTS

POSITION

COMMENTS:

2.1

Cover letter/notes attached.

2.2

Quality System Approval/certificate verified


(AC7004/AS/EN/JISQ 9100)

2.3

Staff Report attached.


Ensure that the scope has been reviewed and signed off in eAudinet with the

EMAIL

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Supplier.

2.4
Yes/No
Yes/No
Yes/No
Yes/No

Plant Location Changed


QC Manager Changed
Equipment Moved
Common Findings to Previous Audit

3.0

GENERAL QUALITY SYSTEM

3.1

Document Control

3.1.1

Are the applicable revisions of the appropriate documents available at the


appropriate workstation? (To make an Audit Handbook clarification/descriptive)

3.2

Contract Review

3.2.1

Are contracts and incoming purchase orders reviewed to ensure that:


a.

The quality and technical requirements, including any unique customer


requirements, are adequately defined and documented?

b.

Adequate capability, customer approvals and resources by the processor to


meet the requirements?

c.

Any deviations from the proposal/contract are resolved in writing by


authorized personnel/prime/supplier?

d.

Adequate definition of the work statement to identify the specific


process(es) to be performed including specification number(s), applicable
Type(s), Class(es), Grade(s), etc.?

e.

Identification of the prime aerospace customer that has design authority?

f.

Identification of the aircraft model or hardware that the part numbers


represent where applicable. (e.g. Boeing 777, Airbus A320, etc.)?

g.

Does the supplier flow contractual requirements down internally and to subtier suppliers?

NA

YES

NO

YES

NO

3.3

Control of Nonconforming Product

3.3.1

Is the nonconforming material controlled, and the customer notified of each


instance of nonconforming product in accordance with the contractual
requirements?

YES

NO

3.3.2

When reheat treatment is performed: is it allowed by specification, properly


documented, retested, and in compliance with customer requirements?

YES

NO

3.4

Corrective Action

3.4.1

Are all corrective actions from the previous Nadcap audit still implemented (check
the last full audit)?

YES

NO

3.5

Internal Audits

3.5.1

Are planned and documented internal quality audits performed on a scheduled

YES

NO

NA

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basis by knowledgeable personnel not directly responsible for the work?


3.5.2

Are all Nadcap elements within the scope of the Suppliers accreditation properly
addressed in the internal audit?

YES

NO

3.6

Quality Planning These requirements must be checked through all job


audits performed.

3.6.1

Is only the heat treating equipment which meets the requirements of the applicable
specifications for instrumentation and temperature uniformity used for processing?

YES

NO

3.6.2

Are specified times based on the appropriate thickness of the part or other criteria
in accordance with the applicable specification?

YES

NO

3.6.3

Are tensile specimens and other test specimens included with production loads
when required?

YES

NO

NA

3.6.4

Are there procedures that address the use and placement of load thermocouples
when required by specification or customer requirements?

YES

NO

NA

3.7

Frozen Planning

3.7.1

When customer approved fixed processes are required, is the Supplier working to
the latest revision approved by the Customer and is the evidence of this approval
on file?

3.8

First Lot Inspection

3.8.1

Is engineering first lot inspection and approval documented when required by the
customer?

YES

NO

3.8.2

Are records maintained for the development of fixturing and racking sketches, for
first article inspection when required by specification or customer requirements?

YES

NO

3.9

Purchasing

3.9.1

Are all facilities used for subcontracted testing and processing approved by either
the Customer or Prime, as required?

YES

NO

3.9.2

Are consumable goods, such as process atmospheres, quenchants, salts,


thermocouples, and materials for test samples, ordered and accepted according to
an in-house document or to a specific standard?

YES

NO

NA
YES

NO

NA

3.10

Electronic program control and data acquisition

3.10.1

Is there a procedure in place to address software control?

YES

NO

3.10.2

Is there evidence that software used to control and record Heat Treatment
equipment (programmable controller, electronic charts, etc.), is compliant with
approved procedure?

YES

NO

3.10.3

Are all software revisions verified by first lot inspection to ensure compliance with
specification requirements?

YES

NO

NA

NA

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4.

PERSONNEL

4.1

Training

4.1.1

Are there training procedures that assure personnel performing contract review,
job planning, heat treating and associated quality and test functions are competent
to perform assigned tasks?

YES

NO

4.1.2

Do records indicate that training is scheduled and attended in accordance with


procedures and documented?

YES

NO

4.2

Evaluation of Personnel

4.2.1

Do procedures require periodic evaluation to ensure that approved personnel


maintain proficiency in their assigned heat treating and related tasks?

YES

NO

4.2.2

Do records indicate that the evaluations are performed at documented frequencies


and the results reviewed with employees in a program of continuous improvement
of personnel??

YES

NO

5.

MATERIAL HANDLING AND TRACEABILITY

5.1

Incoming Material to Processing

5.1.1

Are identification, count and quality discrepancies resolved prior to processing of


parts?

YES

NO

5.1.2

Do procedures ensure that incoming customer documents remain traceable to


those specific jobs throughout processing?

YES

NO

5.2

General Cleaning

5.2.1

Does the internal procedure require that parts be clean prior to loading for
processing in the furnaces? (U18)

YES

NO

5.2.2

Do records and observations indicate that the procedure is followed?

YES

NO

5.3

Corrosion Resistant Steels Cleaning

5.3.1

Does the internal procedure require that all PH steel parts with any finish machined
surfaces are cleaned prior to heat treatment and handled with clean gloves after
cleaning? (U11)

YES

NO

5.3.2

Do records and observations indicate that the procedure is followed?

YES

NO

5.4

Titanium Cleaning and Handling

5.4.1

Does the internal procedure for cleaning Titanium surfaces preclude the using of
halogenated substances?

YES

NO

5.4.2

Does the internal procedure require that parts with any finished surfaces be
handled with clean gloves?

YES

NO

5.4.3

Are the procedures followed?

YES

NO

6.

INSPECTION

NA

NA

NA

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6.1

Process Verification

6.1.1

Is each heat treatment cycle reviewed for job traceability, correct temperature, time
at temperature and all other related parameters? (U11)

YES

NO

6.1.2

Is this review performed by Quality Assurance, other designated personnel, or selfinspected by the automated computer control and monitoring system?
(See Heat Treating Audit Handbook) (U11, U7)

YES

NO

6.1.3

Is the review documented in accordance with the customer requirements? (U11)

6.1.4

Are the acceptance status and any test data recorded on the shop paper only after
the operation for that job has been completed?

YES

NO

6.2

Sampling Plans

6.2.1

Does the supplier have a procedure that details all aspects of sampling inspection
that is in accordance with all customer heat treating specification sampling
requirements?

6.2.2

Do all supplier heat treating sampling plans contain:

NA
YES

NO

a.

A method to determine the quantity of product to check in the lot?

YES

NO

b.

Specified frequency and method of sampling?

YES

NO

c.

When to change to tightened or reduced plans?

YES

NO

6.2.3

Are sampling plans approved by the customer, when required?

YES

NO

6.2.4

Is there documented training in the use of the sampling plan which includes sample
size and selection, reduced and tightened plans, and when to implement them?

YES

NO

6.2.5

Does a sampling of jobs where sample inspection is permitted indicate that customer
requirements have been flowed down correctly to the inspector or delegated
operator and are met?

YES

NO

7.

PROCESS CONTROL TESTING

7.1

Does the Supplier have procedures or other documentation in place that addresses
all required Heat Treat process control testing? (See Heat Treating Audit Handbook)

YES

NO

7.2

Do the procedures or other documentation contain or reference the following


information:

7.3

a.

All applicable specifications when testing is specified? (See section 3.2)

YES

NO

b.

All qualification, periodic, and lot/batch acceptance testing as required by


specifications?

YES

NO

c.

A schedule for the completion of periodic tests?

YES

NO

d.

Documentation that tests were performed per the schedule?

YES

NO

Auditor is to select a minimum of 4 periodic tests (excluding Pyrometry, Hardness,


and Conductivity) consisting of internal or external tests (including requirements,

NA

NA

NA

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frequency, actual results, compliance, etc.) from the Suppliers Process Control
System and evaluate them against the applicable specification requirements,
including interval and test method. Two of these verifications may be selected as
part of the Job Audits or they may all be selected separately.
7.3.1

Test 1:

YES

NO

7.3.2

Test 2:

YES

NO

7.3.3

Test 3:

YES

NO

7.3.4

Test 4:

YES

NO

7.4

Hardness and/or Conductivity Testing

7.4.1

For information only, does the supplier perform hardness and/or conductivity testing?

YES
(info)

NO

YES
(info)

NO

YES
(info)

NO

YES
(info)

NO

If the Supplier performs hardness testing and/or conductivity testing for acceptance
of product, Nadcap AC7102/5 checklist shall be executed.

7.5

Metallography/Microhardness

7.5.1

For information only, does the supplier perform metallography and microhardness
testing? (U18)
If the Supplier performs metallography/microhardness testing for acceptance of
product or process control of the heat treatment process, Nadcap AC7101/4
checklist shall be executed, unless the supplier is accredited by Nadcap Material
Testing Laboratory Task Group to AC7101/4 checklist.

7.6

Mechanical Testing

7.6.1

For information only, does the supplier perform mechanical testing? (U11)

If the Supplier performs mechanical testing for acceptance of product or process


control of the heat treatment process, Nadcap AC7101/3 checklist shall be executed,
unless accredited by Nadcap Material Testing Laboratory Task Group to AC7101/3
checklist.
7.7

Preparation of Mechanical Test Specimens

7.7.1

For information only, does the supplier prepare the specimens for the mechanical
testing?

7.8

Surface Contamination Testing of Alloy Steels

7.8.1

Do the internal testing procedures conform to the specifications?

7.8.2

Do the internal testing procedures cover the following:


a.

Partial decarburization of steels?

NA
YES

NO

YES

NO

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b.

Total decarburization of steels?

c.

Carburization of steels?

d.

IGO/IGA (Inter Granular Oxidation/Inter Granular Attack) test?

-9-

YES

NO

YES

NO

7.8.3

Are the test records current and complete?

YES

NO

7.8.4

Is there a system in place to ensure that decarburization tests are performed at the
proper frequency, whether it is periodic or with the load? (U11)

YES

NO

7.9

Titanium Testing

7.9.1

Is there a system in place to control the test coupons and their use when required?

YES

NO

7.9.2

Does the internal documentation support that the test coupons are used in
accordance with the procedures/specifications?

YES

NO

7.9.3

Is there a system in place and adequate procedures for the control of hydrogen pick
up that meets the method and frequency specified by the customers requirements?

YES

NO

8.

REFRIGERATION AND SUB-ZERO TREATMENTS OF STEELS

8.1

Do procedures cover sub-ambient/sub-zero cooling according to the customer


requirements, or in absence of customer requirements, does the supplier have a
default procedure?

YES

NO

8.2

Do procedures and job planning specify time/temperature limits for sub-ambient/subzero treatments?

YES

NO

8.3

Do records indicate that the procedures are followed?

YES

NO

9.

FURNACE CONTROL AND MAINTENANCE

9.1

Furnace Document Control

9.1.1

Operating Instructions

9.1.1.1

Are the current operating manuals or instructions available to furnace operators,


maintenance personnel and other personnel requiring the information?

YES

NO

9.1.2

Heating and Cooling Parameters (U10)

9.1.2.1

Does the internal procedure specify the method for determining heat-up rate, start of
soaking time, end of soaking time and cooling rate? (U10)

YES

NO

9.1.2.2

Do records on the furnace chart or furnace log indicate compliance to the above
procedure and customer requirements?

YES

NO

9.2

Maintenance

9.2.1

Are all components of each furnace that can affect the functionality inspected and
maintained in accordance with a documented preventative maintenance schedule?
(U3)

YES

NO

NA

NA

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9.2.2

Do records indicate that the inspection and maintenance have been performed in
accordance with the schedule?

9.3

Control of the Heating Environment

9.3.1

Does the internal procedure specify how atmospheres are to be controlled and
monitored to ensure conformance to the requirements?

YES

NO

9.3.2

Do records indicate that the procedure is followed?

YES

NO

9.4

Metering

9.4.1

Are the flow meters operational and appropriate for the gas and flow rates used?

YES

NO

9.4.2

Do the inspection and maintenance schedule include periodic checks of flow meters
to ensure that they are functioning?

YES

NO

9.4.3

Does the internal procedure address the safety shut-off valves and the emergency
gas purges?

YES

NO

9.5

Purging

9.5.1

When the atmosphere is changed, is the furnace purged in accordance with an


internal procedure that assures elimination of the effects of previous atmosphere?

YES

NO

9.5.2

Does the internal procedure for purging Ammonia bearing atmospheres used for
nitriding include an Ammonia cut-off and purge in accordance with specification
requirements?

YES

NO

9.5.3

Do records indicate that the procedure is followed?

YES

NO

9.6

Neutral Salt baths for Steel

9.6.1

Is each salt bath tested periodically in accordance with the applicable heat treatment
specifications?

YES

NO

9.6.2

Do the salt bath test results demonstrate conformance to carburization,


decarburization, nitriding, and intergranular attack requirements?

YES

NO

9.6.3

Is there an internal procedure for these tests?

YES

NO

9.6.4

Do records indicate that the procedure is followed?

YES

NO

9.7

Carbon Controls for Steels

9.7.1

Do the internal procedures specify a system of maintenance and calibration of carbon


control indicators?

YES

NO

9.7.2

Do records indicate that the maintenance and calibrations are performed as required
by the procedures and applicable specifications?

YES

NO

9.7.3

Is the accuracy of the carbon control system confirmed by the results of tests
required by the heat treatment specifications?

YES

NO

9.8

Snap Temper

9.8.1

Are there procedures that address snap tempering within the time limits required by
the customers specifications? (U11)

YES

NO

NA

NA

NA

NA

NA

NA
YES

NO

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9.9

Quench System

NA

9.9.1

Are the quench mechanisms operational and capable of meeting maximum quench
delay provisions of the specifications?

9.10

Quenchant Maintenance

9.10.1

Does the internal procedure specify that quenchant temperatures are to be controlled
and documented?

YES

NO

9.10.2

Is all temperature recording and controlling equipment calibrated?

YES

NO

9.10.3

Do quenchant agitation and/or agitation of the product during quenching conform to


the applicable specifications?

YES

NO

9.11

Polymer Quenchants (Except Aluminum see AC7102/2)

9.11.1

Is there a system in place that ensures polymer quenching is only used when
permitted by the particular specification for the alloy and metal thickness?

YES

NO

9.11.2

Do procedures define the polymer concentration in accordance with the


requirements?

YES

NO

9.11.3

Do the records indicate compliance?

YES

NO

9.11.4

Do procedures specify the frequency and methods for determining the polymer
concentration in accordance with the requirements?

YES

NO

9.12

Quench Effectiveness

9.12.1

Do procedures specify the frequency and methods for the testing of oil quenchants
in accordance with all customer requirements?
(See Section 7)

YES

NO

9.12.2

Do the records indicate that quenchant effectiveness is consistent and meets the
specifications requirements?

YES

NO

9.13

Press Quench

9.13.1

Are the expander pressure, the cylinder pressure, and the number and force of hold
down springs, and applicable tolerances documented on or traceable to the traveler
for each job?

9.14

Racks, Fixtures and Baskets

9.14.1

Do internal procedures require that, when a part requires a specially designed


fixturing or racking method, that the specific fixturing or racking is used?

YES

NO

9.14.2

Are there internal procedures, racking sketches, or other means to ensure that
spacing between the parts is adequate for circulation of the heating medium and
coolant/quenchant as required by the specifications?

YES

NO

9.14.3

Do records indicate that the procedures are followed?

YES

NO

9.14.4

Does the internal procedure require that the racks/fixtures/baskets are examined for
integrity, and repaired or scrapped as necessary?

YES

NO

YES

NO

YES

NO
NA

NA

NA

NA
YES

NO

NA

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9.14.5

Do records indicate that the procedure is followed?

9.15

Fasteners

9.15.1

Is there a system in place to ensure that the fasteners are only processed in qualified
containers to approved procedures and customer requirements, or, when qualified, in
a continuous furnace?

9.16

Plating

- 12 YES

NO
NA

YES

NO

NA

Note: For purposes of this section, plating is limited to the plating operations utilized
for temporary masking or other operations for successful heat treatment or brazing.
This is not intended to replace plating for finishing purposes as controlled by
Chemical Processing Task Group.
If the supplier has a current Nadcap Chemical Processing accreditation that includes
both plating and stripping, questions 9.16.1 through 9.16.7.2 are YES unless
otherwise noted as part of the finding during this Special Process audit.
9.16.1

Does a general or part-specific documented procedure define the following:

9.16.1.1

In-process cleaning methods, water break free check?

YES

NO

9.16.1.2

Etching?

YES

NO

9.16.1.3

Strike/Activation, including temperature, time, current (as applicable)?

YES

NO

9.16.1.4

Post-process cleaning methods?

YES

NO

9.16.1.5

The specified plate thickness and method(s) of its measurement?

YES

NO

9.16.1.6

Any required treatment for preventing hydrogen embrittlement?

YES

NO

9.16.2

Fixturing, racking, masking

9.16.2.1

Are the fixtures, racks and masking materials defined and identified?

9.16.2.2

Do fixtures and masking prevent the entrapment of air or process solutions, and
protect parts from corrosion and unwanted coverage?

NA

NA
YES

NO

YES

NO

9.16.2.3

Does the fixturing and racking facilitate solution neutralization and removal during
rinsing, and minimize solution and rinse water drag-out and cross contamination of
process tanks?

YES

NO

9.16.2.4

Do the fixturing, racking, electric circuit design and lifting equipment preclude
mechanical damage or electrical arcing?

YES

NO

9.16.3

Processing tanks

9.16.3.1

Are processing tanks identifiable for their contents and specified temperature
ranges?

YES

NO

9.16.3.2

Are the tanks with specified temperature ranges operating within those ranges at the
time of processing?

YES

NO

9.16.3.3

Are tanks of sufficient volume and dimensions to contain hardware during processing
and assure sufficient coverage of parts?

YES

NO

9.16.3.4

Are tanks that require uniform temperature and solution concentration agitated?

YES

NO

NA

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9.16.3.5

Are tanks for electrolytic coatings equipped and configured to promote the required
uniform deposition rate?

YES

NO

9.16.4

Are anodes controlled and specific to each process solution to avoid cross
contamination?

YES

NO

9.16.5

Are equipment and solutions in compliance with applicable customer requirements?

YES

NO

9.16.6

Do the records show that the specified thickness of plate is achieved?

YES

NO

9.16.7

Stripping

9.16.7.1

Are the methods and materials for removal of plating as specified or approved by the
customer?

YES

NO

9.16.7.2

Do stripping procedures include an inspection of the stripped component following


the strip operation?

YES

NO

10.

PYROMETRY TESTING

NA

The auditor shall execute Nadcap AC7102/8 checklist as part of this audit.
11.

VACUUM FURNACES

NA

11.1

Procedures

11.1.1

Does the internal procedure or other documentation specify cleaning of parts, tooling
and baskets by methods and with materials that ensure freedom from contamination
during vacuum heat treating?

YES

NO

11.1.2

Does the internal procedure, photographic evidence, or other documentation specify


placement of load thermocouples, racking of parts, and furnace loading? (U10)

YES

NO

11.2

Tests and Records

11.2.1

Does the internal procedure control the following:


a.

Leak-up rate test? (U10 & U7)

YES

NO

b.

Calibration of vacuum instruments, controllers, recorders, thermocouples,


master gauges, dew point and other gas contaminant measuring instruments?
(U10 & U7)

YES

NO

c.

Quench gas purity and/or dew point (i.e. does the gas certification meet
specification requirements)?

YES

NO

d.

Furnace burn-out?

YES

NO

e.

For partial pressure atmosphere, does the dew point of the gas is periodically
checked as the gas enters the furnace?

YES

NO

11.2.2

Does the calibration interval of the vacuum systems sensor, control panel and
recorder meet the frequency of the customer specification?

YES

NO

11.2.3

Are calibration acceptance criteria defined in the internal procedure?

Yes

NO

NA

PRI

AC7102

Revision H

- 14 -

11.2.4

Do records indicate that the tests and calibrations are performed as required by the
internal procedure and all applicable specifications?

YES

NO

11.2.5

Is the vacuum level in the heating and cooling chambers recorded during all thermal
cycles requiring vacuum? (U10)

YES

NO

12.

COMPLIANCE AUDITS OF COMPLETED HEAT TREATING JOBS

12. to 13.

The Auditor shall execute two (2) completed long job audits (including final testing).
When the YES/NO is followed by (Info), the info notation indicates a question that is asked for
information only, with no corresponding requirement. A NO answers to these questions do not
require a nonconformance report or an explanation.

14.

COMPLIANCE AUDITS OF ABBREVIATED IN-PROCESS HEAT TREATING JOBS

14. to 21.

The Auditor shall execute eight (8) abbreviated in-process job audits for a single lot of in-process
parts, except when the in-process Heat Treating jobs are replaced by an equal amount of in-process
Brazing jobs (part of the checklist AC7102/1 performed in conjunction with AC7102 checklist). When
eight (8) abbreviated in-process jobs cannot be witnessed, completed jobs may substitute the inprocess jobs, but not for more than four (4).
When the YES/NO is followed by (Info), the info notation indicates a question that is asked for
information only, with no corresponding requirement. A NO answers to these questions do not
require a nonconformance report or an explanation.

PRI

12.

AC7102

Revision H

- 15 -

COMPLIANCE AUDIT OF COMPLETED HEAT TREATING JOB

NA

The Supplier needs to clearly identify the Export Control status of all parts being used in the
audit. Technical information on parts which have been designated Export Controlled License
Required (EC-LR) cannot be input into eAuditNet.
Throughout the Compliance section of the audit specific questions/data entry points are marked
with an (EC). These are questions which have been designated by the Task Group as those
which cannot be answered in eAuditNet IF the part is (EC-LR). Do not enter technical data, add
the comment EC Technical Data Restricted. If Auditors have any questions about this, they
should contact the Staff Engineer for directions.
12.1

Job #1 Identity: (Info)


a.

Purchase order number (for Independent Heat Treaters only):

b.

Customer (and prime, if known):

c.

Job number, Part number:

d.

Part description:

e.

Part size:

f.

Maximum part thickness:

g.

Number of parts:

(EC)

h.

Material alloy, Material specification (if available):

(EC)

i.

Heat Treating specification:

(EC)

j.

Heat treat and other process and test requirements specified by customer
specification (i.e. fixed process approval):

(EC)

k.

Pre-heat treatment requirements (cleaning, plating, etc.) - See sections 5


and 9

12.1.1

Does the job planning contain all of the applicable items described below?
a.

Part number and/or adequate description of the material.

b.

Identification of quantity, material type, condition, form, and test samples as


applicable.

c.

Any deviations from the proposal/contract are resolved in writing by


authorized personnel/prime/supplier.

d.

Adequate definition of the work statement to identify the specific

YES

NO

PRI

AC7102

Revision H

- 16 -

process(es) to be performed including specification number(s), applicable


Type(s), Class(es), Grade(s), etc.
e.

Any changes, additions, and deletions are made by authorized personnel.

f.

Place to record inspection status.

g.

Place to record test requirements and results.

h.

Place to record identification of person(s) doing the work.

i.

Place to record date operation performed.

12.2

Racking

12.2.1

Are customer racking or batching requirements specified?

(EC)

Describe: (EC) Do not describe but answer YES or NO

12.2.2

Is racking or batching specified as requirement on the shop paper?

(EC)

Describe: (EC) Do not describe but answer YES or NO

12.2.3

Is the racking or batching used in accordance to requirements?

(EC)

Describe: (EC) Do not describe but answer YES or NO

12.2.4

Did racking ensure that air is not entrapped detrimentally during the quench?

12.3

Thermal Treatment Step One

12.3.1

Step One:

12.3.2

NA

Furnace used:

Date part(s) processed:

YES

NO

YES

NO

YES

NO

YES

NO

NA

(EC) Step One Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

ACTUAL
TEMPERATURES

Check if used
Control

NA

(EC)

Recorder

(EC)

High/Low Type A or C
Instrumentation

(EC)

PRI

AC7102

Revision H
(EC)

Load
Thermocouples

12.3.3

- 17 -

(EC) Step One Time


REQUIREMENT
(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

(EC)

(EC)

(EC)

Atmosphere
Time and
Tolerance
Time loaded into
furnace
(EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling


Cooling Rate
(Excluding
Quench)
12.3.4

(EC)

(EC) Step One Quench


REQUIREMENT

NA

(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

(EC)

(EC)

(EC)

Quench delay

Quench media %
Quenchant
Temperature Start
Quenchant
Temperature End
Quenchant
Temperature Rise
Quench gauge
calibration
Delay to the next
operation

(EC)
(EC)
(EC)

(EC)

12.3.5

Was the furnace stabilized at or below set temperature (including the room
temperature for vacuum furnaces) before loading the parts?

(EC)

Describe: (EC) Do not describe but answer YES or NO.

12.3.6

What is the basis for determining the start and the end of the soak?
Describe:

YES

NO

PRI

AC7102

Revision H

- 18 -

12.3.7

Does the method for determining the start and the end of soak meet the customer
requirements?

YES

NO

12.4

Offsets

12.4.1

Is offsetting performed?

YES

NO

12.4.2

Is offsetting permitted by the customer?

YES

NO

12.4.3

What offset is made?

NA

Describe:

12.5

Step One Summary

12.5.1

Is the uniformity requirement or furnace number specified on shop paper?

NA
YES

NO

(List below):

12.5.2

Does the furnace meet the uniformity requirement?

YES

NO

12.5.3

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

YES

NO

12.5.4

Did cooling/quenching meet the requirements?

YES

NO

12.5.5

Does all thermal treatment meet the specified requirements?

YES

NO

12.5.6

Is there evidence that heat treatment cycles are reviewed for job traceability,
correct temperature and time at temperature?

YES

NO

12.5.7

Was this review performed by QA or other designated personnel and the review
documented in accordance with the customer requirements? (U11)

YES

NO

12.6

Thermal Treatment Step Two Temper

12.6.1

Step Two Temper:

12.6.2
(EC)

12.6.3

Furnace used:

Date part(s) processed:

What is the basis for determining the tempering temperature for alloy steels?
a.

Specified in the shop paper

b.

As quenched hardness

c.

Other (Describe)

(EC) Step Two Temper Temperature

NA

PRI

AC7102
REQUIREMENT
(EC)

Revision H

SHOP PAPER
REQUIREMENT
(EC)

- 19 -

SET
TEMPERATURE
(EC)

ACTUAL
TEMPERATURES

Temperature

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation
Load
Thermocouples

12.6.4

(EC)

(EC)

(EC) Step Two Temper Time


REQUIREMENT

Atmosphere
Time and
Tolerance

(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

(EC)

(EC)

(EC)

Time loaded into


furnace
(EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Condition

12.7

Thermal Treatment Step Two Age/PPT/Second Temper

12.7.1

Step Two Age/PPT/Second Temper:

12.7.2

Furnace used:

Date part(s) processed:

NA

(EC) Step Two Age/PPT/Second Temper Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

ACTUAL
TEMPERATURES

PRI

AC7102

Revision H

- 20 -

Check if used
(EC)
Control
(EC)
Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

12.7.3

(EC) Step Two Age/PPT/Second Temper Time


REQUIREMENT
(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

(EC)

(EC)

(EC)

Atmosphere

Time and Tolerance


Time loaded into
furnace
Time start of soak
Time end of soak
Media for Cooling
Cooling Condition

12.8

Step Two Summary

12.8.1

Is the uniformity or furnace number specified on shop paper?

(EC)
(EC)
(EC)
(EC)

NA
YES

NO

(List below):

12.8.2

Does the furnace meet the uniformity requirement?

YES

NO

12.8.3

Does the furnace possess the control and recording instrumentation required by the
governing specification for this heat treatment?

YES

NO

12.8.4

Did cooling/quenching meet the requirements?

YES

NO

PRI

AC7102

Revision H

- 21 -

12.8.5

Does all thermal treatment meet the specified requirements?

YES

NO

12.8.6

Is there evidence that the heat treatment cycles are reviewed for job traceability,
correct temperature and time at temperature?

YES

NO

12.8.7

Was this review performed by QA or other designated personnel and the review
documented in accordance with the customer requirements? (U11)

YES

NO

12.9

Cold Temperature Treatments

(EC)

Treatment specified:

(EC)

Treatment on the shop paper:

(EC)

Treatment performed and documented: (EC) YES or NO answer only

12.9.1

Do these treatments meet the customer requirements?

12.10

Load Thermocouples

12.10.1

Are the load thermocouples required for this job either by the customer or internal
procedure?

(EC)

What requirements/documentation is specified?

(EC)

How many load thermocouples are used?

What kind (expendable/non-expendable) and type?

How are the usage cycles or time intervals controlled?

Location of the load thermocouples:

Method of attachment or method to simulate the maximum part thickness:

(EC)

12.10.2

Did the usage and placement of load thermocouples conform to requirements?

12.11

Straighten/Stress Relieve

12.11.1

Was the straightening/stress relieving done?

NA

YES

NO

NA
YES

NO

YES

NO
NA

YES

NO

PRI

AC7102
Treatment specified
(EC)

12.11.2

Revision H

- 22 -

Treatment on the shop paper


(EC)

Treatment performed
(EC)

Do these treatments meet the customer requirement?

YES

NO

Note: Straightening time and temperature allowances for straightening may be in


subordinate specifications rather than in the basic heat treating specification.
12.12

(EC) Hardness Testing


REQUIREMENT
Hardness/Tensile
range
Hardness
converted from
Tensile
Sample/Parts
tested
Test frequency
Converted
hardness recorded

NA

(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

(EC)

(EC)

(EC)

(EC)

(EC)

(EC)

(EC)

(EC)

(EC)

*Only record if a part or sample was


tested

(EC)

12.12.1

Does the hardness obtained conform to specification?

YES

NO

12.12.2

Is the operator currently qualified/certified to perform Hardness Testing?

YES

NO

12.13

(EC) Conductivity Testing


REQUIREMENT

NA

(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

(EC)

(EC)

(EC)

Conductivity range

Test method
Sample/Parts
tested

*record if sample or part tested

12.13.1

Does the conductivity obtained conform to specification?

YES

NO

12.13.2

Is the operator currently qualified/certified to perform Conductivity Testing?

YES

NO

12.14

Additional Periodic and Lot testing required: (Charpy impact, Tensile


test, Fracture toughness, Metallographic and/or Microhardness tests,
etc.)

NA

PRI

AC7102

Revision H

(EC)

Additional lot or periodic testing required by the specification:

(EC)

Shop paper requirement for additional testing:

(EC)

Actual additional testing results:

- 23 -

12.14.1

Are these tests properly documented in the Suppliers Process Control System?

YES

NO

12.14.2

Do the tests meet the customer requirement?

YES

NO

12.15

Operator Control and Job Acceptance

12.15.1

Independent Heat Treaters

12.15.1.1

Does the certificate show compliance to all applicable drawing, specification and
PO requirements including documentation of any exceptions (e.g. pre- and postcleaning, straightening, testing, etc.)?

YES

NO

12.15.1.2

Does the certificate list the revision level of the specification to which the parts
were processed?

YES

NO

12.15.1.3

Do the test reports reflect the actual data?

YES

NO

12.15.1.4

Is the shop paper verified and accepted by authorized personnel?

YES

NO

12.15.2

Manufacturers/Captive Heat Treaters

12.15.2.1

Is the shop paper verified and accepted by authorized personnel?

YES

NO

12.16

Did this job comply with all other requirements?

YES

NO

NA

NA

PRI

13.

AC7102

Revision H

- 24 -

COMPLIANCE AUDIT OF COMPLETED HEAT TREATING JOB

NA

The Supplier needs to clearly identify the Export Control status of all parts being used in the
audit. Technical information on parts which have been designated Export Controlled License
Required (EC-LR) cannot be input into eAuditNet.
Throughout the Compliance section of the audit specific questions/data entry points are marked
with an (EC). These are questions which have been designated by the Task Group as those
which cannot be answered in eAuditNet IF the part is (EC-LR). Do not enter technical data, add
the comment EC Technical Data Restricted. If Auditors have any questions about this, they
should contact the Staff Engineer for directions.
13.1

Job #2 Identity: (Info)


a.

Purchase order number (for Independent Heat Treaters only):

b.

Customer (and prime, if known):

c.

Job number, Part number:

d.

Part description:

e.

Part size:

f.

Maximum part thickness:

g.

Number of parts:

(EC)

h.

Material alloy, Material specification (if available):

(EC)

i.

Heat Treating specification:

(EC)

j.

Heat treat and other process and test requirements specified by customer
specification (i.e. fixed process approval):

(EC)

k.

Pre-heat treatment requirements (cleaning, plating, etc.) - See sections 5


and 9

13.1.1

Does the job planning contain all of the applicable items described below?
a.

Part number and/or adequate description of the material.

b.

Identification of quantity, material type, condition, form, and test samples as


applicable.

c.

Any deviations from the proposal/contract are resolved in writing by


authorized personnel/prime/supplier.

d.

Adequate definition of the work statement to identify the specific

YES

NO

PRI

AC7102

Revision H

- 25 -

process(es) to be performed including specification number(s), applicable


Type(s), Class(es), Grade(s), etc.
e.

Any changes, additions, and deletions are made by authorized personnel.

f.

Place to record inspection status.

g.

Place to record test requirements and results.

h.

Place to record identification of person(s) doing the work.

i.

Place to record date operation performed.

13.2

Racking

13.2.1

Are customer racking or batching requirements specified?

(EC)

Describe: (EC) Do not describe but answer YES or NO

13.2.2

Is racking or batching specified as requirement on the shop paper?

(EC)

Describe: (EC) Do not describe but answer YES or NO

13.2.3

Is the racking or batching used in accordance to requirements?

(EC)

Describe: (EC) Do not describe but answer YES or NO

13.2.4

Did racking ensure that air is not entrapped detrimentally during the quench?

13.3

Thermal Treatment Step One

13.3.1

Step One:

13.3.2

NA

Furnace Used:

Date part(s) processed:

YES

NO

YES

NO

YES

NO

YES

NO

NA

(EC) Step One Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

ACTUAL
TEMPERATURES

Check if used
Control
Recorder
High/Low Type A or C
Instrumentation

NA

(EC)
(EC)
(EC)

PRI

AC7102

Revision H

- 26 -

Load
Thermocouples

13.3.3

(EC)

(EC) Step One Time


REQUIREMENT
(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

(EC)

(EC)

(EC)

Atmosphere
Time and
Tolerance
Time loaded into
furnace
(EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling


Cooling Rate
(Excluding
Quench)

13.3.4

(EC)

(EC) Step One Quench


REQUIREMENT

Quench delay
Quench media %

NA

(EC)

SHOP PAPER
REQUIREMENT
(EC)

(EC)

(EC)

(EC)

(EC)

Quenchant
Temperature Start
Quenchant
Temperature End
Quenchant
Temperature Rise
Quench gauge
calibration
Delay to the next
operation

ACTUAL

(EC)
(EC)
(EC)

(EC)

13.3.5

Was the furnace stabilized at or below set temperature (including the room
temperature for vacuum furnaces) before loading the parts?

(EC)

Describe: (EC) Do not describe but answer YES or NO.

13.3.6

What is the basis for determining the start and the end of the soak?
Describe:

YES

NO

PRI

AC7102

Revision H

- 27 -

13.3.7

Does the method for determining the start and the end of soak meet the customer
requirements?

YES

NO

13.4

Offsets

13.4.1

Is offsetting performed?

YES

NO

13.4.2

Is offsetting permitted by the customer?

YES

NO

13.4.3

What offset is made?

NA

Describe:

13.5

Step One Summary

13.5.1

Is the uniformity or furnace number specified on shop paper?

NA
YES

NO

YES

NO

(List below):

13.5.2

Does the furnace meet the uniformity requirement?

13.5.3

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

YES

NO

13.5.4

Did cooling/quenching meet the requirements?

YES

NO

13.5.5

Does all thermal treatment meet the specified requirements?

YES

NO

13.5.6

Is there evidence that heat treatment cycles are reviewed for job traceability,
correct temperature and time at temperature?

YES

NO

13.5.7

Was this review performed by QA or other designated personnel and the review
documented in accordance with the customer requirements? (U11)

YES

NO

13.6

Thermal Treatment Step Two Temper

13.6.1

Step Two Temper:

13.6.2
(EC)

13.6.3

Furnace Used:

Date part(s) processed:

What is the basis for determining the tempering temperature for alloy steels?

a.

Specified in the shop paper

b.

As quenched hardness

c.

Other (Describe)

(EC) Step Two Temper Temperature

NA

PRI

AC7102

REQUIREMENT
(EC)

Revision H

SHOP PAPER
REQUIREMENT
(EC)

- 28 -

SET
TEMPERATURE
(EC)

ACTUAL
TEMPERATURES

Temperature
Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

13.6.4

(EC) Step Two Temper Time


REQUIREMENT
(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

(EC)

(EC)

(EC)

Atmosphere

Time and Tolerance


Time loaded into
furnace
(EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Condition

13.7
13.7.1

13.7.2

Thermal Treatment Step Two Age/PPT/Second Temper

NA

Step Two Age/PPT/Second Temper:

Furnace Used:

Date part(s) processed:

(EC) Step Two Age/PPT/Second Temper Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

ACTUAL
TEMPERATURES

PRI

AC7102

Revision H

- 29 -

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

13.7.3

(EC) Step Two Age/PPT/Second Temper Time


REQUIREMENT

Atmosphere

(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

(EC)

(EC)

(EC)

Time and Tolerance


Time loaded into
furnace
Time start of soak
Time end of soak
Media for Cooling
Cooling Condition
13.8

Step Two Summary

13.8.1

Is the uniformity or furnace number specified on shop paper?

(EC)
(EC)
(EC)
(EC)

NA
YES

NO

(List below):
13.8.2

Does the furnace meet the uniformity requirement?

YES

NO

13.8.3

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

YES

NO

13.8.4

Did cooling/quenching meet the requirements?

YES

NO

13.8.5

Does all thermal treatment meet the specified requirements?

YES

NO

13.8.6

Is there evidence that the heat treatment cycles are reviewed for job traceability,
correct temperature and time at temperature?

YES

NO

13.8.7

Was this review performed by QA or other designated personnel and the review
documented in accordance with the customer requirements? (U11)

YES

NO

13.9

Cold Temperature Treatments

NA

PRI

AC7102

Revision H

- 30 -

(EC)

Treatment specified:

(EC)

Treatment on the shop paper:

(EC)

Treatment performed and documented: (EC) YES or NO answer only

13.9.1

Do these treatments meet the customer requirements?

YES

13.10

Load Thermocouples

13.10.1

Are the load thermocouples require for this job either by the customer or internal
procedure?

NA

(EC)

What requirements/documentation is specified?

(EC)

How many load thermocouples are used?

What kind (expendable/non-expendable) and type?

How are the usage cycles or time intervals controlled?

Location of the load thermocouples:

Method of attachment or method to simulate the maximum part thickness:

(EC)

13.10.2

Did the usage and placement of load thermocouples conform to requirements?

13.11

Straighten/Stress Relieve

13.11.1

Was the straightening/stress relieving done?

Treatment specified
(EC)

13.11.2

NO

YES

NO

YES

NO
NA

Treatment on the shop paper


(EC)

YES

NO

Treatment performed
(EC)

Do these treatments meet the customer requirement?

YES

NO

Note: Straightening time and temperature allowances for straightening may be in


subordinate specifications rather than in the basic heat treating specification.
13.12

(EC) Hardness Testing


REQUIREMENT

NA
SHOP PAPER
REQUIREMENT

ACTUAL

PRI

AC7102

Revision H

- 31 -

(EC)

(EC)

(EC)

(EC)

(EC)

(EC)

Sample/Parts
tested

(EC)

(EC)

Test frequency

(EC)

(EC)

(EC)

(EC)

Hardness/Tensile
range
Hardness converted
from Tensile

*only record if a part or sample was tested

Converted
hardness recorded

(EC)

13.12.1

Does the hardness obtained conform to specification?

YES

NO

13.12.2

Is the operator currently qualified/certified to perform Hardness Testing?

YES

NO

13.13

(EC) Conductivity Testing


REQUIREMENT

NA

(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

(EC)

(EC)

(EC)

Conductivity range

Test method
Sample/Parts
tested

*record if sample or part tested

13.13.1

Does the conductivity obtained conform to specification?

YES

NO

13.13.2

Is the operator currently qualified/certified to perform Conductivity Testing?

YES

NO

13.14

Additional Periodic or Lot testing required: (Charpy impact, Tensile test,


Fracture toughness, Metallographic and/or microhardness tests, etc.)

(EC)

Additional lot or periodic testing required by the specification:

(EC)

Shop paper requirement for additional testing:

(EC)

Actual additional testing results:

NA

13.14.1

Are these tests properly documented in the Suppliers Process Control System?

YES

NO

13.14.2

Do the tests meet the customer requirement?

YES

NO

13.15

Operator Control and Job Acceptance

13.15.1

Independent Heat Treaters

13.15.1.1

Does the certificate show compliance to all applicable drawing, specification and

NA
YES

NO

PRI

AC7102

Revision H

- 32 -

PO requirements including documentation of any exceptions (e.g. pre- and postcleaning, straightening, testing, etc.)?
13.15.1.2

Does the certificate list the revision level of the specification to which the parts
were processed?

YES

NO

13.15.1.3

Do the test reports reflect the actual data?

YES

NO

13.15.1.4

Is the shop paper verified and accepted by authorized personnel?

YES

NO

13.15.2

Manufacturers/Captive Heat Treaters

13.15.2.1

Is the shop paper verified and accepted by authorized personnel?

YES

NO

13.16

Did this job comply with all other requirements?

YES

NO

NA

PRI

14.

AC7102

Revision H

- 33 -

COMPLIANCE AUDIT OF ABBREVIATED IN-PROCESS HEAT TREATING JOB

NA

The Supplier needs to clearly identify the Export Control status of all parts being used in the
audit. Technical information on parts which have been designated Export Controlled License
Required (EC-LR) cannot be input into eAuditNet.
Throughout the Compliance section of the audit specific questions/data entry points are marked
with an (EC). These are questions which have been designated by the Task Group as those
which cannot be answered in eAuditNet IF the part is (EC-LR). Do not enter technical data, add
the comment EC Technical Data Restricted. If Auditors have any questions about this, they
should contact the Staff Engineer for directions.
14.1

Job #1 Identity: (Info)


a.

Purchase order number (for Independent Heat Treaters only):

b.

Customer (and prime, if known):

c.

Job number, Part number:

d.

Part description:

e.

Part size:

f.

Maximum part thickness:

g.

Number of parts:

(EC)

h.

Material alloy, Material specification (if available):

(EC)

i.

Heat Treating specification:

(EC)

j.

Heat treat and other process and test requirements specified by customer
specification (e.g. fixed process approval) - See sections 3.2, 3.7 and 7:

(EC)

k.

Pre-heat treatment requirements (cleaning, racking, normalizing, plating,


stress relieving, etc.):

(EC)

l.

Pre-heat treatment requirements on the shop paper - See sections 5 and 9:

(EC)

m.

Pre-heat treatment actually performed - See sections 5 and 9:

14.1.1

Does the job planning contain all of the applicable items described below?
a.

Part number and/or adequate description of the material.

YES

NO

PRI

AC7102

Revision H

- 34 -

b.

Identification of quantity, material type, condition, form, and test samples as


applicable.

c.

Any deviations from the proposal/contract are resolved in writing by


authorized personnel/prime/supplier.

d.

Adequate definition of the work statement to identify the specific


process(es) to be performed including specification number(s), applicable
Type(s), Class(es), Grade(s), etc.

e.

Any changes, additions, and deletions are made by authorized personnel.

f.

Place to record inspection status.

g.

Place to record test requirements and results.

h.

Place to record identification of person(s) doing the work.

14.2

Thermal Treatment Step One

14.2.1

Step One:

Furnace used:

Date part(s) processed:

NA

14.2.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

14.2.3

(EC) Step One Temperature


REQUIREMENT
(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Temperature
Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

14.2.4

(EC) Step One Time


REQUIREMENT

Atmosphere

(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

NO

PRI

AC7102
(EC)

Revision H

(EC)

- 35 (EC)

Time and Tolerance


Time loaded into
furnace
(EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Rate
(Excluding Quench)

14.3

Thermal Treatment Step Two

NA

14.3.1

Thermal Treatment Step Two Temper

NA

14.3.1.1

Step Two Temper:

Furnace used:

Date part(s) processed:

14.3.1.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

14.3.1.3

(EC) Step Two Temper Temperature


REQUIREMENT
(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Temperature
Check if used
(EC)
Control
(EC)
Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

14.3.1.4

(EC) Step Two Temper Time


REQUIREMENT

Atmosphere

(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

NO

PRI

AC7102
(EC)

Revision H

(EC)

- 36 (EC)

Time and Tolerance


Time loaded into
furnace
(EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Condition
14.3.2

Thermal Treatment Step Two Age/PPT/Second Temper

14.3.2.1

Step Two Age/PPT/Second Temper:

Furnace used:

Date part(s) processed:

NA

14.3.2.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

14.3.2.3

(EC) Step Two Age/PPT/Second Temper Temperature


REQUIREMENT
(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Temperature
Check if used
(EC)
Control
(EC)
Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

14.3.2.4

(EC) Step Two Age/PPT/Second Temper Time


REQUIREMENT

Atmosphere
Time and Tolerance
Time loaded into
furnace

(EC)

SHOP PAPER
REQUIREMENT
(EC)

(EC)

(EC)

(EC)

(EC)

NO

ACTUAL

PRI

AC7102

Revision H

Time start of soak


Time end of soak
Media for Cooling
Cooling Condition

- 37 (EC)
(EC)
(EC)
(EC)

14.4

Testing for the abbreviated Job #1

NA

14.4.1
(EC)

Testing requirements by Specification, P/O or Drawing

14.4.2
(EC)

Shop paper testing requirements:

14.4.3
(EC)

Actual testing performed:

14.5

Job Acceptance

14.5.1

Is the operation signed off or data recorded only after completion?

YES

NO

14.5.2

Did the treatment of hardware conform to customers specified requirements?

YES

NO

PRI

15.

AC7102

Revision H

- 38 -

COMPLIANCE AUDIT OF ABBREVIATED IN-PROCESS HEAT TREATING JOB

NA

The Supplier needs to clearly identify the Export Control status of all parts being used in the
audit. Technical information on parts which have been designated Export Controlled License
Required (EC-LR) cannot be input into eAuditNet.
Throughout the Compliance section of the audit specific questions/data entry points are marked
with an (EC). These are questions which have been designated by the Task Group as those
which cannot be answered in eAuditNet IF the part is (EC-LR). Do not enter technical data, add
the comment EC Technical Data Restricted. If Auditors have any questions about this, they
should contact the Staff Engineer for directions.
15.1

Job #2 Identity: (Info)


a.

Purchase order number (for Independent Heat Treaters only):

b.

Customer (and prime, if known):

c.

Job number, Part number:

d.

Part description:

e.

Part size:

f.

Maximum part thickness:

g.

Number of parts:

(EC)

h.

Material alloy, Material specification (if available):

(EC)

i.

Heat Treating specification:

(EC)

j.

Heat treat and other process and test requirements specified by customer
specification (i.e. fixed process approval):

(EC)

k.

Pre-heat treatment requirements (cleaning, racking, normalizing, plating,


stress relieving, etc.):

(EC)

l.

Pre-heat treatment requirements on the shop paper:

(EC)

m.

Pre-heat treatment actually performed:

15.1.1

Does the job planning contain all of the applicable items described below?
a.

Part number and/or adequate description of the material.

YES

NO

PRI

AC7102

Revision H

- 39 -

b.

Identification of quantity, material type, condition, form, and test samples as


applicable.

c.

Any deviations from the proposal/contract are resolved in writing by authorized


personnel/prime/supplier.

d.

Adequate definition of the work statement to identify the specific process(es) to


be performed including specification number(s), applicable Type(s), Class(es),
Grade(s), etc.

e.

Any changes, additions, and deletions are made by authorized personnel.

f.

Place to record inspection status.

g.

Place to record test requirements and results.

h.

Place to record identification of person(s) doing the work.

15.2

Thermal Treatment Step One

15.2.1

Step One Information:

Furnace used:

Date part(s) processed:

NA

15.2.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

15.2.3

(EC) Step One Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

15.2.4

(EC) Step One Time


REQUIREMENT
(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

(EC)

(EC)

(EC)

Atmosphere
Time and Tolerance

NO

PRI

AC7102

Revision H

- 40 -

Time loaded into


furnace
(EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Rate
(Excluding Quench)

15.3

Thermal Treatment Step Two

NA

15.3.1

Thermal Treatment Step Two Temper

NA

15.3.1.1

Step Two Temper:

Furnace used:

Date part(s) processed:

15.3.1.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

15.3.1.3

(EC) Step Two Temper Temperature


REQUIREMENT
(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Temperature
Check if used
(EC)
Control
(EC)
Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

15.3.1.4

(EC) Step Two Temper Time


REQUIREMENT

Atmosphere
Time and Tolerance
Time loaded into

(EC)

SHOP PAPER
REQUIREMENT
(EC)

(EC)

(EC)

(EC)

(EC)

NO

ACTUAL

PRI

AC7102

Revision H

- 41 -

furnace
(EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Condition

15.3.2

Thermal Treatment Step Two Age/PPT/Second Temper

15.3.2.1

Step Two Age/PPT/Second Temper:

15.3.2.2

15.3.2.3

Furnace used:

Date part(s) processed:

NA

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

YES

(EC) Step Two Age/PPT/Second Temper Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

ACTUAL
TEMPERATURES

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

15.3.2.4

NO

(EC) Step Two Age/PPT/Second Temper Time


REQUIREMENT

Atmosphere
Time and Tolerance

(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

(EC)

(EC)

(EC)

Time loaded into


furnace
Time start of soak
Time end of soak

(EC)
(EC)

PRI

AC7102

Revision H

Media for Cooling


Cooling Condition

- 42 (EC)
(EC)

15.4

Testing for the abbreviated Job #2

NA

15.4.1
(EC)

Testing requirements by Specification, P/O or Drawing:

15.4.2
(EC)

Shop paper testing requirements:

15.4.3
(EC)

Actual testing performed:

15.5

Job Acceptance

15.5.1

Is the operation signed off or data recorded only after completion?

YES

NO

15.5.2

Did the treatment of hardware conform to customers specified requirements?

YES

NO

PRI

16.

AC7102

Revision H

- 43 -

COMPLIANCE AUDIT OF ABBREVIATED IN-PROCESS HEAT TREATING JOB

NA

The Supplier needs to clearly identify the Export Control status of all parts being used in the
audit. Technical information on parts which have been designated Export Controlled License
Required (EC-LR) cannot be input into eAuditNet.
Throughout the Compliance section of the audit specific questions/data entry points are marked
with an (EC). These are questions which have been designated by the Task Group as those
which cannot be answered in eAuditNet IF the part is (EC-LR). Do not enter technical data, add
the comment EC Technical Data Restricted. If Auditors have any questions about this, they
should contact the Staff Engineer for directions.
16.1

Job #3 Identity: (Info)


a.

Purchase order number (for Independent Heat Treaters only):

b.

Customer (and prime, if known):

c.

Job number, Part number:

d.

Part description:

e.

Part size:

f.

Maximum part thickness:

g.

Number of parts:

(EC)

h.

Material alloy, Material specification (if available):

(EC)

i.

Heat Treating specification:

(EC)

j.

Heat treat and other process and test requirements specified by customer
specification (i.e. fixed process approval):

(EC)

k.

Pre-heat treatment requirements (cleaning, racking, normalizing, plating,


stress relieving, etc.):

(EC)

l.

Pre-heat treatment requirements on the shop paper:

(EC)

m.

Pre-heat treatment actually performed:

16.1.1

Does the job planning contain all of the applicable items described below?
a.

Part number and/or adequate description of the material.

b.

Identification of quantity, material type, condition, form, and test samples as

YES

NO

PRI

AC7102

Revision H

- 44 -

applicable.
c.

Any deviations from the proposal/contract are resolved in writing by authorized


personnel/prime/supplier.

d.

Adequate definition of the work statement to identify the specific process(es) to


be performed including specification number(s), applicable Type(s), Class(es),
Grade(s), etc.

e.

Any changes, additions, and deletions are made by authorized personnel.

f.

Place to record inspection status.

g.

Place to record test requirements and results.

h.

Place to record identification of person(s) doing the work.

16.2

Thermal Treatment Step One

16.2.1

Step One:

Furnace used:

Date part(s) processed:

NA

16.2.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

16.2.3

(EC) Step One Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

16.2.4

(EC) Step One Time


REQUIREMENT

Atmosphere
Time and Tolerance
Time loaded into
furnace

(EC)

SHOP PAPER
REQUIREMENT
(EC)

(EC)

(EC)

(EC)

(EC)

NO

ACTUAL

PRI

AC7102

Revision H

- 45 (EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Rate
(Excluding Quench)

16.3

Thermal Treatment Step Two

NA

16.3.1

Thermal Treatment Step Two Temper

NA

16.3.1.1

Step Two Temper:

Furnace used:

Date part(s) processed:

16.3.1.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

16.3.1.3

(EC) Step Two Temper Temperature


REQUIREMENT
(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Temperature
Check if used
(EC)
Control
(EC)
Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

16.3.1.4

(EC) Step Two Temper Time


REQUIREMENT

Atmosphere
Time and Tolerance
Time loaded into
furnace

(EC)

SHOP PAPER
REQUIREMENT
(EC)

(EC)

(EC)

(EC)

(EC)

NO

ACTUAL

PRI

AC7102

Revision H

- 46 (EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Condition
16.3.2

Thermal Treatment Step Two Age/PPT/Second Temper

16.3.2.1

Step Two Age/PPT/Second Temper:

Furnace used:

Date part(s) processed:

NA

16.3.2.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

16.3.2.3

(EC) Step Two Age/PPT/Second Temper Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

16.3.2.4

(EC) Step Two Age/PPT/Second Temper Time


REQUIREMENT

Atmosphere

(EC)

SHOP PAPER
REQUIREMENT
(EC)

(EC)

ACTUAL

(EC)

(EC)

(EC)

Time and Tolerance


Time loaded into
furnace
Time start of soak
Time end of soak
Media for Cooling

(EC)
(EC)
(EC)

NO

PRI

AC7102

Revision H

Cooling Condition

- 47 (EC)

16.4

Testing for the abbreviated Job #3

NA

16.4.1
(EC)

Testing requirements by Specification, P/O or Drawing:

16.4.2
(EC)

Shop paper testing requirements:

16.4.3
(EC)

Actual testing performed:

16.5

Job Acceptance

16.5.1

Is the operation signed off or data recorded only after completion?

YES

NO

16.5.2

Did the treatment of hardware conform to customers specified requirements?

YES

NO

PRI

17.

AC7102

Revision H

- 48 -

COMPLIANCE AUDIT OF ABBREVIATED IN-PROCESS HEAT TREATING JOB

NA

The Supplier needs to clearly identify the Export Control status of all parts being used in the
audit. Technical information on parts which have been designated Export Controlled License
Required (EC-LR) cannot be input into eAuditNet.
Throughout the Compliance section of the audit specific questions/data entry points are marked
with an (EC). These are questions which have been designated by the Task Group as those
which cannot be answered in eAuditNet IF the part is (EC-LR). Do not enter technical data, add
the comment EC Technical Data Restricted. If Auditors have any questions about this, they
should contact the Staff Engineer for directions.
17.1

Job #4 Identity: (Info)


a.

Purchase order number (for Independent Heat Treaters only):

b.

Customer (and prime, if known):

c.

Job number, Part number:

d.

Part description:

e.

Part size:

f.

Maximum part thickness:

g.

Number of parts:

(EC)

h.

Material alloy, Material specification (if available):

(EC)

i.

Heat Treating specification:

(EC)

j.

Heat treat and other process and test requirements specified by customer
specification (i.e. fixed process approval):

(EC)

k.

Pre-heat treatment requirements (cleaning, racking, normalizing, plating,


stress relieving, etc.):

(EC)

l.

Pre-heat treatment requirements on the shop paper:

(EC)

m.

Pre-heat treatment actually performed:

17.1.1

Does the job planning contain all of the applicable items described below?
a.

Part number and/or adequate description of the material.

YES

NO

PRI

AC7102

Revision H

- 49 -

b.

Identification of quantity, material type, condition, form, and test samples as


applicable.

c.

Any deviations from the proposal/contract are resolved in writing by authorized


personnel/prime/supplier.

d.

Adequate definition of the work statement to identify the specific process(es) to


be performed including specification number(s), applicable Type(s), Class(es),
Grade(s), etc.

e.

Any changes, additions, and deletions are made by authorized personnel.

f.

Place to record inspection status.

g.

Place to record test requirements and results.

h.

Place to record identification of person(s) doing the work.

17.2

Thermal Treatment Step One

17.2.1

Step One:

Furnace used:

Date part(s) processed:

NA

17.2.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

17.2.3

(EC) Step One Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

17.2.4

(EC) Step One Time


REQUIREMENT

Atmosphere
Time and Tolerance

(EC)

SHOP PAPER
REQUIREMENT
(EC)

(EC)

(EC)

(EC)

(EC)

NO

ACTUAL

PRI

AC7102

Revision H

- 50 -

Time loaded into


furnace
(EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Rate
(Excluding Quench)

17.3

Thermal Treatment Step Two

NA

17.3.1

Thermal Treatment Step Two Temper

NA

17.3.1.1

Step Two Temper:

Furnace used:

Date part(s) processed:

17.3.1.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

17.3.1.3

(EC) Step Two Temper Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

17.3.1.4

(EC) Step Two Temper Time


REQUIREMENT

Atmosphere
Time and Tolerance

(EC)

SHOP PAPER
REQUIREMENT
(EC)

(EC)

(EC)

(EC)

(EC)

ACTUAL

Time loaded into


furnace
Time start of soak

(EC)

NO

PRI

AC7102

Revision H

- 51 (EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Condition

17.3.2

Thermal Treatment Step Two Age/PPT/Second Temper

17.3.2.1

Step Two Age/PPT/Second Temper:

Furnace used:

Date part(s) processed:

NA

17.3.2.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

17.3.2.3

(EC) Step Two Age/PPT/Second Temper Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

17.3.2.4

(EC) Step Two Age/PPT/Second Temper Time


REQUIREMENT
(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

(EC)

(EC)

(EC)

Atmosphere
Time and Tolerance
Time loaded into
furnace
Time start of soak
Time end of soak
Media for Cooling

(EC)
(EC)
(EC)

NO

PRI

AC7102

Revision H

Cooling Condition

17.4

Testing for the abbreviated Job #4

17.4.1

Testing requirements by Specification, P/O or Drawing:

- 52 (EC)

NA

(EC)

17.4.2

Shop paper testing requirements:

(EC)

17.4.3

Actual testing performed:

(EC)

17.5

Job Acceptance

17.5.1

Is the operation signed off or data recorded only after completion?

YES

NO

17.5.2

Did the treatment of hardware conform to customers specified requirements?

YES

NO

PRI

18.

AC7102

Revision H

- 53 -

COMPLIANCE AUDIT OF ABBREVIATED IN-PROCESS HEAT TREATING JOB

NA

The Supplier needs to clearly identify the Export Control status of all parts being used in the
audit. Technical information on parts which have been designated Export Controlled License
Required (EC-LR) cannot be input into eAuditNet.
Throughout the Compliance section of the audit specific questions/data entry points are marked
with an (EC). These are questions which have been designated by the Task Group as those
which cannot be answered in eAuditNet IF the part is (EC-LR). Do not enter technical data, add
the comment EC Technical Data Restricted. If Auditors have any questions about this, they
should contact the Staff Engineer for directions.
18.1

Job #5 Identity: (Info)


a.

Purchase order number (for Independent Heat Treaters only):

b.

Customer (and prime, if known):

c.

Job number, Part number:

d.

Part description:

e.

Part size:

f.

Maximum part thickness:

g.

Number of parts:

(EC)

h.

Material alloy, Material specification (if available):

(EC)

i.

Heat Treating specification:

(EC)

j.

Heat treat and other process and test requirements specified by customer
specification (i.e. fixed process approval):

(EC)

k.

Pre-heat treatment requirements (cleaning, racking, normalizing, plating,


stress relieving, etc.):

(EC)

l.

Pre-heat treatment requirements on the shop paper:

(EC)

m.

Pre-heat treatment actually performed:

18.1.1

Does the job planning contain all of the applicable items described below?
a.

Part number and/or adequate description of the material.

YES

NO

PRI

AC7102

Revision H

- 54 -

b.

Identification of quantity, material type, condition, form, and test samples as


applicable.

c.

Any deviations from the proposal/contract are resolved in writing by


authorized personnel/prime/supplier.

d.

Adequate definition of the work statement to identify the specific


process(es) to be performed including specification number(s), applicable
Type(s), Class(es), Grade(s), etc.

e.

Any changes, additions, and deletions are made by authorized personnel.

f.

Place to record inspection status.

g.

Place to record test requirements and results.

h.

Place to record identification of person(s) doing the work.

18.2

Thermal Treatment Step One

18.2.1

Step One:

Furnace used:

Date part(s) processed:

NA

18.2.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

18.2.3

(EC) Step One Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

18.2.4

(EC) Step One Time


REQUIREMENT

Atmosphere

(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

NO

PRI

AC7102
(EC)

Revision H

(EC)

- 55 (EC)

Time and Tolerance


Time loaded into
furnace
(EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Rate
(Excluding Quench)

18.3

Thermal Treatment Step Two

NA

18.3.1

Thermal Treatment Step Two Temper

NA

18.3.1.1

Step Two Temper:

Furnace used:

Date part(s) processed:

18.3.1.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

18.3.1.3

(EC) Step Two Temper Temperature


REQUIREMENT
(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Temperature
Check if used
(EC)
Control
(EC)
Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

18.3.1.4

(EC) Step Two Temper Time


REQUIREMENT

Atmosphere

(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

NO

PRI

AC7102

Time and Tolerance

(EC)

Revision H

(EC)

- 56 (EC)

Time loaded into


furnace
(EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Condition

18.3.2

Thermal Treatment Step Two Age/PPT/Second Temper

18.3.2.1

Step Two Age/PPT/Second Temper:

Furnace used:

Date part(s) processed:

NA

18.3.2.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

18.3.2.3

(EC) Step Two Age/PPT/Second Temper Temperature


REQUIREMENT
(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Temperature
Check if used
(EC)
Control
(EC)
Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

18.3.2.4

(EC) Step Two Age/PPT/Second Temper Time


REQUIREMENT

Atmosphere
Time and Tolerance
Time loaded into
furnace

(EC)

SHOP PAPER
REQUIREMENT
(EC)

(EC)

(EC)

(EC)

(EC)

NO

ACTUAL

PRI

AC7102

Revision H

Time start of soak


Time end of soak
Media for Cooling
Cooling Condition

- 57 (EC)
(EC)
(EC)
(EC)

18.4

Testing for the abbreviated Job #5

NA

18.4.1
(EC)

Testing requirements by Specification, P/O or Drawing:

18.4.2
(EC)

Shop paper testing requirements:

18.4.3
(EC)

Actual testing performed:

18.5

Job Acceptance

18.5.1

Is the operation signed off or data recorded only after completion?

YES

NO

18.5.2

Did the treatment of hardware conform to customers specified requirements?

YES

NO

PRI

19.

AC7102

Revision H

- 58 -

COMPLIANCE AUDIT OF ABBREVIATED IN-PROCESS HEAT TREATING JOB

NA

The Supplier needs to clearly identify the Export Control status of all parts being used in the audit.
Technical information on parts which have been designated Export Controlled License Required
(EC-LR) cannot be input into eAuditNet.
Throughout the Compliance section of the audit specific questions/data entry points are marked
with an (EC). These are questions which have been designated by the Task Group as those which
cannot be answered in eAuditNet IF the part is (EC-LR). Do not enter technical data, add the
comment EC Technical Data Restricted. If Auditors have any questions about this, they should
contact the Staff Engineer for directions.
19.1

Job #6 Identity: (Info)


a.

Purchase order number (for Independent Heat Treaters only):

b.

Customer (and prime, if known):

c.

Job number, Part number:

d.

Part description:

e.

Part size:

f.

Maximum part thickness:

g.

Number of parts:

(EC)

h.

Material alloy, Material specification (if available):

(EC)

i.

Heat Treating specification:

(EC)

j.

Heat treat and other process and test requirements specified by customer
specification (i.e. fixed process approval):

(EC)

k.

Pre-heat treatment requirements (cleaning, racking, normalizing, plating,


stress relieving, etc.):

(EC)

l.

Pre-heat treatment requirements on the shop paper:

(EC)

m.

Pre-heat treatment actually performed:

19.1.1

Does the job planning contain all of the applicable items described below?
a.

Part number and/or adequate description of the material.

b.

Identification of quantity, material type, condition, form, and test samples

YES

NO

PRI

AC7102

Revision H

- 59 -

as applicable.
c.

Any deviations from the proposal/contract are resolved in writing by


authorized personnel/prime/supplier.

d.

Adequate definition of the work statement to identify the specific


process(es) to be performed including specification number(s), applicable
Type(s), Class(es), Grade(s), etc.

e.

Any changes, additions, and deletions are made by authorized personnel.

f.

Place to record inspection status.

g.

Place to record test requirements and results.

h.

Place to record identification of person(s) doing the work.

19.2

Thermal Treatment Step One

19.2.1

Step One:

Furnace used:

Date part(s) processed:

NA

19.2.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

19.2.3

(EC) Step One Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

19.2.4

(EC) Step One Time


REQUIREMENT

Atmosphere
Time and Tolerance

(EC)

SHOP PAPER
REQUIREMENT
(EC)

(EC)

(EC)

(EC)

(EC)

NO

ACTUAL

PRI

AC7102

Revision H

- 60 -

Time loaded into


furnace
(EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Rate
(Excluding Quench)

19.3

Thermal Treatment Step Two

NA

19.3.1

Thermal Treatment Step Two Temper

NA

19.3.1.1

Step Two Temper:

Furnace used:

Date part(s) processed:

19.3.1.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

19.3.1.3

(EC) Step Two Temper Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

19.3.1.4

(EC) Step Two Temper Time


REQUIREMENT

Atmosphere
Time and Tolerance
Time loaded into
furnace

(EC)

SHOP PAPER
REQUIREMENT
(EC)

(EC)

(EC)

(EC)

(EC)

NO

ACTUAL

PRI

AC7102

Revision H

- 61 (EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Condition

19.3.2

Thermal Treatment Step Two Age/PPT/Second Temper

19.3.2.1

Step Two Age/PPT/Second Temper:

Furnace used:

Date part(s) processed:

NA

19.3.2.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

19.3.2.3

(EC) Step Two Age/PPT/Second Temper Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

19.3.2.4

(EC) Step Two Age/PPT/Second Temper Time


REQUIREMENT

Atmosphere

(EC)

SHOP PAPER
REQUIREMENT
(EC)

(EC)

ACTUAL

(EC)

(EC)

(EC)

Time and Tolerance


Time loaded into
furnace
Time start of soak
Time end of soak
Media for Cooling

(EC)
(EC)
(EC)

NO

PRI

AC7102

Revision H

Cooling Condition

- 62 (EC)

19.4

Testing for the abbreviated Job #6

NA

19.4.1
(EC)

Testing requirements by Specification, P/O or Drawing:

19.4.2
(EC)

Shop paper testing requirements:

19.4.3
(EC)

Actual testing performed:

19.5

Job Acceptance

19.5.1

Is the operation signed off or data recorded only after completion?

YES

NO

19.5.2

Did the treatment of hardware conform to customers specified requirements?

YES

NO

PRI

20.

AC7102

Revision H

- 63 -

COMPLIANCE AUDIT OF ABBREVIATED IN-PROCESS HEAT TREATING JOB

NA

The Supplier needs to clearly identify the Export Control status of all parts being used in the
audit. Technical information on parts which have been designated Export Controlled License
Required (EC-LR) cannot be input into eAuditNet.
Throughout the Compliance section of the audit specific questions/data entry points are marked
with an (EC). These are questions which have been designated by the Task Group as those
which cannot be answered in eAuditNet IF the part is (EC-LR). Do not enter technical data, add
the comment EC Technical Data Restricted. If Auditors have any questions about this, they
should contact the Staff Engineer for directions.
20.1

Job #7 Identity: (Info)


a.

Purchase order number (for Independent Heat Treaters only):

b.

Customer (and prime, if known):

c.

Job number, Part number:

d.

Part description:

e.

Part size:

f.

Maximum part thickness:

g.

Number of parts:

(EC)

h.

Material alloy, Material specification (if available):

(EC)

i.

Heat Treating specification:

(EC)

j.

Heat treat and other process and test requirements specified by customer
specification (i.e. fixed process approval):

(EC)

k.

Pre-heat treatment requirements (cleaning, racking, normalizing, plating,


stress relieving, etc.):

(EC)

l.

Pre-heat treatment requirements on the shop paper:

(EC)

m.

Pre-heat treatment actually performed:

20.1.1

Does the job planning contain all of the applicable items described below?
a.

Part number and/or adequate description of the material.

b.

Identification of quantity, material type, condition, form, and test samples as

YES

NO

PRI

AC7102

Revision H

- 64 -

applicable.
c.

Any deviations from the proposal/contract are resolved in writing by authorized


personnel/prime/supplier.

d.

Adequate definition of the work statement to identify the specific process(es) to


be performed including specification number(s), applicable Type(s), Class(es),
Grade(s), etc.

e.

Any changes, additions, and deletions are made by authorized personnel.

f.

Place to record inspection status.

g.

Place to record test requirements and results.

h.

Place to record identification of person(s) doing the work.

20.2

Thermal Treatment Step One

20.2.1

Step One:

Furnace used:

Date part(s) processed:

NA

20.2.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

20.2.3

(EC) Step One Temperature


REQUIREMENT
(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Temperature
Check if used
(EC)
Control
(EC)
Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

20.2.4

(EC) Step One Time


REQUIREMENT

Atmosphere

(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

NO

PRI

AC7102
(EC)

Revision H

(EC)

- 65 (EC)

Time and Tolerance


Time loaded into
furnace
(EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Rate
(Excluding Quench)

20.3

Thermal Treatment Step Two

NA

20.3.1

Thermal Treatment Step Two Temper

NA

20.3.1.1

Step Two Temper:

Furnace used:

Date part(s) processed:

20.3.1.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

20.3.1.3

(EC) Step Two Temper Temperature


REQUIREMENT
(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Temperature
Check if used
(EC)
Control
(EC)
Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

20.3.1.4

(EC) Step Two Temper Time


REQUIREMENT

Atmosphere

(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

NO

PRI

AC7102
(EC)

Revision H

(EC)

- 66 (EC)

Time and Tolerance


Time loaded into
furnace
(EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Condition

20.3.2

Thermal Treatment Step Two Age/PPT/Second Temper

20.3.2.1

Step Two Age/PPT/Second Temper:

Furnace used:

Date part(s) processed:

NA

20.3.2.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

20.3.2.3

(EC) Step Two Age/PPT/Second Temper Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

20.3.2.4

(EC) Step Two Age/PPT/Second Temper Time


REQUIREMENT

Atmosphere
Time and Tolerance
Time loaded into
furnace

(EC)

SHOP PAPER
REQUIREMENT
(EC)

(EC)

(EC)

(EC)

(EC)

NO

ACTUAL

PRI

AC7102

Revision H

Time start of soak


Time end of soak
Media for Cooling
Cooling Condition

- 67 (EC)
(EC)
(EC)
(EC)

20.4

Testing for the abbreviated Job #7

NA

20.4.1
(EC)

Testing requirements by Specification, P/O or Drawing:

20.4.2
(EC)

Shop paper testing requirements:

20.4.3
(EC)

Actual testing performed:

20.5

Job Acceptance

20.5.1

Is the operation signed off or data recorded only after completion?

YES

NO

20.5.2

Did the treatment of hardware conform to customers specified requirements?

YES

NO

PRI

21.

AC7102

Revision H

- 68 -

COMPLIANCE AUDIT OF ABBREVIATED IN-PROCESS HEAT TREATING JOB

NA

The Supplier needs to clearly identify the Export Control status of all parts being used in the
audit. Technical information on parts which have been designated Export Controlled License
Required (EC-LR) cannot be input into eAuditNet.
Throughout the Compliance section of the audit specific questions/data entry points are marked
with an (EC). These are questions which have been designated by the Task Group as those
which cannot be answered in eAuditNet IF the part is (EC-LR). Do not enter technical data, add
the comment EC Technical Data Restricted. If Auditors have any questions about this, they
should contact the Staff Engineer for directions.
21.1

Job #8 Identity: (Info)


a.

Purchase order number (for Independent Heat Treaters only):

b.

Customer (and prime, if known):

c.

Job number, Part number:

d.

Part description:

e.

Part size:

f.

Maximum part thickness:

g.

Number of parts:

(EC)

h.

Material alloy, Material specification (if available):

(EC)

i.

Heat Treating specification:

(EC)

j.

Heat treat and other process and test requirements specified by customer
specification (i.e. fixed process approval):

(EC)

k.

Pre-heat treatment requirements (cleaning, racking, normalizing, plating,


stress relieving, etc.):

(EC)

l.

Pre-heat treatment requirements on the shop paper:

(EC)

m.

Pre-heat treatment actually performed:

21.1.1

Does the job planning contain all of the applicable items described below?
a.

Part number and/or adequate description of the material.

YES

NO

PRI

AC7102

Revision H

- 69 -

b.

Identification of quantity, material type, condition, form, and test samples as


applicable.

c.

Any deviations from the proposal/contract are resolved in writing by authorized


personnel/prime/supplier.

d.

Adequate definition of the work statement to identify the specific process(es) to


be performed including specification number(s), applicable Type(s), Class(es),
Grade(s), etc.

e.

Any changes, additions, and deletions are made by authorized personnel.

f.

Place to record inspection status.

g.

Place to record test requirements and results.

h.

Place to record identification of person(s) doing the work.

21.2

Thermal Treatment Step One

21.2.1

Step One:

Furnace used:

Date part(s) processed:

NA

21.2.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

21.2.3

(EC) Step One Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

21.2.4

(EC) Step One Time


REQUIREMENT

Atmosphere

(EC)

SHOP PAPER
REQUIREMENT
(EC)

ACTUAL
(EC)

NO

PRI

AC7102

Time and Tolerance

(EC)

Revision H

(EC)

- 70 (EC)

Time loaded into


furnace
(EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Rate
(Excluding Quench)

21.3

Thermal Treatment Step Two

NA

21.3.1

Thermal Treatment Step Two Temper

NA

21.3.1.1

Step Two Temper:

Furnace used:

Date part(s) processed:

21.3.1.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

21.3.1.3

(EC) Step Two Temper Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

21.3.1.4

(EC) Step Two Temper Time


REQUIREMENT

Atmosphere
Time and Tolerance
Time loaded into

(EC)

SHOP PAPER
REQUIREMENT
(EC)

(EC)

(EC)

(EC)

(EC)

NO

ACTUAL

PRI

AC7102

Revision H

- 71 -

furnace
(EC)

Time start of soak

(EC)

Time end of soak

(EC)

Media for Cooling

(EC)

Cooling Condition

21.3.2

Thermal Treatment Step Two Age/PPT/Second Temper

21.3.2.1

Step Two Age/PPT/Second Temper:

Furnace used:

Date part(s) processed:

NA

21.3.2.2

Does the furnace possess the control and recording instrumentation required by
the governing specification for this heat treatment?

21.3.2.3

(EC) Step Two Age/PPT/Second Temper Temperature


REQUIREMENT

Temperature

(EC)

SHOP PAPER
REQUIREMENT
(EC)

SET
TEMPERATURE
(EC)

YES

ACTUAL
TEMPERATURES

Check if used
(EC)

Control

(EC)

Recorder
High/Low Type A or C
Instrumentation

(EC)

Load
Thermocouples

(EC)

21.3.2.4

(EC) Step Two Age/PPT/Second Temper Time


REQUIREMENT

Atmosphere
Time and Tolerance

(EC)

SHOP PAPER
REQUIREMENT
(EC)

(EC)

(EC)

(EC)

(EC)

ACTUAL

Time loaded into


furnace
Time start of soak
Time end of soak
Media for Cooling

(EC)
(EC)
(EC)

NO

PRI

AC7102

Revision H

Cooling Condition

- 72 (EC)

21.4

Testing for the abbreviated Job #8

NA

21.4.1
(EC)

Testing requirements by Specification, P/O or Drawing:

21.4.2
(EC)

Shop paper testing requirements:

21.4.3
(EC)

Actual testing performed:

21.5

Job Acceptance

21.5.1

Is the operation signed off or data recorded only after completion?

YES

NO

21.5.2

Did the treatment of hardware conform to customers specified requirements?

YES

NO