AC7102 Rev K For Use On Audits On or After 15-Aug-2021

AC7102 REV.
K
Issue Date 1993-06
AUDIT CRITERIA
161 Thorn Hill Road Revision Date 13-May-2021
Warrendale, PA 15086-7527
Superseding AC7102 Rev. J
Nadcap
AUDIT CRITERIA FOR HEAT TREATING
Baseline
*TO BE USED ON AUDITS STARTING ON OR AFTER 15-Aug-2021*
1. AUDIT REQUIREMENTS
1.1 Prior to the Audit (see OP 1105 – Audit Process)
1.1.1 The Auditee must complete a self-audit to (as applicable):

• AC7000 (If seeking Nadcap accreditation)
• AC7102 (If seeking Heat Treating accreditation)
• AC7102/S (If seeking Subscriber specific accreditation)
• AC7102/1 (If seeking Brazing accreditation)
• AC7102/3 (If seeking Carburizing accreditation)
• AC7102/4 (If seeking Nitriding accreditation)
• AC7102/5 (If Hardness and/or Conductivity testing is used
in support of in-house heat treating)
• AC7102/6 (If seeking HIP accreditation)
• AC7102/7 (If seeking Induction Hardening accreditation)
• AC7102/8 (If seeking Heat Treating accreditation)
• AC7102/9 (if seeking Sintering & Metal Injection Molding
accreditation)
• AC7102/10 (If seeking Localized Heat Treating
accreditation)
• 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)
• AC7110/1 (If seeking Torch and/or Induction Brazing
accreditation
The self-audit (including all applicable job audits for the applicable slash
audit criteria first, and the balance to 10 jobs using AC7102) must be
completed prior to the audit in accordance with the requirements of OP
1105 – Audit Process and submitted through eAuditNet.
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Copyright 2021 Performance Review Institute. All rights reserved.
t-frm-1115 19-Mar-2021
Nadcap AC7102 Revision K -2-
1.1.2 Were all of the non-conformances identified by the Auditee's self-audit YES NO NA
addressed by their corrective action system prior to this Nadcap audit?
1.1.3 The Auditee must provide the following documents to the Auditor 30
days prior to the audit: (Info)
Guidance: All provided items shall be in English, unless otherwise

agreed upon between the Auditor and the Auditee.
• 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 outside provider
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 Subscriber customers and specifications for which heat
treater is approved
• List of heat treat specifications [military, government, industry
(AMS, etc.) and customer] that Auditee 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)
referenced in the self-audit.
• Organization chart
(All the above documents must be uploaded into the temporary secure
storage location of eAuditNet).
1.2 Definitions and Interpretations
1.2.1 For definitions and interpretations see Heat Treating Task Group Audit
Handbook.
1.2.2 Where a question is designated (Info), the “YES/NO” column indicates

it is asked For Information Only, with no corresponding requirements. A
“NO” answer does not require a nonconformance report or explanation.
1.3 Additional Information for Auditees
1.3.1 In addition to the commodity audit criteria 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”.
1.3.2 Questions marked with (UXX) Codes are applicable to all Auditees.
These Codes indicate that corresponding questions from AC7102/S are
also to be answered "as applicable."
2. AUDITEE INFORMATION
DIVISION (When applicable):

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 EMAIL
COMMENTS:
2.1 Additional Information
Guidance: Ensure that the scope has been reviewed and signed off in
eAuditNet with the Auditee.
2.1.1 Plant Location Changed (Info) YES NO
2.1.2 QC Manager Changed (Info) YES NO
2.1.3 Equipment Moved (Info) YES NO
2.1.4 Common NCRs to Previous Audit (Info) YES NO
2.2 Attachments
2.2.1 Furnace(s) List
2.2.2 GT-193 (for General Electric Aviation)
2.2.3 Staff Report (Generated by the Offline Audit Completion system, or

completed in t-frm-0010 – Closing Meeting Report)
2.2.4 Closing Meeting Sign-off (t-frm-0010- Closing Meeting Report last

page)
2.2.5 Others (as necessary)
3. GENERAL QUALITY SYSTEM
3.1 Document Control
3.1.1 Are the applicable revisions of the appropriate documents available at YES NO
the appropriate workstation?
3.2 Contract Review
3.2.1 Are contracts and incoming purchase orders reviewed to ensure that:
(U22)
3.2.1.1 The quality and technical requirements, including any unique customer YES NO
requirements, are adequately defined and documented?
3.2.1.2 Adequate capability, customer approvals, and resources are in place to YES NO
meet the requirements?
3.2.1.3 Any deviations from the proposal/contract are resolved in writing by YES NO
authorized personnel/customer/Auditee?
3.2.1.4 There is adequate definition of the work statement to identify the YES NO NA
specific process(es) to be performed including specification number(s),
applicable Type(s), Class(es), Grade(s), etc.?
3.2.2 Does the Auditee flow down contractual requirements internally and to YES NO
sub-tier providers?
3.3 Control of Nonconforming Product
3.3.1 Is the nonconforming material controlled, and the customer notified of YES NO
each instance of nonconforming product in accordance with the
contractual requirements?
3.3.2 When reheat treatment is performed: is it allowed by specification, YES NO NA

properly documented, retested, and in compliance with customer
requirements? (U22)
3.4 Control of Split Orders SECTION NA
Guidance: See definition of “split order” in HTTG Audit Handbook.
3.4.1 Are split orders controlled in accordance with the customer YES NO
requirement?
3.4.2 Is there objective evidence that split orders are tested in accordance YES NO
with the customer requirement?
3.5 Internal Audits

3.5.1 Are planned and documented internal quality audits performed on a YES NO
scheduled basis by knowledgeable personnel not directly responsible
for the work?
3.5.2 Are all Nadcap elements within the scope of the Auditee’s accreditation YES NO
properly addressed in the internal audit?
3.6 Quality Planning – These requirements must be checked through all job
audits performed.
3.6.1 Is the facility performing heat treatment subject to approval by the YES NO NA
relevant cognizant organization associated with the design authority
before commencing the work, when required?
3.6.2 Is only the heat treating equipment which meets the requirements of YES NO
the applicable specifications for instrumentation and temperature
uniformity used for processing? (U14, U22)
3.6.3 Are specified process times based on the appropriate thickness of the YES NO
hardware or other criteria in accordance with the applicable
specification?
Guidance: See definition of “hardware” in HTTG Audit Handbook.
3.6.4 Are tensile specimens and other test specimens included with YES NO NA
production loads when required? (U22)
3.6.5 Are there procedures that address the use and placement of load YES NO NA
thermocouples when required by specification or customer
requirements? (U14)
3.7 Frozen Planning SECTION NA
3.7.1 When customer approved fixed processes are required, is the Auditee YES NO
working to the latest revision approved by the customer and is the
evidence of this approval on file? (U22)
3.7.2 Does an internal procedure address the requirements for fixed YES NO
processes?
3.7.3 Does any violation of a fixed process requirement lead to review of YES NO
concerned product and customer notification?
3.8 First Lot Inspection SECTION NA
3.8.1 Is engineering first lot inspection and approval documented when YES NO
required by the customer?
3.8.2 Are records maintained for the development of fixturing and racking YES NO
sketches, for first article inspection when required by specification or
customer requirements?
3.9 Purchasing
3.9.1 Are all facilities used for subcontracted testing and processing YES NO NA
approved by either the customer or Subscriber, as required?
3.9.2 Are consumable goods, such as process atmospheres, quenchants, YES NO

salts, thermocouples, and materials for test samples, ordered and
accepted according to an in-house document or to a specific standard?
3.10 Electronic Program Control and Data Acquisition SECTION NA
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 YES NO
Treatment equipment (programmable controller, electronic charts, etc.),
is compliant with approved procedure?
3.10.3 Are all software revisions verified by first lot inspection to ensure YES NO
compliance with specification requirements?
4. PERSONNEL
4.1 Training
4.1.1 Are there training procedures that assure personnel performing YES NO
contract review, job planning, heat treating, and associated quality and
test functions are competent to perform assigned tasks?
4.1.2 Do records indicate that training is scheduled and attended in YES NO

accordance with procedures and documented?
4.2 Evaluation of Personnel
4.2.1 Do procedures require periodic evaluation to ensure that approved YES NO

personnel maintain proficiency in their assigned heat treating and
related tasks?
4.2.2 Do records indicate that the evaluations are performed at documented YES NO
frequencies and the results reviewed with employees in a program of
continuous improvement of personnel?
5. MATERIAL HANDLING AND TRACEABILITY
5.1 Incoming Material to Processing
5.1.1 Are identification, count and quality discrepancies resolved prior to YES NO
processing hardware?
5.1.2 Do procedures ensure that incoming customer documents remain YES NO

traceable to those specific jobs throughout processing?
5.2 General Cleaning SECTION NA
5.2.1 When mandatory cleaning requirements are imposed by purchase YES NO NA

order or applicable specification, are they:
(1) Complied with by the heat treater or performed by the customer

prior to and after heat treatment, and (2) Documented? (U11)
5.2.2 Does the job planning have provisions for inspection prior to heat YES NO
treatment when inspection or conditional cleaning is specified in the
applicable specification?
5.2.3 Does the Auditee have a procedure that addresses the cleaning or YES NO
cleanliness inspection of hardware in accordance with the applicable
specification requirements? (U18, U22)
5.2.4 Are procedures in place to provide removal of salt residue from YES NO NA
hardware heated in salt baths?
5.2.5 Do records and observations indicate that the contract review for these YES NO
requirements is effective and the procedure is followed?
5.3 Racks, Fixtures and Baskets SECTION NA
5.3.1 Do procedures require that, when hardware requires a specially YES NO NA

designed fixturing or racking method, the specific fixturing or racking is
used?
5.3.2 Do procedures require the use of appropriate fixture/tool/rack materials YES NO

to prevent interactions between the fixturing/tooling/racking and
hardware materials, which result in undesirable reactions and
eutectics?
5.3.3 Is there a procedure in place and evidence of compliance to the YES NO

procedure for verifying that the fixture, basket or rack do not introduce
FOD (Foreign Object Debris) or contamination or induce mechanical
damage to hardware?
5.3.4 When a protective painting/coating is used on fixtures/racks, is the YES NO NA

integrity of painting/coating inspected and reworked as necessary?
5.3.5 Do procedures specify that racks, fixtures and/or baskets must be free YES NO NA
from entrapped quenchant before being loaded into the furnace?
5.3.6 Do procedures require that the racks/fixtures/baskets are examined for YES NO
integrity, and repaired or scrapped as necessary?
5.3.7 Do records indicate that the procedures are followed? YES NO
5.4 Furnace Loading
5.4.1 Are there internal procedures, racking sketches, or other means to YES NO
ensure that spacing between hardware is adequate for circulation of the
heating medium and coolant/quenchant?
5.4.2 Are there internal procedures to preclude loading furnaces with YES NO NA
hardware when the furnace of intended use is hotter than the set
temperature for the process?
Guidance: NA applies to vacuum furnaces.
5.4.3 Do records indicate that the procedures are followed and meet YES NO
industry/customer and specification requirements?
5.5 Sampling Plans SECTION NA
5.5.1 Do all Auditee’s heat treating sampling plans contain:
5.5.1.1 A method to determine the quantity of product to check in the lot? YES NO
5.5.1.2 Specified frequency and method of sampling? YES NO
5.5.1.3 When to change to tightened or reduced plans? YES NO NA
5.5.2 Are sampling plans approved by the customer, when required? YES NO NA
5.5.3 Is there documented training in the use of the sampling plan which YES NO
includes sample size and selection, reduced and tightened plans, and
when to implement them?
5.5.4 Does a sampling of jobs where sample inspection is permitted indicate YES NO
that customer requirements have been flowed down correctly to the
inspector or delegated operator and are met?
5.6 Process Verification
5.6.1 Is each heat treatment cycle reviewed for job traceability, correct YES NO
temperature, time at temperature and all other related parameters?
(U7, U11, U14, U22)
5.6.2 Is this review performed by Quality Assurance, other designated YES NO

personnel, or self-inspected by the automated computer control and
monitoring system?
Guidance: See the HTTG Audit Handbook (U7, U11)
5.6.3 Is the review documented per the internal procedure? YES NO
5.6.3.1 Does the data manually recorded match the actual data recorded on YES NO NA
the chart recorder?
5.6.4 Is the review documented in accordance with the customer YES NO NA

requirements? (U11)
Guidance: NA applies when there are no specific customer

requirements.
5.6.5 Are the acceptance status and any test data recorded only after the YES NO
operation for that job has been completed?
6. PROCESS CONTROL TESTING
6.1 Does the Auditee have procedures or other documentation in place that YES NO
addresses all required Heat Treat process control testing? (See Heat
Treating Audit Handbook)
6.2 Do the procedures or other documentation contain or reference the

following information:
6.2.1 All applicable specifications when testing is specified? (See section 3.2) YES NO NA
6.2.2 All qualification, periodic, and lot/batch acceptance testing as required YES NO
by specifications?
6.2.3 A schedule for the completion of periodic tests? YES NO
6.2.4 Documentation that tests were performed per the schedule? YES NO
6.3 Auditor is to select a minimum of 4 periodic tests (excluding Pyrometry, SECTION NA

Hardness, and Conductivity) consisting of internal or external tests
(including requirements, frequency, actual results, compliance, etc.)
from the Auditee’s 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.
6.3.1 (EC) Test 1: YES NO
6.4 Hardness and/or Conductivity Testing
(INFO) For information only, does the Auditee perform in-house YES NO
hardness testing?
If the Auditee performs in-house hardness testing for acceptance of

product or process control of the heat treatment process, Nadcap
AC7102/5 Audit Criteria shall be executed, unless the Auditee is
accredited by Nadcap Materials Testing Laboratories Task Group to
AC7101/5 Audit Criteria.
Nadcap AC7102 Revision K - 10 -
6.4.1 The following questions apply when the Auditee is accredited by SECTION NA
Nadcap Materials Testing Laboratories Task Group to AC7101/5:
6.4.1.1 Is hardness equipment capable of performing the tests in accordance YES NO

with all applicable requirements?
6.4.1.2 Is the equipment, base and support designed such that no rocking or YES NO
lateral movement occurs while load is being applied or removed?
6.4.1.3 Does the Auditee have a maintenance plan in place? YES NO
6.4.1.4 Is there objective evidence that the maintenance plan is followed? YES NO
6.4.1.5 Are calibration records available? YES NO
6.4.1.6 Do records show that calibration is traceable to national standards YES NO

(AIST, NIST, UKAS, PTB, etc.)?
6.4.1.7 Is calibration performed in accordance with applicable requirements? YES NO

(U11)
6.4.1.8 Is the number of indentations on standard blocks relatively the same or YES NO
more than those reported for periodic verifications?
6.4.1.9 Are alternative methods used only when permitted by one of the YES NO NA
following? (Check all that apply)
6.4.1.9.1 Material Specification
6.4.1.9.2 Customer
6.4.1.9.3 Other (as described below):
6.4.1.10 If portable hardness testers are used, is the use of portable hardness YES NO NA
testers approved by the customers?
6.4.1.11 Do test reports show the hardness values and appropriate scale per YES NO NA
6.4.1.12 If conditions are other than normal operating conditions (ball YES NO NA
diameter/load/load time/etc.), are those conditions reported as
required?
6.4.1.13 Are the actual hardness values recorded as required? YES NO
6.4.1.14 Is test temperature reported if ambient temperature was outside of 10° - YES NO NA
35°C (50° - 95°F) (unless it has been shown not to affect the
measurement result)?
6.4.2 (INFO) For information only, does the Auditee perform in-house YES NO
conductivity testing?
If the Auditee performs in-house conductivity testing for acceptance of

AC7102/5 Audit Criteria shall be executed.
6.5 Metallography/Microhardness
metallography and microhardness testing? (U18)
If the Auditee performs in-house metallography/microhardness testing

for acceptance of product or process control of the heat treatment
process, Nadcap AC7101/4 Audit Criteria shall be executed, unless the
Auditee is accredited by Nadcap Materials Testing Laboratories Task
Group to AC7101/4 Audit Criteria, or the Subscriber does not require
Nadcap accreditation.
6.5.2 The following questions apply when AC7101/4 is executed as part of SECTION NA
this audit:
6.5.2.1 Does the Auditee have a system of statistical metrics (Round Robin) in YES NO NA
place that demonstrates proficiency in Metallography/Microhardness
across the machines and test personnel employed, and is conducted at
an interval not to exceed every two years?
Guidance: NA is only applicable to metallographic testing without

measurable results.
Guidance: AC7101/4 is a supplemental Audit Criteria to AC7101/1.

Some requirements in AC7101/1 might be applicable (i.e. Round
Robin).
6.5.2.2 Is there objective evidence that the Round Robin plan is followed? YES NO NA
6.6 Mechanical Testing
mechanical testing? (U11)
If the Auditee performs in-house mechanical testing for acceptance of

AC7101/3 Audit Criteria shall be executed, unless accredited by
Nadcap Materials Testing Laboratories Task Group to AC7101/3 Audit
Criteria.
6.6.2 The following questions apply when AC7101/3 is executed as part of SECTION NA
this audit:
6.6.2.1 Does the Auditee have a system of statistical metrics (Round Robin) in YES NO
place that demonstrates proficiency in Mechanical Testing across the
machines and test personnel employed, and is conducted at an interval
not to exceed every two years?
Guidance: AC7101/3 is a supplemental Audit Criteria to AC7101/1.

Some requirements in AC7101/1 might be applicable.
6.6.2.2 Is there objective evidence that the Round Robin plan is followed? YES NO
6.7 Preparation of Mechanical Test Specimens
6.7.1 (INFO) For information only, does the Auditee prepare the specimens YES NO
for the mechanical testing?
Guidance: Please see AC7101/7 for compliance, when applicable.
7. FURNACE CONTROL AND MAINTENANCE
7.1 Furnace Document Control
7.1.1 Operating Instructions
7.1.1.1 Are the current operating manuals or instructions available to furnace YES NO
operators, maintenance personnel and other personnel requiring the
information? (U25)
7.1.2 Heating and Cooling Parameters (U14)
7.1.2.1 Does the internal procedure specify the method for determining heat-up YES NO
rate, start of soaking time, end of soaking time and cooling rate? (U14)
7.1.2.2 Do records on the furnace chart or furnace log indicate compliance to YES NO
the above procedure and customer requirements?
7.2 Maintenance
7.2.1 Are all components of each furnace that can affect the functionality YES NO
inspected and maintained in accordance with a documented
preventative maintenance schedule? (U3)
7.2.2 Do records indicate that the inspection and maintenance have been YES NO
performed in accordance with the schedule?
7.3 Control of the Heating Environment SECTION NA
7.3.1 Does the internal procedure specify how atmospheres are to be YES NO
controlled and monitored to ensure conformance to the requirements?
7.3.2 Do records indicate that the procedure is followed? YES NO
7.4 Metering SECTION NA

7.4.1 Are the flow meters operational and appropriate for the gas and flow YES NO
rates used?
7.4.2 Do the inspection and maintenance schedule include periodic checks of YES NO
flow meters to ensure that they are functioning?
7.4.3 Does the internal procedure address the safety shut-off valves and the YES NO
emergency gas purges?
7.5 Purging SECTION NA
7.5.1 When the atmosphere is changed, is the furnace purged in accordance YES NO
with an internal procedure that assures elimination of the effects of
previous atmosphere?
7.6 Quench System SECTION NA
7.6.1 Are the quench mechanisms operational and capable of meeting YES NO
maximum quench delay provisions of the specifications? (U14)
7.6.2 Are quench systems capable of achieving the temperature YES NO

requirements at the initiation of the quench, during the quench and at
the end of the quench?
7.7 Quenchant Maintenance SECTION NA
7.7.1 Does the internal procedure specify that quenchant temperatures are to YES NO
be controlled and documented?
7.7.2 Is all temperature recording and controlling equipment calibrated? YES NO
7.7.3 Do quenchant agitation and/or agitation of the product during YES NO

quenching conform to the applicable specifications?
7.8 Polymer Quenchants SECTION NA
7.8.1 Is there a system in place that ensures polymer quenching is only used YES NO
when permitted by the particular specification for the alloy and metal
thickness?
7.8.2 Do procedures define the polymer concentration in accordance with the YES NO
requirements?
7.8.3 Do the records indicate compliance? YES NO
7.8.4 Do procedures specify the frequency and methods for determining the YES NO
polymer concentration in accordance with the requirements?
7.9 Water/Polymer Quenchant used in conjunction with the Salt Baths SECTION NA
7.9.1 Do the records show that the contamination does not exceed 6% YES NO
and/or other requirement defined in applicable customers’

specifications?
7.10 Quench Effectiveness SECTION NA
7.10.1 Do procedures specify the frequency and methods for the testing of YES NO
quenchants in accordance with all customer requirements?
7.10.2 Do the records indicate that quenchant effectiveness meets the YES NO
specifications’ requirements?
7.10.3 If the quench media differs from the requirements of the applicable YES NO NA
specifications, is there a qualification test in place that substantiates its
equivalence?
7.10.3.1 Has the use of different quenchants and related qualification tests been YES NO NA
approved by the customer, when required?
7.10.4 Does the Auditee have procedures that address qualification and re- YES NO
qualification requirements to industry and/or customer specifications?
7.10.4.1 Is there objective evidence of compliance with these qualification and YES NO
re-qualification requirements?
7.11 Fasteners SECTION NA
7.11.1 Is there a system in place to ensure that the fasteners are only YES NO
processed in qualified containers to approved procedures and
customer requirements, or, when qualified, in a continuous furnace?
7.11.2 Do procedures address the customers’ requirements for special YES NO NA

handling of the fasteners after quenching?
7.12 Plating SECTION NA
Guidance: 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.
Guidance: If the Auditee has a current Nadcap Chemical Processing

accreditation that includes both plating and stripping, questions 7.12.1
through 7.12.7.2 are YES unless otherwise noted as part of an NCR
found during a job audit.
7.12.1 Does a general or hardware-specific documented procedure define the YES NO

following:
7.12.1.1 In-process cleaning methods, water break free check? YES NO
7.12.1.2 Etching? YES NO NA
7.12.1.3 Strike/Activation, including temperature, time, current (as applicable)? YES NO

7.12.1.4 Post-process cleaning methods? YES NO
7.12.1.5 The specified plate thickness and method(s) of its measurement? YES NO
7.12.1.6 Any required treatment for preventing hydrogen embrittlement? YES NO
7.12.2 Fixturing, racking, masking SECTION NA
7.12.2.1 Are the fixtures, racks and masking materials defined and identified? YES NO
7.12.2.2 Do fixtures and masking prevent the entrapment of air or process YES NO
solutions, and protect hardware from corrosion and unwanted
coverage?
7.12.2.3 Does the fixturing and racking facilitate solution neutralization and YES NO
removal during rinsing, and minimize solution and rinse water drag-out
and cross contamination of process tanks?
7.12.2.4 Do the fixturing, racking, electric circuit design and lifting equipment YES NO
preclude mechanical damage or electrical arcing?
7.12.3 Processing tanks SECTION NA
7.12.3.1 Are processing tanks identifiable for their contents and specified YES NO
temperature ranges?
7.12.3.2 Are the tanks with specified temperature ranges operating within those YES NO
ranges at the time of processing?
7.12.3.3 Are tanks of sufficient volume and dimensions to contain hardware YES NO
during processing and assure sufficient coverage of hardware?
7.12.3.4 Are tanks that require uniform temperature and solution concentration YES NO
agitated?
7.12.3.5 Are tanks for electrolytic coatings equipped and configured to promote YES NO
the required uniform deposition rate?
7.12.4 Are anodes controlled and specific to each process solution to avoid YES NO
cross contamination?
7.12.5 Are equipment and solutions in compliance with applicable customer YES NO
requirements?
7.12.6 Do the records show that the specified thickness of plate is achieved? YES NO
7.12.7 Stripping SECTION NA
7.12.7.1 Are the methods and materials for removal of plating as specified or YES NO
approved by the customer?
7.12.7.2 Do stripping procedures include an inspection of the stripped YES NO

component following the strip operation?
8. ALUMINUM ALLOYS TREATING SECTION NA
8.1 Control of Heating Environment Above 400˚F (204˚C) SECTION NA
8.1.1 Do procedures address protection of hardware from the potential of YES NO

damaging effects of the heat treat environment?
8.1.1.1 Are the furnaces used for solution heat treating, annealing or stress YES NO NA
relieving designed and operated such that products of combustion that
could contaminate the load do not enter the heat-treating furnaces
when required by specification?
8.1.1.2 When required, is there a procedure that includes the use of protective YES NO NA
compounds (ammonium or sodium fluoroborate, or other equivalent
moisture reducing compound)?
8.1.1.3 Are there records indicating that the procedure is followed? YES NO NA
8.1.2 When specified, are all periodic metallographic tests in compliance with YES NO NA
requirements?
8.2 Salt Baths SECTION NA
8.2.1 Is the grade of salt compliant with applicable material and heat treating YES NO NA
process specification requirements?
8.2.2 Do the records indicate that each salt bath is tested periodically for pH YES NO NA
in accordance with the applicable heat treating specification?
8.3 Refrigeration SECTION NA
8.3.1 Do procedures address cooling requirements after quench? YES NO
8.3.2 Are there records to show that cooling after quench is in compliance YES NO
with customer requirements specified in procedures or shop planning?
8.3.3 Do procedures specify the requirements for time/temperature limits for YES NO
retention of the “as quenched” condition?
8.3.4 Do procedures address the recording of the temperature in each YES NO

refrigeration or cold storage unit?
8.3.5 Do the records indicate that the procedures are followed? YES NO
8.4 Solution heat treating furnaces with the heat source in walls SECTION NA
8.4.1 Are radiant tubes and/or electric heating elements shielded or YES NO
positioned to prevent the radiation heating of hardware?
8.4.2 Are the radiation tests made in accordance with AMS2750 prior to initial YES NO
production use and after any repair or adjustments that might alter
radiation characteristics?
9. MAGNESIUM ALLOYS TREATING SECTION NA
9.1 Facilities/Equipment
9.1.1 Are electrical heating elements and radiant tubes shielded to prevent YES NO NA
direct radiation from striking any production hardware?
9.1.2 When heat treating above 750°F (399°C), is there a protective YES NO NA
atmosphere containing sufficient sulfur dioxide, carbon dioxide, or
satisfactory oxidation inhibitor used to prevent oxidation?
9.1.3 Does the soaking time start when all temperature control sensing YES NO
elements are within uniformity range of the set or offset temperature?
9.1.4 Is the quench delay 30 seconds or less (except otherwise approved by YES NO
the cognizant quality assurance organization associated with the
design authority)?
9.1.5 Is the quenchant agitated during the quench (except otherwise YES NO
approved by the cognizant quality assurance organization associated
with the design authority)?
9.1.6 Is hardware kept in quenchant for at least 2 minutes, or at least 2 YES NO

minutes per inch or fraction thereof (or other customers' requirements)?
9.2 When specified, are all periodic metallographic tests in compliance with YES NO NA
requirements?
10. COPPER-BERYLLIUM (Cu-Be) & COPPER ALLOYS TREATING SECTION NA
10.1.1 If fuel-fired furnaces are available for use in the facility, are there YES NO NA
procedures in place to assure that fuel-fired furnaces are of the muffled
type if used for solution heat treating of Cu-Be alloys in an air
atmosphere?
10.1.2 If still air oven type furnaces are available for use in the facility are YES NO NA
there procedures in place that preclude their use for age hardening of
Cu-Be alloys?
10.1.3 When specified for bright luster hardware, are there procedures in YES NO NA
place to either provide subsequent brightening operations to remove
oxides, stains and tarnishes that are not detrimental to the finished
hardware or to conduct a ‘bright hardening’ heat treatment utilizing non-
oxidizing and non-combustible atmosphere in a chamber-type furnace?
10.1.4 Are bright hardening procedures in place that require the control of YES NO NA
atmosphere flow rate and dew point as needed to provide the required
finish?
10.2 Salt Baths SECTION NA

10.2.1 If salt bath furnaces are available for use in the facility, are there YES NO
procedures in place that preclude their use for the solution heat treating
of Cu-Be alloys?
10.2.2 Are procedures in place requiring that the salt bath be inspected at YES NO
least once each month to determine the presence of objectionable
contaminants which attack the material and that replenishment or
replacement of the entire bath is made, as required?
10.2.3 Are procedures in place and appropriate equipment provided to assure YES NO
removal of all salt from hardware and with sufficient inflow of fresh
water to prevent concentration of dissolved salts in the rinse?
10.2.4 When required, are neutralizing baths provided to remove all active salt YES NO NA
residues from hardware?
11. NICKEL & COBALT ALLOYS TREATING SECTION NA
11.1.1 Does an internal procedure specify when an atmosphere (including air YES NO
or vacuum) has to be used in accordance with any applicable
specifications?
11.1.1.1 Do records indicate that the procedure is followed? YES NO
11.1.2 When applicable, does an internal procedure forbid the use of salt YES NO NA
baths and exothermic atmosphere except otherwise stated by the
cognizant quality assurance organization associated with the design
authority for non-age hardening alloys?
11.1.2.1 Do records indicate that the procedure is followed? YES NO NA
11.1.3 Unless authorized by any applicable specification, do vacuum furnaces YES NO NA

equipped with load thermocouples use those load thermocouples to
determine the start of soaking time?
11.1.3.1 When load thermocouples are not used, were tests performed in order YES NO NA
to establish the heat-up time for the load?
11.1.4 When required by any applicable specification, for continuous furnaces, YES NO NA
is TUS test performed with a representative production load conditions
(weight and traverse speed) and instrumented by load sensors?
11.1.5 When applicable, do leak rate results meet 20 microns per hour, or YES NO NA
other criteria required by any applicable specification?
11.1.6 Do procedures define the quenchant temperature range in accordance YES NO NA

with the requirements?
Guidance: The question does not apply to gas quenching.
11.1.6.1 Do records indicate that the procedures are followed? YES NO NA

11.1.7 When required by any applicable specification or defined in a fixed YES NO NA

process, is the quench delay recorded for each heat treatment batch?
11.2 Surface Contamination SECTION NA
Guidance: Applicable for hardware having finished surface or

insufficient material removal by subsequent machining operation.
11.2.1 Does the internal testing procedure conform to the specifications? YES NO
11.2.2 Does the internal testing procedure cover the following:
11.2.2.1 Abnormal surface discoloration? YES NO NA
11.2.2.2 Carburization? YES NO NA
11.2.2.3 Sulfidation? YES NO NA
11.2.2.4 Nitriding? YES NO NA
11.2.2.5 Intergranular oxidation? YES NO NA
12. STEELS HEAT TREATING SECTION NA
12.1.1 Does the internal procedure require protection of hardware from YES NO NA
corrosion during processing and storage?
12.1.2 Do records indicate that this procedure is followed? YES NO NA
12.1.3 Is there a procedure that assures reactive atmospheres are properly YES NO NA
purged prior to heating hardware when prior atmosphere can have a
deleterious effect on hardware to be processed?
12.1.4 Do records indicate that this procedure is followed? YES NO NA
12.2 Corrosion Resistant Steels Cleaning and Handling SECTION NA
12.2.1 Does the internal procedure require that all PH steel hardware with any YES NO
finish machined surfaces be handled with clean gloves after cleaning?
(U11)
12.2.2 Do records and observations indicate that the procedure is followed? YES NO
12.3 Neutral Salt Baths SECTION NA
12.3.1 Is each salt bath tested periodically in accordance with the applicable YES NO
heat treatment specifications?
12.3.2 Do the salt bath test results demonstrate conformance to carburization, YES NO
decarburization, nitriding, and intergranular attack requirements?
12.3.3 Is there an internal procedure for these tests? YES NO
12.3.5 Do procedures require that the quench bath be monitored weekly? YES NO
12.3.5.1 Do procedures require salt concentration in the bath to be less than or YES NO
equal to 2% for a water quench or less than or equal to 6% for polymer
quench?
12.3.5.2 Do records indicate that the procedures are followed? YES NO
12.3.6 Do procedures require that hardware be cleaned of any residual salt YES NO
after quenching?
12.4 Refrigeration and sub-zero treatments SECTION NA
12.4.1 Do procedures cover sub-ambient/sub-zero cooling according to the YES NO

customer requirements, or in absence of customer requirements, does
the auditee have a default procedure?
12.4.2 Do procedures and job planning specify time/temperature limits for sub- YES NO
ambient/sub-zero treatments?
12.4.3 Do records indicate that the procedures are followed? YES NO
12.5 Carbon Controls for Steels SECTION NA
12.5.1 Do the internal procedures specify a system of maintenance and YES NO

calibration of carbon control indicators?
12.5.2 Do records indicate that the maintenance and calibrations are YES NO
performed as required by the procedures and applicable specifications?
12.5.3 Is the accuracy of the carbon control system confirmed by the results of YES NO
tests required by the heat treatment specifications?
12.6 Snap Temper SECTION NA
12.6.1 Are there procedures that address snap tempering within the time limits YES NO
required by the customers’ specifications? (U11)
12.7 Press Quench SECTION NA
12.7.1 Are the expander pressure, the cylinder pressure, and the number and YES NO
force of hold down springs, and applicable tolerances documented on
or traceable to the traveler for each job?
12.8 Mechanical Testing SECTION NA
12.8.1 Are there procedures that address mechanical testing required by the YES NO
customers’ specifications?
12.8.2 Do records indicate that this procedure is followed? YES NO
12.9 Surface Contamination Testing SECTION NA
12.9.1 Do the internal testing procedures conform to the specifications? YES NO
12.9.2 Do the internal testing procedures cover the following:
12.9.2.1 Partial decarburization? YES NO NA
12.9.2.2 Total decarburization? YES NO NA
12.9.2.3 Carburization? YES NO NA
12.9.2.4 IGO/IGA (Inter Granular Oxidation/Inter Granular Attack) test? YES NO NA
12.9.3 Is there a system in place to ensure that decarburization tests are YES NO NA
performed at the proper frequency, whether it is periodic or with the
load? (U11)
12.9.4 Are the test records current and complete? YES NO NA
13. TITANIUM TREATING SECTION NA
13.1.1 Do procedures address the use of getter materials when required by YES NO NA
specifications?
13.1.2 When getter materials are used, do procedures address the lifespan or YES NO NA
checks to assure that the getter material is still absorbing
contaminants?
13.1.3 Do procedures address atmosphere purge when endothermic or YES NO NA

disassociated ammonia is to be used in a furnace above 1200°F
(649°C) prior to processing titanium hardware?
13.1.4 Do records and observations indicate that the procedure is followed? YES NO NA
13.2 Cleaning and Handling SECTION NA
13.2.1 Does the internal procedure for cleaning titanium surfaces preclude the YES NO
use of halogenated substances or other prohibited materials?
13.2.2 Does the internal procedure require that all titanium hardware cleaned YES NO NA
either by the Auditee or the customer prior to heat treatment are
handled with clean gloves after cleaning?
13.2.3 Do records and observations indicate that the procedure is followed? YES NO
13.3 Processing
13.3.1 Do procedures preclude the use of fixturing that may contaminate YES NO NA
titanium alloys (i.e., Graphite)?
Guidance: NA applies to hardware with sufficient material on all

surfaces for complete removal of contamination.
13.3.2 Do procedures limit the use of air atmosphere above 1000°F (538°C), YES NO NA
unless there is subsequent sufficient stock removal, or allowed by
specification?
13.3.3 When processing is performed in Argon or Helium atmospheres, is the YES NO NA

dew point and purity within specification limits?
13.3.4 Does the inert atmosphere or quench gas used (when processing in a YES NO NA
vacuum furnace) meet the required purity requirements?
13.4 Testing SECTION NA
13.4.1 Is there a system in place to control the test coupons and their use YES NO NA
when required?
13.4.2 Does the internal documentation support that the test coupons are YES NO
used in accordance with the procedures/specifications?
13.4.3 Is there a system in place and adequate procedures for the control of YES NO NA
hydrogen pick up that meets the method and frequency specified by the
customers’ requirements?
13.4.4 Is there a procedure for periodic testing for alpha case determination in YES NO
heat treatment of titanium alloys?
13.4.4.1 Is there evidence of compliance to the procedure? YES NO
14. PYROMETRY TESTING
14.1 The Auditor shall execute Nadcap AC7102/8 Audit Criteria as part of
this audit.
15. VACUUM TREATING (EXCEPT VACUUM CARBURIZING – SEE SECTION NA

AC7102/3)
15.1 Procedures
15.1.1 Does the internal procedure or other documentation specify cleaning of YES NO
hardware, tooling and baskets by methods and with materials that
ensure freedom from contamination during vacuum heat treating?
15.1.2 Does the internal procedure, photographic evidence, or other YES NO

documentation specify placement of load thermocouples, racking of
hardware, and furnace loading? (U22)
15.2 Tests and Records
15.2.1 Does the internal procedure control the following:

15.2.1.1 Leak-up rate test? (U7, U10, U14) YES NO
15.2.1.2 Calibration of vacuum instruments, flowmeters, dew point meter(s) and YES NO
the related master gauges as appropriate? (U7, U10, U14)
15.2.1.3 Quench, partial pressure and backfill gas purity and/or dew point (i.e., YES NO
does the gas certification meet specification requirements)?
15.2.1.4 Furnace burn-out? YES NO
15.2.2 Is the dew point of the gas periodically checked as the gas enters the YES NO
furnace?
15.2.3 Does the calibration interval of the vacuum system’s sensor, control YES NO
panel and recorder meet the frequency of the customer specification?
15.2.4 Are calibration acceptance criteria defined in the internal procedure? YES NO
15.2.5 Do records indicate that the tests and calibrations are performed as YES NO
required by the internal procedure and all applicable specifications?
(U25)
15.2.6 Is the vacuum level in the heating and cooling chambers recorded YES NO
during all thermal cycles requiring vacuum? (U10, U14)
15.3 Qualification for Inert Gas Pressure Quenching (U11) SECTION NA
15.3.1 Does the Auditee have documentation of customer or cognizant quality YES NO NA
assurance organization associated with the design authority approval,
as applicable, when required?
15.3.2 Does the Auditee have procedures that address the applicable YES NO
qualification and requalification requirements that meet industry or
customer specifications?
15.3.3 Does the Auditee’s technique sheet meet the requirements of the YES NO
applicable industry or customer specifications?
16. TO 17. COMPLIANCE AUDITS OF COMPLETED HEAT TREATING JOBS
The Auditor shall execute two (2) completed long job audits (including
final testing), except when completed job audit is replaced by an equal
amount of other processing jobs (see AC7102/1, AC7102/3, AC7102/4,
AC7102/6, AC7102/7 and AC7102/9) performed in conjunction with
AC7102 Audit Criteria.
16. COMPLIANCE AUDIT OF COMPLETED HEAT TREATING JOB SECTION NA
16.1 (EC) Job #1 Identity:
16.1.1 Purchase order number: (for Independent Heat Treaters Only)
16.1.2 Customer:
16.1.3 Subscriber:
16.1.4 Job number:
16.1.4.1 (Info) Is the job a split job? YES NO
16.1.4.2 If the job is a split job, were all required tests performed for each split YES NO NA
job?
16.1.5 Part Number:
Guidance: If Part Number is not available mark as “Unknown”.
16.1.5.1 (Info) Is the hardware controlled under U.S. Export Control Regulation YES NO
as declared by the Auditee?
Guidance: If the hardware being audited is controlled under U.S. Export

Control Regulations, questions in the Job Audit marked ‘EC’ cannot be
answered as the information may be considered restricted. Simply
record ‘EC’ in the comment box for these questions.
16.1.6 Hardware description:
16.1.7 Hardware size:
16.1.8 Maximum hardware thickness:
16.1.9 Quantity of hardware:
16.1.10 (EC) Material alloy:
16.1.11 (EC) Material condition/form:
16.1.11.1 (EC) Clad
16.1.11.2 (EC) Bare
16.1.12 (EC) Material specification (if

available):
16.1.13 (EC) Heat Treating specification:

16.1.14 (EC) Heat treat and other process and test requirements specified by
customer specification (e.g. fixed process approval):
16.1.15 When a Nadcap Subscriber is identified, is there documentation which YES NO NA

demonstrates that the Auditee is approved?
16.1.16 (EC) Process:
Guidance: Summarize Process Name (e.g. Solution, Anneal, Age, etc.)

only for non-EC jobs.
16.1.17 When the heat treating specification has cleaning requirements prior to YES NO NA
or after heat treatment, are they properly flowed to the job planning
including the cleaning specification?
16.2 Does the job planning contain all of the applicable items described
below?
16.2.1 Specification required parameters for the complete heat treatment cycle YES NO
listed on the specific job planning for the Part Number, or is referenced
in a controlled system traceable to the Part Number?
16.2.2 YES NO
Soak times and tolerances?
16.2.3 Soak temperatures and tolerances? YES NO
16.2.4 Quench media and Quench temperatures (as applicable)? YES NO NA
16.2.5 Atmosphere (including air) or vacuum requirements? YES NO NA
Guidance: NA is for when only air atmosphere is used in all furnaces.
16.2.6 Furnace identification or method to determine which furnaces are YES NO

acceptable for the specific heat treatment (e.g., Furnace Class and
Instrumentation Type)?
16.2.7 Test samples (Type and Quantity) identification (as applicable)? YES NO NA
16.2.8 Any changes, additions, and deletions are made by authorized YES NO
personnel?
16.2.9 Place to record inspection status? YES NO
16.2.10 Place to record test requirements and results? YES NO
16.2.11 Place to record identification of person(s) doing the work? YES NO
16.2.12 Place to record date operation was performed? YES NO
16.3 Racking SECTION NA

16.3.1 Are customer racking or batching requirements specified? YES NO NA

Describe: (EC) Do not describe but answer YES or NO
16.3.2 Is racking or batching specified as requirement on the shop paper? YES NO

16.3.3 Is the racking or batching used in accordance to requirements? YES NO

16.3.4 Did racking ensure that air is not entrapped detrimentally during the YES NO NA
quench?
16.4 Thermal Treatment Step One SECTION NA
16.4.1 Step One:
16.4.1.1 Furnace Used:
16.4.1.2 Date hardware was

processed:
16.4.1.3 Operator who ran the job:
16.4.1.4 Simulated or Real job:
16.4.2 (EC) Step One - Temperature
REQUIREMENT SHOP PAPER SET ACTUAL

REQUIREMENT TEMPERATURE TEMPERATURES
Temperature (EC) (EC) (EC)
Check if used
(EC)
Control
Recorder (EC)
High/Low - Type (EC)
A or C
Instrumentation
Load (EC)
Thermocouples
16.4.3 (EC) Step One – Time
REQUIREMENT SHOP PAPER ACTUAL

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
Heat-up Rate (EC) (EC) (EC)

Time and Tolerance (EC) (EC) (EC)

Time loaded into
furnace
Time start of soak (EC)
Time end of soak (EC)

(EC) (EC) (EC)
Media for Cooling
Cooling Target (EC) (EC) (EC)
Cooling Rate
16.4.4 (EC) Step One – Quench SECTION NA
16.4.4.1 (EC) Step One - Quench

REQUIREMENT
Quench delay (EC) (EC) (EC)
Quench media (EC) (EC) (EC)
%
Quenchant (EC) (EC) (EC)
Temperature
Start
Temperature
End
Temperature
Rise
Quench gauge
calibration
(EC) (EC) (EC)
Delay to the
next operation
16.4.5 Was the furnace kept at or below set temperature (including the room YES NO NA
temperature for vacuum furnaces) before loading the hardware?
Guidance: NA applies ONLY for continuous furnace.
16.4.6 What is the basis for determining the start and the end of the soak?
Describe:
16.4.7 Does the method for determining the start and the end of soak meet the YES NO
16.5 Offsets SECTION NA

16.5.1 Is offsetting performed? YES NO
16.5.2 Is offsetting permitted by the customer? YES NO
16.5.3 What offset is made?

Describe:
16.6 Step One Summary SECTION NA
16.6.1 Is the uniformity requirement or furnace number specified on shop YES NO

paper?
(List below):
16.6.2 Does the furnace meet the uniformity requirement? YES NO
16.6.3 Does the furnace possess the control and recording instrumentation YES NO
required by the governing specification for this heat treatment?
16.6.4 Did cooling/quenching meet the requirements? YES NO
16.6.5 Does all thermal treatment meet the specified requirements? YES NO
16.6.6 Is there evidence that heat treatment cycles are reviewed for job YES NO
traceability, correct temperature and time at temperature?
16.6.7 Was this review performed by QA or other designated personnel and YES NO
the review documented in accordance with the customer requirements?
(U11)
16.7 Thermal Treatment Step Two Temper SECTION NA
16.7.1 Step Two Temper:

processed:
16.7.2 Step Two - Temperature
16.7.2.1 What is the basis for determining the tempering temperature for alloy
steels?
16.7.2.1.1 Specified in the shop paper:
16.7.2.1.2 As quenched hardness:
16.7.2.1.3 Other (Describe):
16.7.3 (EC) Step Two Temper – Temperature


Check if used
Control (EC)
Recorder (EC)
High/Low - (EC)
Type A or C
Instrumentation
Load (EC)
Thermocouples
16.7.4 (EC) Step Two Temper – Time

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate
16.8 Thermal Treatment Step Two Age/PPT/Second Temper SECTION NA
16.8.1 Step Two Age/PPT/Second Temper:

processed:
16.8.2 (EC) Step Two Age/PPT/Second Temper – Temperature

(EC) (EC) (EC)
Temperature
Check if used
Control (EC)
Recorder (EC)
High/Low - (EC)
Type A or C
Instrumentation
Load (EC)
Thermocouples
16.8.3 (EC) Step Two Age/PPT/Second Temper – Time

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate
16.9 Step Two Summary SECTION NA

paper?
(List below):
16.9.6 Is there evidence that the heat treatment cycles are reviewed for job YES NO
(U11)
16.10 Cold Temperature Treatments SECTION NA
16.10.1 (EC) Treatment Specified:
16.10.2 (EC) Treatment on the shop paper:
16.10.3 (EC) Treatment performed and documented:
16.10.4 Do these treatments meet the customer requirements? YES NO
16.11 Load Thermocouples SECTION NA
16.11.1 Are the load thermocouples required for this job either by the customer YES NO
or internal procedure?
16.11.1.1 (EC) What requirements/documentation is specified?
16.11.1.2 (EC) How many load thermocouples are used?
16.11.1.3 What kind (expendable/non-expendable) and type?
16.11.1.4 How are the usage cycles or time intervals controlled?
16.11.1.5 (EC) Location of the load thermocouples:
16.11.1.6 Method of attachment or method to simulate the maximum hardware

thickness:
16.11.2 Did the usage and placement of load thermocouples conform to YES NO
requirements?
16.12 Straightening SECTION NA
16.12.1 Was the straightening performed? YES NO
16.12.1.1 Straightening:
(EC) SHOP PAPER

(EC) REQUIREMENT (EC) ACTUAL
REQUIREMENT
16.12.2 Did the straightening conform to requirements? YES NO
Guidance: Straightening time and temperature allowances for

straightening may be in subordinate specifications rather than in the
basic heat treating specification.
16.13 (EC) Hardness Testing SECTION NA
16.13.1 (EC) Hardness Testing

REQUIREMENT
(EC) (EC) (EC)
Hardness/Tensile
range
Hardness (EC) (EC) (EC)
converted from
Tensile
(EC) (EC) (EC)
Test frequency
(EC) (EC) (EC)

Converted
hardness
16.13.2 Does the hardness obtained conform to specification? (U22) YES NO
16.13.3 Is the operator currently qualified/certified to perform Hardness YES NO

Testing?
16.14 (EC) Conductivity Testing SECTION NA
16.14.1 (EC) Conductivity Testing

REQUIREMENT
(EC) (EC) (EC)
Conductivity range
16.14.2 Does the conductivity obtained conform to specification? (U22) YES NO
16.14.3 Is the operator currently qualified/certified to perform Conductivity YES NO

Testing?
16.15 Additional Periodic and Lot testing required: (Charpy impact, Tensile SECTION NA
test, Fracture toughness, Metallographic and/or Microhardness tests,
etc.)
16.15.1 (EC) Additional testing required by the specification:
16.15.1.1 (EC) Shop paper requirement for additional testing:
16.15.2 (EC) Actual additional testing results:
16.15.3 Are these tests properly documented in the Auditee’s Process Control YES NO
System?
16.15.4 Do the tests meet the customer requirement? YES NO
16.16 Operator Control and Job Acceptance
16.16.1 Independent Heat Treaters SECTION NA
16.16.1.1 Does the certificate show compliance to all applicable drawing, YES NO
specification and PO requirements including documentation of any
exceptions (e.g. pre- and post-cleaning, straightening, testing, etc.)?
16.16.1.2 Does the certificate list the revision level of the specification to which YES NO
hardware was processed?
16.16.1.3 Do the test reports reflect the actual data? YES NO
16.16.1.4 Is the heat treatment documentation verified and accepted by YES NO

authorized personnel?
16.16.2 Manufacturers/Captive Heat Treaters SECTION NA

16.17 Did this job comply with all other requirements? YES NO
17. COMPLIANCE AUDIT OF COMPLETED HEAT TREATING JOB SECTION NA
17.1.2 Customer:
17.1.3 Subscriber:
17.1.4 Job number:
job?
17.1.5 Part Number:
Guidance: If Part Number is not available mark as “Unknown”.

17.1.11.1 (EC) Clad
17.1.11.2 (EC) Bare

available):

customer specification (e.g. fixed process approval):


17.1.17 When the heat treat specification has cleaning requirements prior to or YES NO NA
after heat treatment, are they properly flowed to the job planning
below?
17.2.2 Soak times and tolerances? YES NO

personnel?
17.2.10 Place to record test requirements and results? YES NO
17.2.11 Place to record identification of person(s) doing the work? YES NO
17.2.12 Place to record date operation was performed? YES NO
17.3 Racking SECTION NA

17.3.1 Are customer racking or batching requirements specified? YES NO NA

17.3.2 Is racking or batching specified as requirement on the shop paper? YES NO

17.3.3 Is the racking or batching used in accordance to requirements? YES NO

17.3.4 Did racking ensure that air is not entrapped detrimentally during the YES NO NA
quench?
17.4.1 Step One:

processed:
17.4.2 (EC) Step One - Temperature

Check if used
Control (EC)
Recorder (EC)
High/Low - Type (EC)

A or C
Instrumentation
Load (EC)
Thermocouples
17.4.3 (EC) Step One – Time

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)

Time and Tolerance
Time loaded into
furnace
Time start of soak (EC)
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate
17.4.4 (EC) Step One – Quench SECTION NA
17.4.4.1 (EC) Step One - Quench

REQUIREMENT
(EC) (EC) (EC)
Quench delay
(EC) (EC) (EC)

Quench media %
Temperature Start
Temperature End
Temperature Rise
Quench gauge
calibration
(EC) (EC) (EC)
Delay to the next
operation
17.4.5 Was the furnace kept at or below set temperature (including the room YES NO NA
temperature for vacuum furnaces) before loading the hardware?
Guidance: NA applies ONLY for continuous furnace.
17.4.6 What is the basis for determining the start and the end of the soak?
Describe:
17.4.7 Does the method for determining the start and the end of soak meet the YES NO
17.5 Offsets SECTION NA
17.5.1 Is offsetting performed? YES NO

17.5.2 Is offsetting permitted by the customer? YES NO
17.5.3 What offset is made?

Describe:
17.6 Step One Summary SECTION NA

paper?
(List below):
17.6.6 Is there evidence that heat treatment cycles are reviewed for job YES NO
17.6.7 Was this review performed by QA or other designated personnel and the YES NO
review documented in accordance with the customer requirements?
(U11)
17.7 Thermal Treatment Step Two Temper SECTION NA

processed:
17.7.2 Step Two - Temperature
17.7.2.1 What is the basis for determining the tempering temperature for alloy
steels?
17.7.2.1.1 Specified in the shop paper:
17.7.2.1.2 As quenched hardness:
17.7.2.1.3 Other (Describe):
17.7.3 (EC) Step Two Temper – Temperature

(EC) (EC) (EC)

Temperature
Check if used
(EC)
Control
Recorder (EC)
High/Low - (EC)
Type A or C
Instrumentation
Load (EC)
Thermocouples
17.7.4 (EC) Step Two Temper – Time

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)

Heat-up Rate
(EC) (EC) (EC)

Time and Tolerance
Time loaded into

furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate
17.8 Thermal Treatment Step Two Age/PPT/Second Temper SECTION NA

processed:
17.8.2 (EC) Step Two Age/PPT/Second Temper – Temperature

(EC) (EC) (EC)

Temperature
Check if used
(EC)
Control
(EC)
Recorder
High/Low - (EC)
Type A or C
Instrumentation
Load (EC)
Thermocouples
17.8.3 (EC) Step Two Age/PPT/Second Temper – Time

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)

Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate
17.9 Step Two Summary SECTION NA

paper? (list below):

17.9.6 Is there evidence that the heat treatment cycles are reviewed for job YES NO
(U11)
17.10 Cold Temperature Treatments SECTION NA
17.10.1 (EC) Treatment Specified:
17.10.2 (EC) Treatment on the shop paper:
17.10.3 (EC) Treatment performed and documented:
17.10.4 Do these treatments meet the customer requirements? YES NO
17.11 Load Thermocouples SECTION NA
17.11.1 Are the load thermocouples required for this job either by the customer YES NO
or internal procedure?
17.11.1.1 (EC) What requirements/documentation is specified?
17.11.1.2 (EC) How many load thermocouples are used?
17.11.1.3 What kind (expendable/non-expendable) and type?
17.11.1.4 How are the usage cycles or time intervals controlled?
17.11.1.5 (EC) Location of the load thermocouples:
17.11.1.6 Method of attachment or method to simulate the maximum hardware

thickness:
17.11.2 Did the usage and placement of load thermocouples conform to YES NO
requirements?
17.12 Straightening SECTION NA
17.12.1 Was the straightening performed? YES NO
17.12.1.1 Straightening:
(EC) SHOP PAPER

(EC) REQUIREMENT (EC) ACTUAL
REQUIREMENT
17.12.2 Did the straightening conform to requirements? YES NO
Guidance: Straightening time and temperature allowances for

straightening may be in subordinate specifications rather than in the
basic heat treating specification.
17.13 (EC) Hardness Testing SECTION NA
17.13.1 (EC) Hardness Testing

REQUIREMENT
(EC) (EC) (EC)
Hardness/Tensile
range
Hardness (EC) (EC) (EC)
converted from
Tensile
(EC) (EC) (EC)
Test frequency
(EC) (EC) (EC)

Converted
hardness
17.13.2 Does the hardness obtained conform to specification? (U22) YES NO
17.13.3 Is the operator currently qualified/certified to perform Hardness YES NO

Testing?
17.14 (EC) Conductivity Testing SECTION NA
17.14.1 (EC) Conductivity Testing


REQUIREMENT
(EC) (EC) (EC)
Conductivity range
17.14.2 Does the conductivity obtained conform to specification? (U22) YES NO
17.14.3 Is the operator currently qualified/certified to perform Conductivity YES NO

Testing?
17.15 Additional Periodic and Lot testing required: (Charpy impact, Tensile SECTION NA
test, Fracture toughness, Metallographic and/or Microhardness tests,
etc.)
17.15.1 Additional testing required by the specification:
17.15.1.1 Shop paper requirement for additional testing:
17.15.2 Actual additional testing results:
17.15.3 Are these tests properly documented in the Auditee’s Process Control YES NO
System?
17.15.4 Do the tests meet the customer requirement? YES NO
17.16 Operator Control and Job Acceptance
17.16.1 Independent Heat Treaters SECTION NA
17.16.1.1 Does the certificate show compliance to all applicable drawing, YES NO
specification and PO requirements including documentation of any
exceptions (e.g. pre- and post-cleaning, straightening, testing, etc.)?
17.16.1.2 Does the certificate list the revision level of the specification to which YES NO
the hardware was processed?
17.16.1.3 Do the test reports reflect the actual data? YES NO

17.16.2 Manufacturers/Captive Heat Treaters SECTION NA

17.17 Did this job comply with all other requirements? YES NO
18. TO 25. COMPLIANCE AUDITS OF ABBREVIATED HEAT TREATING JOBS
The Auditor shall execute eight (8) abbreviated in-process job audits for
a single lot of in-process components, except when the abbreviated in-
process heat treating jobs are replaced by an equal amount of other
processing jobs predicated on the declared scope of the audit (see
AC7102/1, AC7102/3, AC7101/4, AC7102/6, AC7102/7 and AC7102/9)
performed in conjunction with AC7102 Audit Criteria.
When eight (8) abbreviated in-process jobs cannot be witnessed,

completed jobs may substitute the in-process jobs, but not for more
than four (4).
18. COMPLIANCE AUDIT OF ABBREVIATED HEAT TREATING JOB SECTION NA

18.1.2 Customer:
18.1.3 Subscriber:
18.1.4 Job number:
job?
18.1.5 Part Number:

18.1.11.1 (EC) Clad
18.1.11.2 (EC) Bare

available):
customer specification (e.g. fixed process approval) - See sections 3.2,
3.7 and 6:


18.1.17 (EC) Pre-heat treatment requirements (cleaning, racking, normalizing,

plating, stress relieving, etc.):
18.1.19 (EC) Pre-heat treatment requirements on the shop paper:
18.1.20 (EC) Pre-heat treatment actually performed:
below?

personnel?

18.3.1 Step One:
18.3.1.1 Furnace used:

processed:
18.3.1.4 Simulated or Real Job:
18.3.4 Is hardware loaded in the furnace within the qualified work zone as YES NO
defined by the Auditee's most recent uniformity survey?
18.3.4.1 (EC) Step One – Temperature

(EC) (EC) (EC)
Temperature
Check if used
(EC)
Control
(EC)
Recorder
High/Low - (EC)
Type A or C
Instrumentation
Load (EC)
Thermocouples
18.3.4.2 (EC) Step One – Time

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling

Cooling Rate
18.3.4.3 (EC) Step One - Quench SECTION NA
18.3.4.3.1 (EC) Step One - Quench

REQUIREMENT
(EC) (EC) (EC)
Quench delay
(EC) (EC) (EC)

Quench media %
Temperature Start
Temperature End
Temperature Rise
Quench gauge
calibration
(EC) (EC) (EC)
Delay to the next
operation
18.4 Thermal Treatment Step Two SECTION NA
18.4.1 Thermal Treatment Step Two Temper SECTION NA
18.4.1.1 Step Two Temper:
18.4.1.1.1 Furnace used:
18.4.1.1.2 Date hardware was

processed:
18.4.1.2 Does the furnace possess the control and recording instrumentation YES NO
18.4.1.3 Does the furnace meet the uniformity requirement? YES NO
18.4.1.4 Is hardware loaded in the furnace within the qualified work zone as YES NO
18.4.1.5 (EC) Step Two Temper – Temperature

(EC) (EC) (EC)

Temperature
Check if used
(EC)
Control
(EC)
Recorder
High/Low - (EC)
Type A or C
Instrumentation
Load (EC)
Thermocouples
18.4.1.6 (EC) Step Two Temper – Time

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate
18.4.2 Thermal Treatment Step Two Age/PPT/Second Temper SECTION NA
18.4.2.1 Step Two Age/PPT/Second Temper:

processed:
18.4.2.5 ((EC) Step Two Age/PPT/Second Temper – Temperature


(EC) (EC) (EC)
Temperature
Check if used
(EC)
Control
(EC)
Recorder
High/Low - (EC)
Type A or C
Instrumentation
Load (EC)
Thermocouples
18.4.2.6 (EC) Step Two Age/PPT/Second Temper – Time

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate
18.5 Testing for the abbreviated Job #3 SECTION NA
18.5.1 (EC) Testing requirements by Specification, P/O or Drawing:
18.5.2 (EC) Shop paper testing requirements:
18.5.3 (EC) Actual testing performed:
18.6 Job Acceptance

18.6.1 Is the operation signed off or data recorded only after completion? YES NO
18.6.2 Did the treatment of hardware conform to customer’s specified YES NO

requirements?
19.1.2 Customer:
19.1.3 Subscriber:
19.1.4 Job number:
job?
19.1.5 Part Number:

19.1.11.1 (EC) Clad
19.1.11.2 (EC) Bare

available):

3.7 and 6:



below?

personnel?
19.3.1 Step One:

processed:

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into

furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

REQUIREMENT
(EC) (EC) (EC)
Quench delay
(EC) (EC) (EC)

Quench media %
Temperature Start
Temperature End
Temperature Rise
Quench gauge
calibration
(EC) (EC) (EC)
Delay to the next
operation

processed:

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

processed:
19.4.2.5 (EC) Step Two Age/PPT/Second Temper – Temperature

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

19.6 Job Acceptance

requirements?
20.1.2 Customer:
20.1.3 Subscriber:
20.1.4 Job number:
job?
20.1.5 Part Number:

20.1.11.1 (EC) Clad
20.1.11.2 (EC) Bare

available):

3.7 and 6:



below?

personnel?
20.3.1 Step One:

processed:

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into

furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

REQUIREMENT
(EC) (EC) (EC)
Quench delay
(EC) (EC) (EC)

Quench media %
Temperature Start
Temperature End
Temperature Rise
Quench gauge
calibration
(EC) (EC) (EC)
Delay to the next
operation

processed:

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

processed:

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

20.6 Job Acceptance

requirements?
21.1 (EC) Job #6 Identity: __________________________________
21.1.2 Customer:
21.1.3 Subscriber:
21.1.4 Job number:
job?
21.1.5 Part Number:

21.1.11.1 (EC) Clad
21.1.11.2 (EC) Bare

available):

3.7 and 6:



below?

personnel?
21.3.1 Step One:

processed:

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into

furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

REQUIREMENT
(EC) (EC) (EC)
Quench delay
(EC) (EC) (EC)

Quench media %
Temperature Start
Temperature End
Temperature Rise
Quench gauge
calibration
(EC) (EC) (EC)
Delay to the next
operation

processed:

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

processed:


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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

21.6 Job Acceptance

requirements?
22.1.2 Customer:
22.1.3 Subscriber:
22.1.4 Job number:
job?
22.1.5 Part Number:

22.1.11.1 (EC) Clad
22.1.11.2 (EC) Bare

available):

3.7 and 6:



below?

personnel?
22.3.1 Step One:
processed:

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)

Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

REQUIREMENT
(EC) (EC) (EC)
Quench delay
(EC) (EC) (EC)

Quench media %
Temperature Start
Temperature End
Temperature Rise
Quench gauge
calibration
(EC) (EC) (EC)
Delay to the next
operation

processed:


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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

processed:

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

22.6 Job Acceptance

requirements?
23.1.2 Customer:
23.1.3 Subscriber:
23.1.4 Job number:
job?
23.1.5 Part Number:

23.1.11.1 (EC) Clad
23.1.11.2 (EC) Bare

available):

3.7 and 6:



below?

personnel?
23.3.1 Step One:
processed:

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)

Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

REQUIREMENT
(EC) (EC) (EC)
Quench delay
(EC) (EC) (EC)

Quench media %
Temperature Start
Temperature End
Temperature Rise
Quench gauge
calibration
(EC) (EC) (EC)
Delay to the next
operation

processed:


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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

processed:

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

23.6 Job Acceptance

requirements?
24.1.2 Customer:
24.1.3 Subscriber:
24.1.4 Job number:
job?
24.1.5 Part Number:

24.1.11.1 (EC) Clad
24.1.11.2 (EC) Bare

available):

3.7 and 6:



below?

personnel?
24.3.1 Step One:

processed:

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into

furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

REQUIREMENT
(EC) (EC) (EC)
Quench delay
(EC) (EC) (EC)

Quench media %
Temperature Start
Temperature End
Temperature Rise
Quench gauge
calibration
(EC) (EC) (EC)
Delay to the next
operation

processed:

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

processed:

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
Time and (EC) (EC) (EC)
Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate
24.6 Job Acceptance


requirements?
25.1.2 Customer:
25.1.3 Subscriber:
25.1.4 Job number:
job?
25.1.5 Part Number:

25.1.11.1 (EC) Clad
25.1.11.2 (EC) Bare

available):

3.7 and 6:

only for non-EC jobs,


below?

personnel?
25.3.1 Step One:

processed:

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)

Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

REQUIREMENT
(EC) (EC) (EC)
Quench delay
(EC) (EC) (EC)

Quench media %
Temperature Start
Temperature End
Temperature Rise
Quench gauge
calibration
(EC) (EC) (EC)
Delay to the next
operation

processed:


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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
(EC) (EC) (EC)
Time and Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

processed:

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

REQUIREMENT
(EC) (EC) (EC)
Atmosphere
(EC) (EC) (EC)
Heat-up Rate
Time and (EC) (EC) (EC)
Tolerance
Time loaded into
furnace
(EC)
Time start of soak
(EC)
Time end of soak
(EC) (EC) (EC)
Media for Cooling
Cooling Rate

25.6 Job Acceptance

requirements?

AC7102 Rev K For Use On Audits On or After 15-Aug-2021

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AC7102 Rev K For Use On Audits On or After 15-Aug-2021

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AC7102 REV.

*TO BE USED ON AUDITS STARTING ON OR AFTER 15-Aug-2021*

1.1 Prior to the Audit (see OP 1105 – Audit Process)

1.1.1 The Auditee must complete a self-audit to (as applicable):

Copyright 2021 Performance Review Institute. All rights reserved.

Guidance: All provided items shall be in English, unless otherwise

1.2 Definitions and Interpretations

1.2.2 Where a question is designated (Info), the “YES/NO” column indicates

1.3 Additional Information for Auditees

DIVISION (When applicable):

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 EMAIL

2.1 Additional Information

2.1.1 Plant Location Changed (Info) YES NO

2.1.2 QC Manager Changed (Info) YES NO

2.1.3 Equipment Moved (Info) YES NO

2.1.4 Common NCRs to Previous Audit (Info) YES NO

2.2.1 Furnace(s) List

2.2.2 GT-193 (for General Electric Aviation)

2.2.3 Staff Report (Generated by the Offline Audit Completion system, or

2.2.4 Closing Meeting Sign-off (t-frm-0010- Closing Meeting Report last

2.2.5 Others (as necessary)

3. GENERAL QUALITY SYSTEM

3.1 Document Control

3.2 Contract Review

3.3 Control of Nonconforming Product

3.3.2 When reheat treatment is performed: is it allowed by specification, YES NO NA

3.4 Control of Split Orders SECTION NA

Guidance: See definition of “split order” in HTTG Audit Handbook.

3.5 Internal Audits

Guidance: See definition of “hardware” in HTTG Audit Handbook.

3.7 Frozen Planning SECTION NA

3.8 First Lot Inspection SECTION NA

3.9.2 Are consumable goods, such as process atmospheres, quenchants, YES NO

3.10 Electronic Program Control and Data Acquisition SECTION NA

3.10.1 Is there a procedure in place to address software control? YES NO

4.1.2 Do records indicate that training is scheduled and attended in YES NO

4.2 Evaluation of Personnel

4.2.1 Do procedures require periodic evaluation to ensure that approved YES NO

5. MATERIAL HANDLING AND TRACEABILITY

5.1 Incoming Material to Processing

5.1.2 Do procedures ensure that incoming customer documents remain YES NO

5.2 General Cleaning SECTION NA

5.2.1 When mandatory cleaning requirements are imposed by purchase YES NO NA

(1) Complied with by the heat treater or performed by the customer

5.3 Racks, Fixtures and Baskets SECTION NA

5.3.1 Do procedures require that, when hardware requires a specially YES NO NA

5.3.2 Do procedures require the use of appropriate fixture/tool/rack materials YES NO

5.3.3 Is there a procedure in place and evidence of compliance to the YES NO

5.3.4 When a protective painting/coating is used on fixtures/racks, is the YES NO NA

5.3.7 Do records indicate that the procedures are followed? YES NO

5.4 Furnace Loading

Guidance: NA applies to vacuum furnaces.

5.5 Sampling Plans SECTION NA

5.5.1 Do all Auditee’s heat treating sampling plans contain:

5.5.1.2 Specified frequency and method of sampling? YES NO

5.5.1.3 When to change to tightened or reduced plans? YES NO NA

5.6 Process Verification

5.6.2 Is this review performed by Quality Assurance, other designated YES NO

Guidance: See the HTTG Audit Handbook (U7, U11)

TO BE USED ON AUDITS STARTING ON OR AFTER 15-Aug-2021