Audit Criteria: AC7101/7 REV. D

AC7101/7 REV.
D
Issued 1993-05
AUDIT CRITERIA
Revised 03-Sep-2017
161Thorn Hill Road
Warrendale, PA 15086-7527 Superseding AC7101/7 Rev. C
TO BE USED ON AUDITS STARTING ON OR AFTER MAY 15, 2016
Nadcap
AUDIT CRITERIA FOR
AUDIT CRITERIA FOR MATERIALS TESTING LABORATORIES -
MECHANICAL TESTING SPECIMEN PREPARATION
Editorial Changes made to Sections 13 – 17 for Job Tracker on August 14, 2016
Editorial Changes made to Section 9.2 on May 17, 2017
Editorial Changes made to 13.a., 14.a., 15.a., 16.a., & 17.a. on 03-Sep-2017
KEY: Font = Arial 11 pt.; Paragraph Spacing = Before: 12 pt. After: 0 pt.
1. SCOPE
This checklist supplements PRI AC7101/1. This checklist applies to

suppliers seeking Nadcap accreditation for Materials Testing
Laboratories – Mechanical Testing Specimen Preparation. It is intended
to establish the criteria for proper machining of test specimens to be
used in Mechanical Testing.
2. GENERAL INFORMATION
2.1 Laboratory _______________
2.2 Laboratory Contact _______________
2.3 Auditor _______________
2.4 Accredition Type
Initial Accreditation
Re-accreditation
Follow-up
NOTE: Applicable definitions can be found in Materials Testing Laboratories

Audit Handbook.
PRI operating procedures provide that "This report is published by PRI to advance the state of technical, engineering, and quality
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infringement arising there from, is the sole responsibility of the user."
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Copyright 2017 Performance Review Institute. All rights reserved.
t-frm-15 14-Feb-2017
PRI AC7101/7 Revision D -2-
2.5 Capability and equipment - Attach an equipment and capability matrix

that includes a list of specimen types machined and major equipment
used for the machining by preparation method (test code).
2.6 Preparation: Specimen preparation requires accreditation to Specimen

Preparation Code Z for all general specimen preparation and to Codes
Z1 and Z2 for Cyclic Test Codes O and Y and for any other test for
which the material specification or subscriber requirements require Low
Stress Grinding (LSG). Codes Z3 and Z4 are additional specialty codes
that may be required by some subscriber specifications.
2.7 Outside sources: If a Mechanical Testing Laboratory utilizes an outside

source for specimen machining (e.g. issues a PO), the laboratory shall
ensure that configuration and preparation are documented. The outside
source shall be a documented supplier meeting the requirements of
AC7101/7.
NOTE: This requirement applies to PO’s for machining originating from the
laboratory. Sources of pre-machined specimens that are submitted to
the laboratory are the responsibility of the customer.
2.8 Preparation Codes
Audited Code Preparation Type

Z GENERAL REQUIREMENTS
(Apply to all specimen preparation sources.)
Z1 LOW STRESS GRINDING
(Test Codes O, Y, P, XE, XA)
Z2 LOW STRESS GRINDING AND POLISHING
(Test Codes O, Y, P, XE,XA)
Z3 CAST SPECIMENS
(May include as-cast surfaces; Test Codes A, B, C)
Z4 SPECIAL PURPOSE SPECIMENS
(e.g. weld joints, tubes; Test Codes O, Y, XH, P, XE,
N)
2.9 Specimen Preparation Source
2.9.1 Source is to be audited as follows (on site audit required for all):
Code Z1 and Z2
Code Z (located at same facility as testing laboratory)
Code Z (not located at same facility as testing laboratory)
2.9.2 Code Z - The source is to be accredited for the following test

specimens types (one or more) which require 100% machined or
ground surfaces (Check all that apply):
All Code Z specimens
A: Room Temperature Tensile
B: Elevated Temperature Tensile
C: Stress Rupture
N: Impact
P: Fracture Toughness
XE: Crack Propagation
XA: Creep
2.9.3 Code Z1 (Low Stress Grind) / Code Z2 (Low Stress Grind And Polish) -
The source is to be accredited for the following test specimen types
(Check all that apply):
Notched & Un-notched (Test Codes O, Y)
Un-notched only (Test Codes O, Y)
O: HCF
Y: LCF
XA: Creep
All other test requiring LSG
Others and Restrictions as noted below:

____________________________________________
____________________________________________
2.9.4 Code Z3 (Cast Specimens) - The source is to be accredited for the

following cast specimen types, which may not require 100% machined
or ground surfaces (Check all that apply):
A: Room Temperature Tensile
B: Elevated Temperature Tensile
C: Stress Rupture
Other:
Describe: ____________________________________________
2.9.5 Code Z4 (Special Purpose Specimens) - The source is to be accredited

for "Special Purposes" specimen types (Check all that apply):
Notched & Un-notched (Test Codes O, Y, XH)
Un-notched only (Test Codes O, Y, XH)
O: HCF
N: Impact
Other
____________________________________________________________________________
Describe:
_
2.9.6 Describe Quality Systems responsibility (between the Specimen

Preparation Source and the Mechanical Testing Laboratory). Check all
that apply:
Preparation source is part of the testing laboratory organization.
Preparation source and testing laboratory are under the same quality organization.
Preparation source is an external sub-tier to the testing laboratory (different company, facility,
and/or quality organization).
Code Z1 and Z2: Specimen preparation source.
Code Z1 and Z2: Specimen preparation sources which do not have independent quality
systems.
Other
____________________________________________________________________________
Describe:
_
2.9.7 Dimensional inspection control - Describe Quality Acceptance

disciplines. (This may comprise several disciplines; check all that apply
and explain below):
Enforces process control
Uses Statistical Process Control (SPC)
Inspects characteristics prior to shipment
100% (all characteristics)
100% (selected characteristics), sample (remaining)
Sample selected characteristics
Other
____________________________________________________________________________
Describe:
_
3. PROCEDURES AND DOCUMENTS
3.1 Procedures are used to ensure specimens conform to all dimensional YES NO
requirements.
4. FACILITIES AND EQUIPMENT
4.1 Preventive maintenance plan is followed and maintenance operations YES NO

are documented.
5. BLANKING, ROUGH MACHINING, AND STRAIGHTENING

Blanking may be done by machining, grinding, Electrical Discharge
Machining (EDM), pressing (flat specimens), or other methods.
5.1 Procedures are used to ensure blanking is performed by methods YES NO

which do not distort the material or produce surface effects deeper than
would be removed by final finishing. (Explain as necessary.)
5.1.a. For sheet specimens, as-finished sheet surfaces remain intact. YES NO NA
5.1.b. A minimum of 0.010 inches (0.25mm) remains on rough machined YES NO

surfaces for final finishing operations.
5.1.c. Special Purpose Specimens: For testing of weld and braze joints, YES NO NA
tubes, miniature bars, and other material conditions which are not
suitable for standard flat or cylindrical specimens, blanking and
finishing operations shall be covered by written procedures.
Comments _______________________________________________
5.2 Procedures are used to ensure mechanical straightening of specimens YES NO

prior to testing is not permitted.
6. SPECIMEN PREPARATION AND BASIC MACHINING
6.1 Procedures are used to establish specimen preparation parameters

(e.g. cutting, turning materials, speed, feed, grinding materials) such
that the effect on material properties is minimal. Preparation
procedures and controls consider the following:
6.1.a. Distortion of specimen dimensions. YES NO
6.1.b. Physical damage (e.g. cracks, tears, scratches). YES NO
6.1.c. Residual stresses (tensile or compressive). Applies to Z2 only. YES NO NA
6.1.d. Metallurgical damage (e.g. local overheating from abusive grinding or YES NO
machining).
7. NOTCH MACHINING (ALL Z CODES) SECTION NA
Grinding
Other
Describe _________________________________________________
7.1 Procedures are used to ensure surface finish conforms to customer YES NO
requirements.
7.2 Procedures are used to ensure notch surfaces have no visible nicks or YES NO
scratches.
7.3 Procedures are used to verify the notch dimensions meet the drawing YES NO
or specification requirements.
8. GRINDING (CODES Z1 AND Z2) SECTION NA
8.1 Low Stress Grinding Parameters: Procedures are used to define the YES NO
process for which the machine shop will achieve an acceptable low
stress grinding operation. Table 2 in the Handbook references a set of
parameters for Low Stress Grinding dependent on the source of
grinding wheels and machining equipment which may be capable of
meeting the required residual stress range. Any combination of grinding
wheels and machining equipment may be used that meets the residual
stress specification.
8.2 Procedures are used to ensure final grinding of smooth gage sections
conforms to values as specified by customer for:
8.2.a. Lubricant: Constant flow; Abrasive particles continuously removed YES NO
8.2.b. Surface Speed YES NO
8.2.c. Feed Rates (axial and Radial) YES NO
9. FINAL POLISH – CODE Z2 SECTION NA
9.1 Final polishing conforms to requirements specified by customer. YES NO NA

Alternate method shall be approved by customer.
Note: For sections 9.1.1 – 9.1.8, alternate method acceptable if
machine shop has documented acceptable residual stress
measurements and a specific procedure for achieving these results.
Alternate method shall be approved by customer. Document procedure
used.
9.1.1 Abrasive Paper: Silicon Carbide for Titanium Alloys & Aluminum Oxide YES NO
for all other alloys is used. Aluminum alloys have other requirements.
Procedures are used to ensure to compliance to customer
requirements.
9.1.2 For round bars, automated polishing is used, unless otherwise YES NO
specified by customer.
9.1.3 Round bars: Automatic polishing device controls polishing so that YES NO
contact between the specimen and a specific area on the abrasive is
one stroke on the paper in the axial direction (i.e. use that area on the
paper only once). Aluminum alloys have other requirements.
Procedures are used to ensure to compliance to customer
requirements.
9.1.4 Paper is backed during polishing with rubber 3/16 inch (4.8 mm) YES NO
minimum thickness: applied contact force - 6 lbs (2.7 kg) maximum.
Aluminum alloys have other requirements. Procedures are used to
ensure to compliance to customer requirements.
9.1.5 Polishing is controlled so that contact between the specimen and a YES NO
particular area on the paper occurs only once and polishing is axial.
Aluminum alloys have other requirements. Procedures are used to
ensure to compliance to customer requirements.
9.1.6 Circumferential grinding marks are removed with 180 – 240 (or finer) YES NO
grit paper before proceeding with finer grit. Aluminum alloys have other
requirements. Procedures are used to ensure to compliance to
customer requirements.
9.1.7 Surfaces are polished with each finer grit paper until all longitudinal YES NO
marks left by the previous paper are removed.
9.1.8 Procedures are used to ensure polishing does not result in a mirror-like YES NO
finish.
9.2 Procedures are used to ensure the process aims for metal removal YES NO
increments is as follows and as required to meet final dimensions. As a
minimum, material removal per step shall not exceed a total of 0.003
inches (76.2 µm) of material removal on the gauge diameter.
9.3 Final polished surface finish is 8 to 12Ra µinches (0.2 - 0.3 µm) or as YES NO
customer specified. Describe verification frequency/method below.
________________________________________________________
________________________________________________________
10. DIMENSIONAL AND SURFACE INSPECTIONS
10.1 For Z2 test code, optical inspection for surface anomalies is performed YES NO NA
at 20X minimum magnification.
10.2 For notched and combination notched specimens, the required notch YES NO NA
dimensions are verified at 20X minimum magnification.
10.3 Procedures are used to ensure finished surfaces exhibit no cracks or YES NO
transverse indications.
10.4 Procedures are used to ensure the finished surface exhibits uniform YES NO
surface texture free from machining irregularities such as undercuts or
high spots.
10.5 Procedures are used to control internal sampling plans. YES NO NA
10.6 Procedures are used to ensure specimen preparation anomalies and YES NO
conditions that may affect the testing results are reported prior to
sending specimens to testing laboratory.
11. PROCESS CONTROL – CODE Z2:
11.1 Residual stress that meets customer requirements shall be determined YES NO NA
and documented for each preparation procedure. Periodic verification
shall be performed on affected processes (one procedure per year
minimum).
11.2 Residual Stress on the surface of a representative specimen verified by YES NO NA

X-Ray Diffraction. Specific requirements shall be as specified by
customer.
11.3 Residual stresses were determined initially for each procedure. YES NO
12. PACKAGING, LABELING AND HANDLING
12.1 Procedures are used to ensure each specimen is effectively identified YES NO
and traceable through preparation and testing, and that specimens are
appropriately protected from damage while handling or shipping.
13. OBSERVATION OF TEST – TEST CODE Z – STANDARD SPECIMEN SECTION NA

MACHINING
Assessment to be performed to verify conformance to: applicable
testing specifications, lab procedures, and Purchase Order/Customer
requirements. Guidance: review calibrations, training, maintenance
records, equipment logs, etc.
13.a. (INFO) Is the part controlled under U.S. Export Control Regulations as YES NO
declared by the Auditee?
If the part being audited is controlled under U.S. Export Control
Regulations, question 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.
13.1 Customer: _______________

13.2 Subscriber: _______________
13.3 Test Code / Process: _______________
13.4 Testing Specifications/Standard: _______________
13.5 Test Procedure/Part Number: _______________
13.6 Operator: _______________
13.7 Equipment ID: _______________
13.8 In-process/demo/paper: _______________
13.9 Material Specification: _______________
13.10 Material: _______________
13.11 Observations:
_________________________________________________________
_________________________________________________________
13.12 The test was performed in accordance with the applicable procedures YES NO
and/or test specifications.
14. OBSERVATION OF TEST – TEST CODE Z1 – LOW STRESS SECTION NA

GRINDING
14.1 Customer: _______________
14.2 Subscriber: _______________

PRI AC7101/7 Revision D - 10 -
14.6 Operator: _______________
14.7 Equipment ID: _______________
14.10 Material: _______________
14.11 Observations:
_________________________________________________________
_________________________________________________________
15. OBSERVATION OF TEST – TEST CODE Z2 – LOW STRESS SECTION NA

GRINDING AND POLISHING
15.1 Customer: _______________
15.2 Subscriber: _______________
15.6 Operator: _______________
15.7 Equipment ID: _______________

15.10 Material: _______________
15.11 Observations:
_________________________________________________________
_________________________________________________________
16. OBSERVATION OF TEST – TEST CODE Z3 – CAST SPECIMENS SECTION NA

16.1 Customer: _______________
16.2 Subscriber: _______________
16.6 Operator: _______________
16.7 Equipment ID: _______________
16.10 Material: _______________
16.11 Observations:
_________________________________________________________
_________________________________________________________
17. OBSERVATION OF TEST – TEST CODE Z4 – SPECIAL SECTION NA

PREPARATION
17.1 Customer: _______________
17.2 Subscriber: _______________
17.6 Operator: _______________
17.7 Equipment ID: _______________
17.10 Material: _______________
17.11 Observations:
_________________________________________________________
_________________________________________________________
18. EXPLANATION SHEET
PARA. NO. COMMENTS

Audit Criteria: AC7101/7 REV. D

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AC7101/7 REV.

TO BE USED ON AUDITS STARTING ON OR AFTER MAY 15, 2016

This checklist supplements PRI AC7101/1. This checklist applies to

2.1 Laboratory _______________

2.2 Laboratory Contact _______________

2.3 Auditor _______________

2.4 Accredition Type

NOTE: Applicable definitions can be found in Materials Testing Laboratories

2.5 Capability and equipment - Attach an equipment and capability matrix

2.6 Preparation: Specimen preparation requires accreditation to Specimen

2.7 Outside sources: If a Mechanical Testing Laboratory utilizes an outside

2.8 Preparation Codes

Audited Code Preparation Type

2.9 Specimen Preparation Source

Code Z (located at same facility as testing laboratory)

Code Z (not located at same facility as testing laboratory)

2.9.2 Code Z - The source is to be accredited for the following test

All Code Z specimens

A: Room Temperature Tensile

B: Elevated Temperature Tensile

XE: Crack Propagation

Notched & Un-notched (Test Codes O, Y)

Un-notched only (Test Codes O, Y)

XE: Crack Propagation

All other test requiring LSG

Others and Restrictions as noted below:

2.9.4 Code Z3 (Cast Specimens) - The source is to be accredited for the

A: Room Temperature Tensile

B: Elevated Temperature Tensile

2.9.5 Code Z4 (Special Purpose Specimens) - The source is to be accredited

Notched & Un-notched (Test Codes O, Y, XH)

Un-notched only (Test Codes O, Y, XH)

XE: Crack Propagation

2.9.6 Describe Quality Systems responsibility (between the Specimen

Preparation source is part of the testing laboratory organization.

2.9.7 Dimensional inspection control - Describe Quality Acceptance

Enforces process control

Uses Statistical Process Control (SPC)

Inspects characteristics prior to shipment

100% (all characteristics)

100% (selected characteristics), sample (remaining)

Sample selected characteristics

3. PROCEDURES AND DOCUMENTS

4. FACILITIES AND EQUIPMENT

4.1 Preventive maintenance plan is followed and maintenance operations YES NO

5. BLANKING, ROUGH MACHINING, AND STRAIGHTENING

5.1 Procedures are used to ensure blanking is performed by methods YES NO

5.1.b. A minimum of 0.010 inches (0.25mm) remains on rough machined YES NO

5.2 Procedures are used to ensure mechanical straightening of specimens YES NO

6. SPECIMEN PREPARATION AND BASIC MACHINING

6.1 Procedures are used to establish specimen preparation parameters

6.1.a. Distortion of specimen dimensions. YES NO

6.1.b. Physical damage (e.g. cracks, tears, scratches). YES NO

6.1.c. Residual stresses (tensile or compressive). Applies to Z2 only. YES NO NA

7. NOTCH MACHINING (ALL Z CODES) SECTION NA

8. GRINDING (CODES Z1 AND Z2) SECTION NA

8.2.a. Lubricant: Constant flow; Abrasive particles continuously removed YES NO

8.2.b. Surface Speed YES NO

8.2.c. Feed Rates (axial and Radial) YES NO

9. FINAL POLISH – CODE Z2 SECTION NA

9.1 Final polishing conforms to requirements specified by customer. YES NO NA

10. DIMENSIONAL AND SURFACE INSPECTIONS

10.5 Procedures are used to control internal sampling plans. YES NO NA