Engineering

Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

1. Scope
1.1. This specification covers the general process and quality requirements for heat treating
steel parts, intended for, but not limited to, fuel system applications.

1.2. This specification is to be used in conjunction with specific heat treatment process
standards (hardening and tempering, carburizing, nitriding, etc.).

2. Applicable Documents
Applicable documents listed below may be obtained from the respective organizations listed in
CES 10054, Standards Organizations Addresses.

a. AIAG, CQI-9, Special Process Heat Treat Assessment

b. AIAG, Production Part Approval Process (PPAP)
c. AMS 2750, Pyrometry
d. ASTM A 370, Test Methods and Definitions for Mechanical Testing of Steel Products
e. ASTM E 3, Preparation of Metallographic Specimens
f. ASTM E 10, Brinell Hardness of Metallic Materials
g. ASTM E 18, Rockwell Hardness of Metallic Materials
h. ASTM E 112, Determining Average Grain Size
i. ASTM E 140, Hardness Conversion Tables for Metals (Relationship Among Brinell
Hardness, Vickers Hardness, Rockwell Hardness, Superficial Hardness, Knoop Hardness,
and Scleroscope Hardness)
j. ASTM E 384, Knoop and Vickers Hardness of Materials
k. ASTM E 407, Microetching Metals and Alloys
l. ASTM E 975, X-Ray Determination of Retained Austenite in Steel with Near Random
Crystallographic Orientation
m. CES 10054, Standards Organizations Addresses
n. CES 10056, Glossary
o. CES 70315, Hardened and Tempered
p. CES 70316, Precipitation Hardening
q. CES 70317, Hardened and Tempered-Austempered
r. CES 70318, Hardened and Tempered-Martempered
s. CES 71220, Carburize, Harden and Temper
t. CES 71221, Nitrided,Gas or Ion
u. CES 71222, Nitrided,Salt Bath

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

2. Applicable Documents (Continued)

v. CES 71223, Carbonitrided
w. CES 72012, Annealed, Soft Magnetic Alloys
x. CES 72013, Annealing, Normalizing, Stress Relieving
y. SAE ARP 1820, Chord Method of Evaluating Surface Microstructural Characteristics

3. Definitions
Terms used in this standard that have a general definition for usage in Cummins Engineering
Standards are defined in CES 10056, Glossary.

3.1. Aging (Precipitation Hardening)

Heating to an intermediate temperature to cause precipitation of constituents within the material

which will produce an increase in strength and hardness.

3.2. Annealing

Heating to a suitable temperature, soaking at temperature, and slow cooling in order to get the part
in its softest possible condition, usually for subsequent forming. Typical cooling rates for annealing
are less than 22 °C (40 °F) per hour. The term “annealing” means “full annealing”.

3.3. Austenitizing

Heating to a suitable temperature above the transformation temperature and then soaking until the
entire cross section of each part in the load transforms to austenite.

3.4. Baking

Heating parts in their final heat treat condition for hydrogen embrittlement relief. This operation is
normally performed with a temperature and soak time recommended by the specification
controlling the embrittlement process (plating, pickling, etc.). It is always accomplished at a
temperature that is lower than the final tempering or aging temperature.

3.5. Charge

The collection of parts, fixtures, baskets and ballast going into a piece of heat treat equipment
(furnace, oven, quench bath, freezer, etc.) for a process cycle.

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

3.6. Cognizant Engineering Organization

This term refers to the engineering organization within Cummins Inc. that has design authority over
the parts being heat treated, or a designee of that organization.

3.7. Cognizant Quality Organization

This term refers to the quality assurance organization within Cummins Inc. that is allied with the
cognizant engineering organization and has audit, review and approval authority over the process
and quality control plan for the parts being heat treated.

3.8. Cold Treatment

Chilling parts after quench hardening to -85 °C (-120 °F) or colder, in order to enhance the
transformation of austenite to martensite. Cold treating improves wear resistance and dimensional
stability. It is especially useful for tool steels, high carbon alloy steels, and martensitic stainless
steels and carburizing alloy steels. In most cases cold treating does not precede tempering,
however, material and configuration may dictate that after quenching, certain parts shall be snap
tempered, cold treated and retempered.

3.9. Control Zone

This term is used to describe the portion of the working zone in thermal processing equipment
which has a separate sensor/instrument/heat input or output mechanism to control its temperature.

3.10. Cryogenic Treatment

Like cold treating, however, the cool down rate from room temperature is much slower (~2.5 ºC/
minute), the target temperature is much lower (-190 °C liquid nitrogen) and the soak time is much
longer (24 hrs.). The intended purpose of this process is to maximize retained austenite
transformation and precipitate submicroscopic carbides that improve strength and wear resistance.

3.11. Effective Case Depth

Except nitriding, effective case depth is the depth below the surface at which the hardness of the
microstructure equals HRC 50 or equivalent. For nitrided parts, the hardness that defines effective
case depth is a function of the alloy being heat treated.

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

3.12. Engineering Drawing Requirements

The complete set of material property and heat treat process requirements for a given part that are
invoked by the engineering drawing through specific notes, the referenced material and process
standards, and this standard.

3.13. Finished Part Supplier

The Cummins Inc. entity or supplier responsible for fabricating finished components that comply
with all of the engineering drawing requirements.

3.14. Hardening

Heating to a suitable temperature above the austenite transformation temperature (austenitizing),

followed by quenching to develop a martensitic structure suitable for tempering to desired
properties. A cooling rate of at least 8 °C (15 °F) per second is typically required to obtain a fully
martensitic structure.

3.15. Heat Treater

The Cummins Inc. entity or supplier responsible for thermally treating parts in accordance with the
process standard, this specification and the in-process property requirements.

3.16. In Process Requirements

Tests and acceptance criteria for parts in the “as-heat treated” condition that are established by the
heat treater and finished part supplier, to ensure that finished parts will meet the engineering
drawing requirements.

3.17. Load Thermocouple

A thermocouple attached to and in direct contact with the heaviest section of a part or
representative sample. There should be no gap between the thermocouple and the part. It should
be shielded against furnace radiation and protected against contamination from the furnace
atmosphere or heating medium.

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

3.18. Lot, Heat Treat

In a batch furnace, consists of all of the parts in a single charge, that have the same part number.
In a continuous furnace, consists of all of the parts run during an 8 hour shift, that have the same
part number.

3.19. Lot, Mill Heat

All of the material originating from the same melt furnace charge and casting pour during the
steelmaking process.

3.20. Marquenching (Martempering)

Quenching an austenitized alloy to a temperature slightly above the martensite range and then
holding until temperature uniformity throughout the part is obtained, followed by air cooling
through the martensite range to ambient temperature.

3.21. Martensite

An acicular microstructure that is formed by diffusionless phase transformation. In ferrous alloys,

where solute atoms, such as carbon in iron, occupy interstitial positions in the crystal lattice, the
structure is hard and highly strained. When solute atoms, like nickel in iron, occupy substitutional
positions, martensite is soft and ductile. The amount of high temperature phase which transforms
to martensite upon cooling depends on the lowest temperature obtained, as there are distinct
beginning (Ms) and ending (Mf) temperatures for the reaction.

3.22. Martensite, Coarse or Coarse Tempered

Martensite with a prior austenitic grain size of 4 or coarser, as determined in accordance with
ASTM E 112.

3.23. Martensite, Fine or Fine Tempered

Martensite with a prior austenitic grain size of 5 or finer, as determined in accordance with
ASTM E 112.

3.24. Martensite, Tempered

The decomposition products that result from heating martensite below the ferrite-austenite
transformation temperature. Tempering decreases hardness and increases toughness.

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

3.25. Normalizing

Heating a ferrous material to a suitable temperature above the austenite transformation range, then
cooling it in air to a temperature substantially below the transformation range to develop a uniform
microstructure. Typical cooling rates would be 22°-83 °C (40°-150 °F) per hour for large cross-
section parts, and 83°-1167 °C (150°-2100 °F) per hour for normalizing small-to-moderate sections
of parts.

3.26. Parts

Finished and semi-finished components, including raw material, machining blanks, forging blanks
and un-machined castings.

3.27. Predominately

Defined as greater than 50%.

3.28. Process Schedule

A controlled document for each part, that defines the complete sequence of operations with the
process control factor target values and tolerances necessary to achieve the engineering drawing
requirements. This document may also be referred to as an “operations sheet”, “process control
plan” or “shop procedure”. Control factors shall include, but are not limited to the following
process control factors:

a. Part number, revision number and part name

b. Furnace identification
c. Control program identification (if applicable)
d. Load size
e. Prior condition of work (normalized, annealed, hardened and tempered)
f. Masking material, including application and removal methods
g. Atmosphere
h. Process temperatures and soak times
i. Heating/cooling rates
j. Quenching or cooling medium
k. Racking procedures and fixtures
l. Thermocouple locations

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

3.28. Process Schedule (Continued)

m. Cold treatment or cryogenic treatment process parameters

n. In-process tests, inspection plans and acceptance criteria
o. Test specimens and inspection locations
p. Acceptance test plan and criteria

3.29. Retained Austenite

A solid solution of one or more elements in face centered cubic iron that survived a heat treating
cycle in which it was expected to transform to martensite or bainite. Excess retained austenite can
cause dimensional instability as in-service stress or temperature may cause it to transform
spontaneously or over long periods.

3.30. Sintering

The bonding of adjacent surfaces of particles in a mass of powder (as in a compact) by heating for
a prolonged time below the melting point. Densification may or may not occur as a result of this
process. If powders of two or more different metals are heated together to a sufficiently high
temperature, alloying may take place simultaneously with sintering.

3.31. Soak Time

The specified soaking time is the length of time that the center of the most massive section of the
furnace load is to be held at the specified temperature.

3.32. Solution Heat Treating (Solution Annealing)

Heating to a sufficiently high temperature, followed by cooling to hold one or more elements in
solution for subsequent precipitation hardening.

3.33. Stress Relieving

Heating parts, before or after the final heat treating operation, in order to relieve residual stresses
caused by working or thermal cycling. When performed after the final heat treating operation, it is
done below the tempering, aging, etc. temperature.

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

3.34. Tempering

Heating a martensitic structure developed by hardening to an intermediate temperature, to develop

a specific combination of strength and ductility.

3.35. Thickness

The minimum dimension at the heaviest cross section of the part.

3.36. Total Case Depth

The total case depth shall be the depth of the continuous etching subsurface zone, determined
metallographically on the case-hardened part or test specimen prior to machining. On those alloys
which do not respond by darker etching, the case depth shall be the depth below the surface at
which microhardness is 10% higher than that of the core, as determined by a Knoop or Vickers
hardness traverse, determined in accordance with ASTM E 384.

3.37. Work Zone

When used in context with a heat treating furnace, this term refers to that portion of a piece of
thermal processing equipment occupied by parts or raw material during the soaking portion of a
thermal treatment. It is usually, but not always, a high percentage of the total enclosed volume. It
may include more than one control zone.

4. Specifications
4.1. Significance and Use

4.1.1. This specification covers the general process and quality assurance requirements for
heat treating steel parts, which are intended for but not limited to, fuel system applications.

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

4.1.2. Process Standards

This specification shall apply when one of the following process standards has been specified on
the engineering drawing.

a. CES 70315, Hardened and Tempered

b. CES 70316, Precipitation Hardening
c. CES 70317, Hardened and Tempered-Austempered
d. CES 70318, Hardened and Tempered-Martempered
e. CES 71220, Carburize, Harden and Temper
f. CES 71221, Nitrided,Gas or Ion
g. CES 71222, Nitrided,Salt Bath
h. CES 71223, Carbonitrided
i. CES 72012, Annealed, Soft Magnetic Alloy
j. CES 72013, Annealing, Normalizing, Stress Relieving

4.1.3. Conflicting Requirements

In cases of conflicting requirements, the engineering drawing takes precedence over the process
standard and the process standard takes precedence over the requirements specified here-in.

4.1.4. Property Requirements

[Link]. The finished part supplier shall be responsible for ensuring that finished parts in their
final dimensions meets all of the requirements specified herein and on the engineering drawing.
[Link]. The heat treater shall be responsible for ensuring that parts after heat-treating meet in-
process requirements.

[Link]. In-process requirements shall be established by agreement between the heat treater
and the finished parts supplier. The requirements shall be defined in the finished part supplier's
manufacturing process documentation and in the heat treater's process schedule.

[Link]. Post Heat Treat Machining

The finished part supplier shall provide the heat treater with the locations, dimensions and
tolerances of all stock that will be removed after heat treatment.

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

4.2. Facilities and Equipment

4.2.1. Personnel

Each heat treat facility shall have at least one person with responsibility and authority for the parts
being processed, who has knowledge about basic heat treat theory and practices, and who is
capable of reading and interpreting this specification.

4.2.2. Laboratories

The heat treater shall have access to internal and/or off-site laboratory facilities that are capable of
conducting all of the testing relevant to heat treatment as specified here-in, and by the applicable
process standard and drawing.

4.2.3. Equipment, General

All equipment used to process parts in accordance with this specification shall be well maintained,
capable of performing their intended function and in good working order. All thermal processing
equipment and related pyrometric equipment shall be controlled in accordance with AMS 2750.

4.2.4. Heating and Refrigeration Equipment

[Link]. Thermal Processing Equipment Class

It is required that each working zone in all thermal processing equipment be maintained per
designated class requirements as defined by AMS 2750. These requirements include but are not
limited to uniformity and system accuracy, requirements and testing. Tempering and nitriding
furnaces will adhere to Parts Furnace Class 3 requirements and all other thermal processing
equipment will adhere to Parts Furnace Class 5 requirements.

[Link]. Temperature Control

Automatic temperature controllers and data recorders conforming to AMS 2750 are required on
each furnace and refrigeration unit. Temperature sensors shall be located in or adjacent to each
work zone. Thermocouples shall be protected, when necessary, from contamination,
instrumentation, thermocouples, test equipment, calibration equipment, load thermocouples,
furnace temperature uniformity and system accuracy shall conform to AMS 2750.

[Link]. Atmosphere Control

Instrumentation and sensors used to monitor and control furnace atmosphere shall be maintained,
calibrated and serviced in accordance with the manufacturer’s recommendation.

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

4.2.5. Quenching Equipment

Quench baths shall permit complete immersion of parts, shall provide for agitation of quench
media or parts, and shall be of sufficient volume to absorb the heat rejected by the most massive
charge being quenched. Quenching baths and media shall be kept clean and shall be maintained
and tested in accordance with the manufacturer’s recommendations.

4.2.6. Cleaning Equipment

Equipment and chemicals used to clean parts shall not cause corrosion or leave residues on the
parts, which are detrimental to subsequent processing.

4.2.7. Auxiliary Equipment

Fixtures, jigs, hangers, trays, racks, etc., may be employed as needed for the handling of parts. This
equipment shall not damage or cause contamination of parts and shall not have a detrimental affect
on the heating, cooling, or quenching rates necessary for correct heat treatment.

4.2.8. Instrumentation

All sensors, monitors, controllers and test equipment used to process or inspect parts shall be
calibrated annually, unless the manufacturer’s recommendations or operating conditions dictate
more frequent calibration. Calibration certification and date shall be prominently posted.

4.3. Heat Treatment

4.3.1. Process Control Factors

Unless otherwise specified on the engineering drawing or in the heat treat process standard, the
heat treater shall establish the process control factor parameters which will produce parts meeting
the specified properties. The control factors for the process shall be documented in a process
schedule.

4.3.2. Heating Environment

Based on the finished part supplier’s post heat treat stock removal contained in the process plan,
the heat treater shall select an appropriate atmosphere and/or maskant to ensure that finished parts,
in their final dimension, will meet the microstructure and property requirements.

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

4.3.3. Corrosion and Damage

Parts shall be protected from corrosion and handling damage during processing, shipping and
storage.

4.3.4. Racking

Parts shall be racked, supported or otherwise oriented, to minimize distortion and ensure uniform
heating and circulation of quench media to all surfaces. When temperatures are sufficient to cause
diffusion bonding, parts shall be racked such that they can be separated after the process without
causing damage to the parts.

4.3.5. Loading

Parts shall not be loaded into a furnace when the temperature is greater than the set temperature,
unless load thermocouples are attached to the part to ensure that the part temperature does not
exceed the set temperature.

4.3.6. Set Temperature

Control instruments shall be set either at the temperature specified in the process schedule or at an
offset temperature based on the last probe check or temperature uniformity survey. The offset
temperature shall be within 5 °C of the specified set temperature and shall be posted on the
instrument. The offset temperature shall be selected so as to optimize temperature distribution
within the furnace so that the highest and lowest temperatures are equidistant from the specified
set temperature.

4.3.7. Records

A furnace log or equivalent documentation, such as shop travelers, traceable to temperature

recorded charts or approved electronic storage, shall be maintained for each heat treat lot.

4.4. Test Methods

4.4.1. Compound (white layer) Thickness

The white layer shall be measured visually on a metallurgical specimen that was sectioned
perpendicular to the surface and prepared in accordance with ASTM E 3. Measurements shall be
made with a calibrated reticule scale at a magnification of 400X. Thickness of the compound layer
shall not be measured adjacent to hole intersections or corners.

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Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

4.4.2. Grain Size

Grain size shall be determined in accordance with ASTM E 112.

4.4.3. Hardness-General

Hardness shall be determined in accordance with ASTM A 370, ASTM E 10, ASTM E 18 or
ASTM E 384, as applicable.

4.4.4. Hardness-Acceptance Criterion

The acceptance criterion on all drawings and in all specifications refers to the average hardness of
a component or a specific feature on that component. Occasional readings outside of the specified
hardness range are not cause for rejection when all of the following conditions are met:

a. The average hardness is within the specified range.

b. The coefficient of variation (standard deviation/mean) for all of the hardness measurements
taken to establish average hardness after conversion to Brinell hardness, is less than or
equal to 0.05.
c. There is no evidence of a localized soft or hard spot due to mis-manufacture.
d. Individual readings suspected to be erroneous shall be verified by retesting at a distance no
greater than 2.0 mm or 10X the diameter of the hardness indent.

[Link]. Through Hardened Components or Components with Localized Hardness

Requirements Other than Case Hardening
The average hardness shall be determined by at least three measurements. More measurements
may be taken as necessary to characterize the heat treat condition of the component.

[Link]. Case Hardened Components

A sufficient number of hardness measurements shall be taken to verify that a case meets the
specified properties. No parts shall be rejected on the basis of a single hardness traverse.

4.4.5. Hardness-Rounding

For all hardness scales except the Rockwell superficial scales (HRxN and HRxT), the result of any
inspection shall be rounded off to the nearest integer. When using the Rockwell superficial scales,
the result shall be rounded off to the nearest tenth.

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

4.4.6. Hardness-Selection of Test Method

If it is not feasible to use the load and/or method specified on the drawing, a more appropriate load
and test method may be used, with prior approval by the cognizant engineering organization. Test
results shall include both the hardness number obtained from the actual load and test method and
the converted hardness number for the specified load and test method.

4.4.7. Hardness-Conversion

Approximate hardness and tensile strength conversions shall be in accordance with ASTM A 370
or ASTM E 140. When reporting converted hardness numbers, the measured hardness and test
scale shall be indicated in parenthesis, immediately to the right of the converted hardness and
specified test scale.

Example: 42 HRC (81.5 HR15N)

4.4.8. Hardness-Case Depth

The case depth of all surface hardening processes shall be determined by a microhardness traverse,
along a path perpendicular to the case hardened edge of a test specimen. The test specimen shall
be obtained by cross sectioning a part perpendicular to the case hardened surface. Unless a specific
location is noted on the drawing, the part may be sectioned through any surface where case
hardening is required. For nitrided specimens, the traverse shall be conducted using the HK200
scale and shall start at a depth of 0.05 mm. For all other case hardening processes, the traverse shall
be conducted using the HK500 scale and start at a depth of 0.10 mm. Subsequent indents shall be
spaced at appropriate intervals to accurately determine the case hardness/depth profile.
Microhardness testing shall be performed in accordance with ASTM E 384 and test specimens
shall be prepared in accordance with ASTM E 3.

4.4.9. Hardness-Core

The core hardness of case hardened parts shall be measured on a non-case hardened surface of the
part, or at a subsurface location not less than five times the effective case depth from the hardened
edge. For thin parts, where the total cross section is less than five times the effective case depth,
the core hardness shall be determined from the center of the cross section.

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Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

4.4.10. Hardness-Test Specimens

Unless otherwise approved by the cognizant engineering organization, hardness test specimens
shall be scrapped and shall not be released to production. When approved for release to production,
hardness test specimens shall be legibly marked as such.

4.4.11. Indirect Test Methods

Indirect test methods (eddy-current, ultrasonic, superficial hardness, non-standard hardness test
methods, etc.) may be used for acceptance testing with prior written approval of the cognizant
engineering organization. The indirect test method and supporting correlation data shall be
documented and maintained on file for review and audits.

4.4.12. Intergranular Oxidation

The presence and depth of any intergranular oxidation shall be determined by etching with
appropriate etchant and examining at 500X magnification. The chord method and acceptance
limits in accordance with SAE ARP 1820 may be used as an alternate and to enhance the evaluation
of intergranular oxidation.

4.4.13. Microstructure

Specimen preparation and examination for microstructure shall be in accordance with ASTM E 3.

4.4.14. Retained Austenite, General

[Link]. X-Ray diffraction in accordance with ASTM E 975, shall be the test method for
determining retained austenite content in the following cases.

a. Production Process Approval Process (PPAP) inspections.

b. The acceptance criteria specifies a maximum limit for retained austenite that is less than
10%.
c. The material being evaluated is an A, D, H or M series tool steel.
d. The material being evaluated is a 440 series stainless steel.
e. To resolve disputes or uncertainty over microscopical method results.

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

[Link]. Routine determinations, which do not fall into the categories above, may use
microscopical examination of etched specimens, at 500 to 1000X magnification.
Photomicrographs in the ASM Metals Handbook, Volume 9, 9th edition, may be used as reference
photographs. For example, photomicrographs on pages 220 and 221 may be used in the evaluation
of carburized steels.

[Link]. Retained Austenite, Acceptance Criterion

The acceptance criterion of all drawings and in all specifications refers to the average retained
austenite content of a microstructure. A sufficient number of measurements shall be taken to verify
that a microstructure meets the specified properties. No parts shall be rejected on the basis of a
single measurement.

4.4.15. Surface Contamination

Testing for characteristics such as carburization, decarburization, and nitriding shall be performed
by the microhardness method, in accordance with ASTM E 384.

4.4.16. Tensile Properties

When required, tensile properties shall be determined in accordance with ASTM A 370.

4.4.17. Fine or Coarse Tempered Martensite

Specimens shall be metallographically prepared in accordance with ASTM E 3. They shall be

etched with Carapella’s reagent, which is etchant 138 in ASTM E 407. Grain size shall be
determined using the “comparison procedure” outlined in ASTM E 112.

4.5. Quality Assurance

4.5.1. Quality Process Audits

AIAG CQI-9 Special Process Heat Treat Assessment will be used as a guide for quality process
audits. As a minimum, heat treater suppliers are required to conduct a self audit prior the start of
commercial production and then on an annual basis. The cognizant quality engineer may conduct
supplementary audits at anytime, without prior notification to the heat treater. In cases of
disagreement between AIAG CQI-9 and the applicable Cummins drawing and specifications, the
requirements from the drawing and specifications take precedence.

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

4.5.2. Quality Action Plans

[Link]. All quality process audit findings, as well as quality issues identified by execution of
the heat treater's control plan, inspection of process parts by the purchaser or performance of parts
in delivered product shall be documented in a quality action plan. The quality action plan shall
clearly identify the issue, the severity rating, the date it was discovered, the method by which it was
discovered, the corrective action, the problem owner and the planned closure date. Heat treaters
shall submit a copy of their current quality action plan to the cognizant quality engineer whenever
a RED or YELLOW severity issue is encountered or on an annual basis, whichever is shorter.
Issues on the quality action plan shall be coded in accordance with the following severity scale:

a. RED: Critical Issue-Process will not be capable, repeatable or reliable unless corrected.
b. YELLOW: Serious Issue-Process is production ready, but long term quality issues will be
encountered unless corrective action is taken.
c. GREEN: Minor Issue-Improvement opportunity to make process more robust.

[Link]. Heat treaters are required to work toward closure on all quality plan issues. Criteria
and timing for closure shall be approved by the cognizant quality engineer.

4.5.3. Responsibility for Inspection

The heat treater is responsible for performing all of the tests and inspections necessary to ensure
that heat treated parts meet the in-process requirements. The finished part supplier is responsible
for performing all of the tests and inspections necessary to ensure that finished parts meet the
engineering drawing requirements.

4.5.4. Pre-Production Tests and Quality Control

Testing and process control requirements that apply prior to completion of the Production Part
Approval Process (PPAP), shall be in accordance with the following.

[Link]. Process Schedule

The heat treater shall have a documented process schedule for every heat treat lot. For pre-
production parts, the heat treater may change process control factor parameters without prior
approval by the purchaser or cognizant engineering organization. However, every modification to
the control factors shall be documented by a revision to the process schedule.

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

[Link]. Lot Control

All pre-production parts delivered to the finished part supplier shall be traceable to their respective
heat treat lot and process schedule revision.

[Link]. Acceptance Testing

Unless otherwise approved by the cognizant engineering organization, acceptance testing to

determine conformance with the engineering drawing requirements, shall be performed on a
minimum of three randomly selected finished parts from each heat treat lot. Acceptance testing for
in-process requirements shall be performed on a sufficient number of parts or representative
coupons to characterize the working zone(s) within the furnace.

4.5.5. Production Part Approval Process (PPAP)

The proposed production process schedule and a sample of pre-production parts, shall be approved
by the cognizant quality organization before production parts can be supplied. The number of pre-
production parts in the sample shall be sufficient to allow for testing to determine conformance
with all material and process property requirements. The sample shall also include at least one part
pulled from each heating or working zone in the furnace. The individual specimens shall be tagged
or otherwise identified to indicate the zone that they represent.

4.5.6. Production Acceptance Testing and Quality Control

Testing and process control requirements that apply after successfully completing PPAP shall be
in accordance with the following.

[Link]. Process Schedule

The process control factor parameters used to produce PPAP parts shall constitute the “approved
production process schedule”. The heat treater shall make no significant changes to the approved
production process schedule without prior approval by the cognizant engineering organization. A
significant change is one which, in the judgement of the cognizant engineering organization could
affect the properties or performance of the parts.

[Link]. Lot Control

Lot control requirements for production components shall be defined in the approved quality plan.

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

[Link]. Acceptance Testing

Acceptance testing shall be performed on a minimum of one part per lot, unless otherwise specified
in the approved quality plan or by the cognizant quality organization.

4.5.7. Reports

When requested, the heat treater shall furnish the finished part supplier, a report that shows the
results of all testing for in-process requirements. When requested by the cognizant quality
organization, the finished part supplier shall furnish a report that shows the results of all acceptance
testing. Data tabulated, summarized, and stored electronically by the supplier is acceptable.

4.5.8. Record Retention

Unless otherwise specified in the approved quality plan, all records shall be maintained and
available to the finished part supplier and/or the cognizant engineering organization for a minimum
of 5 years after heat treatment of parts. Records shall include, but are not limited to, Equipment
Maintenance and Calibration Records, Process Schedule Revisions, Furnace Charts and Test
Results.

4.6. Preparation for Delivery

4.6.1. Identification

Identification of parts or product provided to the heat treater shall be maintained on the parts.

4.6.2. Packaging
Parts processed in accordance with this specification shall be packaged in a manner to ensure
protection against deterioration and damage during shipment, handling and storage.

5. Reference Readings
The following references were used in the preparation of this standard.

ASM Metals Handbook, Volume 9, 9th edition

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

Appendix A: Addendum

The following audit questions in AIAG CQI-9 are non-relevant and do not require a response
during and audit:

Question
Question
Number

2.5 Is there a system to identify trap points in the entire heat treat process to reduce risk
of mixed parts (inappropriate, non-heat treated or improperly heat treated parts)?
3.12 For threaded fasteners, are all continuous belt furnaces equipped with slight glass
inspection ports and infrared pyrometers at discharge end of the hardening furnace?
3.13 Is salt chemistry in the austenitizing salt bath monitored?
3.19 Does each lot of parts have first piece set-up?

The following questions in the AIAG CQI-9 are in conflict with CES 70314, so the audit questions
below do not require a response in AIAG CQI-9 sections 1, 2, and 3. These questions require a
response in the CES 70314 addition to AIAG CQI-9, Section 5 Cummins Addendum. The
requirements and guidance for these questions should conform to the following amendments in
Section 5 Cummins Addendum.

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

Appendix A: Addendum (Continued)

AIAG CQI-9
Question AIAG CQI-9
Amended Amendment
Number Question
Requirements

1.1 Is there a dedicated Qualified heat treat CES 70314 requires each heat treat
and qualified heat person shall have a facility to have at least one person
treat person on minimum of 5 years with responsibility and authority for
site? of experience in heat the parts being processed, who has
treat operation or knowledge about basic heat threat
combination of a theory and practices, and who is
minimum of 5 years capable of reading and interpreting
of formal the specification.
metallurgical
education and heat
treat experience.
1.5 Are all Heat treat Such standards and The organization shall maintain
related and specifications I current and available copies of
referenced include, but are not CES 70314 and all specifications
specification limited to, those referenced in or are related to
current and relevant documents CES 70314.
available? published by SAI,
AIAG, ASTM,
General Motors,
Ford, and Daimler
Chrysler.

The following questions are not addressed in AIAG CQI-9, but are required per CES 70314:

a. In accordance with CES 70314 Section 4.2.2. Laboratories on page 10 the organization
shall maintain test equipment capable of verifying conformance with CES 70314 and
engineering drawings. Test equipment shall be maintained in accordance with AIAG CQI-
9 question 2.16. This equipment includes but is not limited to a hardness tester
microhardness tester, abrasive cut-off saw and metallograph.

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 Engineering
Standards
Engineering Standard Number
Name HEAT TREATMENT,GENERAL

MATERIALS SPECIFICATION 70314

Identifier
(HARDENED,THROUGH)

Appendix A: Addendum (Continued)

b. In accordance with CES 70314 Section 4.2.7. Auxiliary Equipment on page 11 fixtures,
jigs, hangers, trays, racks should be available and maintained such that they do not damage
or produce nonconforming parts.
c. AIAG CQI-9 Audit Section 5-Cummins Addendum.

Figure A1: Special Process

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