Nadcap Users Compliance and Audit Program NUCAP Tutorial

1
Nadcap Users Compliance and Audit Program
(NUCAP) Tutorial
August 2009
2
NUCAP Program

• Motivation/History/Objectives
• Structure
• Program Documents
• Model
• Audit Process
• Temporary Deviations
• NUCAP Approvals

3
What Is a NUCAP Certification?

• NUCAP certification indicates that the
  Organizations Oversight System Ensures Its
  In-house Special Processes Are Nadcap Compliant
• NUCAP Approval indicates Nadcap compliance (and
  not an accreditation by Nadcap) which may be
  accepted by Nadcap User Members as equivalent to
  Nadcap Accreditation
• Before starting the NUCAP program verify your
  Customers will accept NUCAP approval in lieu of
  Nadcap accreditation
• NUCAP is available to Nadcap User Members
• Nadcap User Member is a company that
• writes/specifies its own special process
  requirements for its own designs AND
• uses the Nadcap process to audit and control its
  special processors.
• These companies subscribe to Nadcap with an
  annual subscription fee and provide technical
  resources to appropriately participate in the
  Nadcap task groups.
• Significant amount of their business comes from
  self-designs.
• Typically, these companies hold design
  certifications (e.g. type certificate) from
  regulatory authorities like FAA, EASA, JAA and
  defense departments

4
Eligibility Requirements to Participate in the
NUCAP Program

• NUCAP Applicant must be a Nadcap Subscribing User
  
• Functional Quality System equivalent
  AS/EN/JISQ/9100, with an effective corrective
  action system and closure and corrective action
  through User oversight system (internal).

5
Motivation/Background

• Develop an Industry Standard for Self-monitoring
  of special processes
• Standardize and strengthen internal special
  process control by leveraging Nadcap intellectual
  property and lessons learned
• Seek Industry Recognition for Nadcap Compliance
• Raise internal special process compliance to
  industry standard
• Raise credibility among suppliers regarding
  Users commitment to Nadcap.

6
History

• January 2003 First Pilot Audit Conducted
• July 2003 First Meeting of NUCAP Management
  Council (NuMC)
• September 2003 PRI BOD Approves NUCAP Program
• November 2003 Formal Release of NUCAP Program
  Documents (PD)
• March 2004 First Approval Issuance
• May 2005 Rev A of PDs Released
• February 2006 Launched NUCAP Webpage
• January 2007 NUCAP in eAuditNet
• September 2007 Rev B of PD3000 PD3100 Released
• December 2008 Rev C of PD3000 PD3100 Released
• June 2009 Rev B of PD3001 Released

7
Objectives

• The NUCAP Program is designed to meet the
  following objectives
• Develop industry standard for special process
  audit program that assures Nadcap compliance.
• Provide a consistent industry-managed approach to
  certification of Users internal special
  processes while meeting the intent of Nadcap
  accreditation.
• Provide a mechanism for independent, objective
  and consistent analysis of process audit data.
• Evaluate Users Internal Auditors and audit
  process to meet NUCAP Requirements per PD 3001.
• NUCAP provides an advanced and uniform method for
  certification of captive special processes in
  accordance with industry standards and
  requirements.

8
NUCAP and Regulatory Compliance

• Regulatory Compliance is still the responsibility
  of a Production Approval Holder
• NUCAP supplements compliance verification
• NUCAP is an additional self-imposed requirement
• NUCAP standardizes internal special processes
  auditing requirements
• NUCAP verifies through external agency that
  internal special process controls are compliant
  with Nadcap requirements
• NUCAP coupled with Nadcap assures special
  processes to meet the same standards,
  irrespective of their source

9
Governance Administration

• NUCAP Management Council (NuMC) is Responsible
  for Administration of the Program
• Establishment of Program Requirements
• Maintenance of Governing Program Documents
• Oversight of Approval Process
• Assignment of Review Teams
• Approval Body for NUCAP

10
NUCAP Program Structure (in relation to Nadcap)
11
NUCAP Management Council Membership Status
Heroux Devtek Inc.
Rolls-Royce
Bombardier Aerospace
GE Aviation
The Boeing Company
AIRBUS
309th Maintenance Wing-Hill AFB
Raytheon Company
Spirit AeroSystems
Honeywell Aerospace
Eurocopter
SAFRAN Group
EADS-CASA
Vought Aircraft
Goodrich Corp.
Northrop Grumman Integrated Systems
MTU Aero Engines
Alenia Aeronautica SpA
Cessna Aircraft Company
BAE Systems MAS
DCMA
Rockwell Collins Inc.
12
Program Documents (PD)(located on the PRI
website at www.pri-network.org)

• PD3000 Governance and Administration of a Nadcap
  Users Compliance and Audit Program
• PD3001 NUCAP Auditor Selection, Approval and
  Training
• PD3100 NUCAP Audit Criteria for Standard Internal
  Auditing Requirements for Nadcap Users

13
NUCAP Model

• NUCAP Program
• Functional Quality System Equal to or better
  than AS9100
• Establishment of Equivalency of Auditors
• Formalized Internal Special Process Audit System
  Compliant to Nadcap
• Closure and Corrective Action through User
  Oversight System (Internal)

14
NUCAP Process Overview
Select Sites Processes for Verification Audits
User Applicant (Declare NUCAP Intentions)
Submit Site Matrix, Business Summary PQs for
Verification Audits
Schedule Audits/Assign Auditors
Review Team Approval
Audit Completed
PRI Technical Staff Review
Issue Approval
15
NUCAP Audit Types

• Within the NUCAP program, the User Applicant
  undergoes two different types of audits
• Headquarters Audit
• Auditing to PD3100 by Quality System auditor
  encompassing the Users Internal Audit System.
• Typically conducted after all of the Verification
  audits.
• Verification Audits
• A selection of sites and processes to be audited
  by Nadcap approved auditors (as approved by the
  Review Team), to ensure the effectiveness of the
  Internal Audit System.

16
Audit Process

• Initial Steps to Be Taken by the User Applicant
• Site Matrix Completion
• Completion of Preliminary Questionnaires (PQ) for
  each Commodity Submitted (The PQs determine the
  scope length of each Verification audit)
• Business Summary Submitted
• Key Decisions (User needs to determine whether
  they want to chose Option A or Option B)
• Option A
• Use PRI auditors instead of internal auditors
  -All locations audited to all processes
  requested, with a 1-day Headquarters audit.
• Option B
• Use internal auditors for 100 of audits and PRI
  auditors for a sampling of the processes/sites
  (as determined by Review Team) to be audited with
  a 2-day Headquarters audit.

17
Status of NUCAP Audits
173
160
138
137
78
43
18
Audit Process

• What Happens Prior to the NUCAP Audit
• PRI User Applicant Schedule the Audit (s).
• Checklists and Preparation Instructions available
  on eAuditNet.
• Nadcap Customer Support Initiative (NCSI)- free,
  web-based training program.
• Auditor conducts the audit

19
Audit Process

• What Happens After The NUCAP Audit
• The NUCAP Auditor will have an out-briefing
  meeting at the end of each audit day, as well as
  at the end of the audit to discuss any
  non-conformances (NCRs) that may have been
  issued.
• The User will receive a copy of the NCRs, if
  any, from the auditor.
• The NUCAP Auditor will submit the conducted audit
  to the appropriate Staff Engineer at PRI
  Headquarters within eAuditNet.

20
Audit Process

• NUCAP Audit Review
• The User will submit their initial and subsequent
  NCR responses to the appropriate Staff Engineer
  for review.
• The Staff Engineer will review initial and
  subsequent responses for proper closure of the
  audits.
• Staff Reviews Package for Completeness
• Pen Ink Changes, Contact Auditors for
  Clarification.
• All Questions Answered, N/As explained,
  Attachments noted, Non-conformances correctly
  completed.
• Review Supplier Corrective Action
• Close-Out or request additional information
• All of the like commodity audit reports are
  submitted to the Review Team for approval.

21
Audit Process

• NUCAP Approval
• Once all of the verification audits have been
  approved by the Review Team, the HQ audit package
  including the following documents is submitted to
  the Review Team for final NUCAP Approval
• The Review Team reviews the Audit Package and
  evaluates relevant data from the Headquarter
  Audit
• The Review Team is comprised of at least three
  (3) voting NuMC User Reps, PRI Staff Team Leader
  and Non-Voting Applicant User Representative
• Final certification is granted by the NUCAP
  Council (through the Review Team) upon acceptable
  closure of NCRs
• Once approval has been granted, a Letter of
  Approval, Scope of Approval and Certificate of
  Approval will be given to the User.

22
Temporary Deviation

• Definition A deviation from the Nadcap
  checklist requirements which do not violate
  engineering or customer contract requirements,
  permitting time for resolution between Nadcap and
  NUCAP applicants requirements.
• A Temporary Deviation can be resolved one of two
  ways
• The Applicant User can resolve the deviation
  internally (i.e. changing procedures, specs)
• The Applicant User can request the Nadcap
  checklist be changed.
• For deviations requiring Task Group resolution,
  the User shall complete a Deviation Form
  (n-frm-01, see attached) submit to PRI
• The Headquarters Auditor will verify all
  deviations from prior audits are closed or an
  effective plan is being implemented for
  resolution.

23
NUCAP Webpage

• The NUCAP webpage can be found on the PRI website
  at http//www.pri-network.org
• The webpage houses the following information
• Approved User List (AUL)
• Program Documents (PD3000, PD3100 PD3001),
  Site Matrix, Preliminary Questionnaires, NUCAP
  Tutorial, etc.
• Events Page with links to the online registration
  for the meeting and a link to the SAE Forums page
  under Agendas Minutes.
• Links to Media Articles / News Releases

24
NUCAP Approved Users(Approved User Listing (AUL)
is posted on the PRI Website at
www.pri-network.org)

• Honeywell Aerospace
• Vought Aircraft
• Rolls-Royce plc
• Bombardier Inc.
• Alenia Aeronautica SpA
• EADS-CASA
• EADS Deutschland GmbH
• Eurocopter
• Premium AEROTEC GmbH
• Hispano-Suiza (SAFRAN Group)

• Rolls-Royce Corporation
• MTU AeroEngines
• Spirit AeroSystems
• Aircelle (SAFRAN Group)
• Messier-Dowty (SAFRAN Group)
• Messier-Bugatti (SAFRAN Group)
• Snecma (SAFRAN Group)
• Ceramic Coating Center (SAFRAN Group)
• Liebherr-Aerospace GmbH

Users Currently In-Process BAE Systems (MAS) and
Airbus Deutschland
25
(No Transcript)