Nadcap Users Compliance and Audit Program NUCAP Tutorial

1. Nadcap Users Compliance and Audit Program (NUCAP) Tutorial

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 Organization’s 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 User’s 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 PD’s 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 User’s internal special processes while meeting the intent of Nadcap accreditation. Provide a mechanism for independent, objective and consistent analysis of process audit data. Evaluate User’s 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

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 User’s 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

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 (NCR’s) that may have been issued. The User will receive a copy of the NCR’s, 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/A’s 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 NCR’s 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 applicant’s 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