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AUDIT CRITERIA

AC 7109 REV. D
Issued 1995-03

Revised 2013-04

Superseding AC7109C

TO BE USED ON AUDITS STARTING ON OR AFTER AUGUST 18, 2013
Nadcap
AUDIT CRITERIA FOR
COATINGS

1. SCOPE

AC7109 is intended for use to survey all facilities seeking accreditation by Nadcap for
coating processes. AC7109 is supplemented by Audit Criteria [called slash sheets] for
specific coating processes to be accredited. The four primary coating special
processes addressed by the Audit Criteria slash sheets are Thermal Spray (/1), Vapor
Deposition [PVD and CVD] (/2), Diffusion (/3), and Coating Evaluations (/5). The
remaining Audit Criteria [Stripping (/4), Plating (/6), and Heat Treating (/7)] support the
four primary coating special processes.

The purpose of the Audit Criteria is to provide a means to verify and document that
systems are in place to control the process, and that the process procedures are
being followed.

The subtext [called objective evidence] to the questions serves to clarify requirements
and provide possible means of meeting these requirements. There may be other
methods to meet requirements which are not described.

Notes on specific coating systems:

Spray or dip aluminide diffusion coatings (e.g. Sermaloy) are covered by AC7109/3
Diffusion Coatings.

The class of ceramic/metallic corrosion protection coatings that are applied by spray
techniques and subsequently thermal treated (e.g. Sermatel) are covered by
AC7108/1.

The application of dry film lubricants are covered by AC7108/1.

Application of ceramic/metallic corrosion protection coatings and or dry film lubricants
per the AC7108/1 may be added to the scope of a Coatings audit if one of the four
primary coating special processes is included in the audit scope. Otherwise the
AC7108/1 must be scheduled as a Chemical Processing audit.

Painting and Ion Vapor Deposition of Cadmium and Aluminum are not covered by the
Coatings Audit Criteria. These special processes are part of the Chemical Processing
AC7108 Audit Criteria.



PRI AC 7109 Revision D - 2 -


2. GENERAL INSTRUCTIONS

2.1 Prior to the Audit

2.1.1 The supplier shall complete a self-audit to AC7109 and all applicable slash sheets in preparation for this
audit. All nonconformances should be corrected prior to the actual audit. Nonconformances of a technical
nature found during the actual audit may, at the Task Group's discretion, require a follow-up audit at the
supplier's expense.

2.1.1.1


During the self-audit, the supplier should note procedure numbers and locations for all documentation
required. Ready availability of all documentation required by the Nadcap auditor will speed the audit process
up significantly.

2.1.2 The Task Group has compiled a set of tools to assist in the preparation and
execution of a Nadcap audit. It is strongly recommended to utilize these tools both
before and after the audit. The tools can be found in eAuditNet/Public
Documents/Coatings.


2.1.3 All audits require a "Job Audit and Test Method Tracker", herein referred to as the
Tracker, to be attached to the audit in eAuditNet. The Tracker is a tool used by
Subscribers to ensure that all processes, tests, specifications, and primes in the
scope of the audit are reviewed over a period of time.

The test method section of the tracker has been implemented to ensure all tests in
the scope of the audit are witnessed over the course of 3 consecutive audits. The
tracker must be considered in audit preparation to ensure witness tests are available
during the audit so that all tests are witnessed over the 3 audit period.


2.2 During the Audit

2.2.1 The supplier should provide for an in-briefing for the auditor and arrangements for a brief plant tour prior to
the start of the audit. Key members of the applicant's staff should attend the in-briefing so the audit purpose,
methods and assessment processes, can be discussed.

2.2.2 Working space for the auditor with desks or tables, chairs, telephones, etc. and reproduction services are to
be provided as required. This is not a full time assignment.

2.2.3 An out-briefing will be conducted at the end of each audit day to discuss the status of the audit and any non-
conformances found that day.

A final out-briefing will be conducted at the completion of the audit. Each nonconformance report (NCR) will
be reviewed and the supplier will be given the opportunity to discuss proposed corrective action or to provide
any additional information. Drafts of each NCR will be provided to the supplier. NOTE: The Coatings Task
Group may, upon review, change the auditor's determination of finding or observation. Responses must be
provided for all NCRs except for NCRs accepted on site by the Auditor.

2.2.4 Responses shall be submitted according to Nadcap procedures.

2.3 Review of the Audit Report

The auditor will advise the supplier when their audit report will be submitted and when corrective action will
be due. Responsibility for meeting this date rests with the supplier. Failure to comply with specified dates will
result in significant delays in accreditation.
PRI staff or the Task Group may, after review of the audit report, require additional information or may elect
to issue additional findings. NOTE: Final authority over the audit report, acceptability of corrective actions,
and accreditation recommendation rests with the Task Group.

PRI AC 7109 Revision D - 3 -


3. SUPPLIER INFORMATION

3.1 Attach a copy of the Job Audit and Test Method Tracker that includes all primes and
specifications for which the supplier is approved/processing.

The Job Audit and Test Method Tracker is a tool to ensure that all processes,
specifications, tests and primes in the scope of the audit are reviewed over time.


3.2 Has the supplier informed Nadcap of all changes that will affect the Supplier's status
of operation as defined in AS7003?
YES NO

3.3 Were corrective actions from previous audits implemented effectively? YES NO NA
The auditor is required to verify all findings from the previous audit
If there are any repeat findings, the answer is No
NA if this is an initial audit or if there were no NCRs in the previous audit.


4. GENERAL QUALITY SYSTEMS

The Nadcap Coatings Task Group recognizes all quality systems approvals, as
addressed in NOP-002. If the supplier has been audited and approved by Nadcap
or any other Nadcap recognized agency addressed in NOP-002, then no further
assessment for quality systems will be required. Although specific audit criteria for
evaluation of the general quality system are not included within the text of this
checklist, the requirements of NOP-002 approved quality systems do form a part of
the standard used in the Nadcap Coatings Accreditation program. As such, auditors
may identify and record nonconformances related to the quality system. These
nonconformances must be addressed by the supplier in order to obtain Nadcap
Accreditation.

The auditor shall verify the supplier has a valid quality system certificate or
otherwise in compliance with Nadcap procedures. A copy of the certificate does not
need to be attached in the audit report.


4.0.1 Is the supplier compliant with approved Quality System as observed in the scope of
this audit?
YES NO
A No would be for any quality system violation which is identified which is
not addressed by other questions in the checklists
Examples: Uncontrolled document,


4.0.2 Supplier personnel associated with the audit aside from the Supplier Audit Contact:
<Comment Box>



4.0.3 NCRs requiring special attention:
<Comment Box>



4.0.4 General Impression of supplier:
<Comment Box>




PRI AC 7109 Revision D - 4 -


4.1 Organization

4.1.1 Is there a designated technical authority, and a back-up, documented in the
suppliers system for each process performed (as defined by each checklist listed in
the scope of the audit in eAuditNet on the audit details page)?
YES NO
Some reference in the organization chart or by specific job title that there is
a person by name or title that has production technical authority over these
processes.


4.1.2 Are technical/engineering personnel available to support production processes? YES NO
Availability is a relative term. The preference is to be on site. Accessibility is
the real issue; determine if there is a capability for immediate if not same
day response.


4.1.3 Are all of the designated coating operators (thermal spray, vapor deposition,
diffusion) currently certified (when required by the customer) or otherwise approved
in accordance with supplier procedures?
YES NO
Department training records, personnel file. Must be some certification or
approval on record.


4.1.4 Are the operators re-qualified every 24 months? YES NO
This can be done on production hardware.
Training records, certification records, check for requirement in procedure.


4.1.5 Does a defined representative approve and are records maintained of all active
coating operators?
YES NO

4.2 Contract Review & Process Planning

4.2.1 Do procedures require the supplier to determine if prime approval is required prior to
use of specific materials and processes?
YES NO
Contract review procedure, actual check sheet for contract review of POs
that has a specific reference to the prime approval (fixed process control
and approval).


4.2.2 Do procedures assure that the supplier verifies they have the required approvals
prior to performing the process?
YES NO
Some denotation in the system that approval is required before production
may proceed. Could be note on router, procedure for issuing router, part of
the First Article Inspection Report (FAIR) approval process or specific
reference in procedure for fixed process manufacturing.


4.2.3 Are coating trials conducted prior to initial use of coating on production hardware to
ensure the coating will meet material/process specifications?
YES NO
This is for both a fixed process or non-fixed by the prime. Each coating
system should have some development trial outcome with an approval on
record in the lab or a master job file.


4.2.4 Do coating trials meet all applicable customer requirements? YES NO
If applicable, look for customer approval. Otherwise, review documentation
and verify.


4.2.5 Does the supplier have approved technical plans/processes for hardware, including
customer approval when required?
YES NO
Looking for more definition of the process than simply a router listing. Each
critical operation should have functional requirements specified by process
and/or configuration. Could be in the form of both higher level operational
procedures and part specific operational sheets.

PRI AC 7109 Revision D - 5 -



4.2.6 Are all of the sources internal procedures listed in the technical plan available? YES NO
Looking for a direct reference to the operational control document in the
router or the operational sheets. Verify that procedures are available at the
operational level.


4.3 Job Documentation

4.3.1 Do procedures require that documentation (e.g., traveler) detailing each operation
accompanies each job?
YES NO
Looking for a reference in procedures as to what functional requirements are
stated at the manufacturing level either by departmental procedures or job
specific operation sheets.


4.3.2 Are relevant work instructions available in each work area? YES NO
Work instructions can be embedded in router, posted at the booth, available
at a computer workstation in the area or master book of operational
procedures in the department.


4.4 Drawings, Documentation, and Changes

4.4.1 Does the supplier have a procedure, including appropriate marking of shop job
documents, which assures that fixed process changes are made only after receipt of
required approvals from the prime?
YES NO
Review document control procedure, router revision control documents,
FAIR or fixed process change control procedures.


4.4.2 Does supplier properly maintain process approval records? YES NO
Looking for letters of approval or release documents from the customer to
be on file for each controlled process and/or part.


4.5 Product Identification and Traceability

4.5.1 Do individual products or batches have a unique identification for traceability that is
recorded by the supplier?
YES NO
Lot number control procedure should be consistent with shop floor records.
Review routers and certifications for specific reference to lot by routing or
spray batch.


4.5.2 Are test and/or evaluation samples identified to maintain traceability to the parent
product?
YES NO
Validate that test material as it is separated from the parts for evaluation has
proper designation to relate back to the production batch or lot.


4.5.3 Is there a procedure that specifies the control and identification of test materials and
specimens, as well as when and where they are to be used?
YES NO
Procedure and work instruction review, looking for a specific reference on
control of test material, check for meeting customer requirements.


4.6 Sampling Plans NA

4.6.1 Are sampling plans documented? YES NO
Could be in the form of customer approval, internal approval. Each job on
sampling should have some statistical detail in file as proof of evaluation for
sampling, unless sampling is 100%.


4.6.2 Do records demonstrate that samples are taken in accordance with the specified
sampling plan?
YES NO
PRI AC 7109 Revision D - 6 -



5. TESTING AND GENERAL PROCESS INSPECTION AND TRAINING

5.1 Preventative Maintenance of Equipment (Process and Laboratory Equipment)

5.1.1 Do procedures or systems require maintenance at a specified frequency or condition
by qualified personnel (employees or vendors) in accordance with specifications and
customer requirements?
YES NO

5.1.2 Are there records that indicate that maintenance is performed in accordance with the
procedures?
YES NO

5.2 Test Materials and Specimens

5.2.1 Are test material and specimen identity controlled in accordance with a procedure? YES NO
Specimen must be identifiable to material type
Labeled bins, color coding, different sizes, etc.


5.2.2 Are coated test specimens traceable to the work order, part(s), process validation or
equipment at least until testing is complete?
YES NO
Traveler, envelope, etc.
The test specimen must be traceable back to the work which it represents


5.2.3 Is retention of metallographic specimens in accordance with customer
requirements?
YES NO NA
Not Applicable if no metallographic evaluations are required or no customer
requirements for retention


5.2.4 Is production coating evaluation, applicable to PRI AC7109/5, with the exception of
microanalysis of coating composition, performed by a PRI AC7109/5 Nadcap-
accredited laboratory?
YES NO

5.2.4.1 Is microanalysis of coating composition evaluation performed by a PRI AC7109/5
Nadcapaccredited laboratory or a laboratory authorized by the Prime?
YES NO NA
NA applies if microanalysis of coating composition is not required
For a lab authorized by the Prime look for a record of communication [email,
deviation, letter] from the Prime indicating use of the lab is authorized.


5.2.4.2 For testing performed externally, is there evidence of a system for reviewing
reported test results for compliance to customer requirements?

YES NO NA
NA applies when tests are not performed externally
Technique employed that verifies results are evaluated as
acceptable/unacceptable. (tick marks, log sheet, procedure, stamp/sign-off
or other methods such as electronic verification)


5.3 Calibration

5.3.1 Is there a documented calibration program that ensures calibration to the
requirements of ISO 10012 or ANSI/NCSL Z 540-1 for:
YES NO
Using a calibration laboratory accredited to ISO/IEC 17025 is considered as
one method of meeting these requirements.
Calibration is required over the range of use except in cases where there
are no commercially available standards that cover the entire range of use.


PRI AC 7109 Revision D - 7 -


5.3.1.1 All shop equipment used to control or monitor control of a process? YES NO
Specific equipment calibration requirements are referenced in the applicable
audit criteria e.g. AC7109/1 Appendix 1.
Calibration is not required for specimen preparation equipment used in
AC7109/5 or for tape measures or rulers used to measure standoff distance
(coating and surface preparation).


5.3.1.2. All test and inspection equipment used to accept product or control a process? YES NO

5.3.2 Are pre- and post-calibration data recorded when adjustments are made? YES NO NA
Not Applicable if no adjustments have been made

5.3.3 Is there record of actions taken in the event calibration is found outside of allowed
tolerance?
YES NO NA
Not applicable if no out of tolerance calibrations have occurred

6. MATERIAL HANDLING AND PROTECTION

6.1 Is there evidence that the supplier has provided the methods and means of handling
and protection from receiving through shipping?
YES NO

7. COATING REMOVAL (STRIPPING OF COATINGS) NA
This section is inclusive of all methods of coating removal, whether outsourced or
performed on site.


7.1 Does the supplier have a method for controlling the removal of coatings? YES NO
If removal of coatings is performed on site by methods other than machining,
grinding or water jet, an audit to AC7109/4 must be performed unless the processor
is Nadcap-accredited to PRI AC7108 for the appropriate stripping method.
If removal of coatings is performed by a subcontractor using methods other than
machining, grinding or water jet, the source performing the removal must be
Nadcap-accredited to PRI AC7109/4 or PRI AC7108 (for appropriate stripping
method).


7.2 Are the number of strip cycles approved and are they each documented and
traceable to the hardware?
YES NO
Customer and specification requirements for cycles that may include
approval of method in general or part specific approval


7.3 Are the reasons for coating removal recorded on the individual part/lot
documentation, the rework properly authorized and the need for corrective action
considered?
YES NO
Documentation may include Non-Conformance Report (NCR) form, rework
form, or incoming paperwork where stripping is part of work scope.
Proper authorization may vary depending on the reason for coating removal.
For example, coating removal due to an in process rework of original
equipment, may require authorization from the design authority (cognizant
engineering authority, Prime). For repair situations, proper authorization may
be the customer order.
Corrective action must be considered only in the case where coating is
removed due to in process rework of discrepant coating.



PRI AC 7109 Revision D - 8 -


7.4 Coating Removal Performed on Site NA
This section is required if any stripping is performed in house, regardless of the
method.


7.4.1 Equipment and Facilities

7.4.1.1 Does the supplier have suitable equipment to perform the stripping? YES NO
Design Authority Approvals, Specifications, Internal requirements for
equipment


7.4.2 Process Planning

7.4.2.1 Does the supplier have approved (internal or by customer when required)
procedures and/or work instructions for each stripping method, describing each step
in the stripping process?
YES NO
Chemical stripping generally requires customer approval
Validate a stripping procedure has been evaluated and approved either by
customer, design authority or internal authority.


7.4.2.2 Do these procedures/work instructions include the following:

7.4.2.2.1 Preparation of stripping equipment/materials/solutions before removing coatings? YES NO

7.4.2.2.2 Methods of preparing parts before stripping? YES NO NA

7.4.2.2.3 Masking techniques? YES NO NA

7.4.2.2.4 Stripping process procedure including process parameters and their limits? YES NO

7.4.2.2.5 Details of post stripping treatments? YES NO NA

7.4.2.2.6 Methods of protection against corrosion with appropriate time limits for protecting
parts?
YES NO NA

7.4.2.3 Does the supplier use control methods to monitor significant operational
parameters?
YES NO
Any charting or recording of parameters, electronic controller, software,
regulator


7.4.2.4 Does the supplier have defined inspection procedures to evaluate stripped
hardware?
YES NO
Described on router and/or in procedure or work instruction

7.4.2.4.1 Do these include accept/reject criteria? YES NO

7.4.2.4.2 Does it include an inspection for complete removal of coating? YES NO

7.4.3 Are controls (e.g., inspection, frozen parameters, training, documented procedures)
in place to ensure the base material is protected from excessive erosion during
coating removal?
YES NO

7.4.4 Post-Strip Cleaning

7.4.4.1 Are procedures used for post-strip cleaning clearly defined (e.g., compressed
air/water spray rinse)?
YES NO
PRI AC 7109 Revision D - 9 -



7.5 Bake Embrittlement Relief NA

7.5.1 If supplier performs embrittlement relief, PRI AC7109/7 shall be completed or the
supplier shall be Nadcap accredited to PRI AC7102.


8. COMPLIANCE

A minimum of two job audits must be performed for each audit, with a minimum of
one job audit for each slash sheet which includes job audits. At least one of the job
audits must be an in-process job audit with the preference being that all job audits
are in-process work. Staff Engineer and/or Nadcap Coatings Task Group approval
are required for performing fewer job audits than required.