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Supplier InformationSupplier Name

Street Address

State/Post Code

Country/Province

Summary ResultsScore:

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ASQR-01 Revision 8 Checklist

Member Division (e.g., HS. PW, PWC, SAC, UTP) & Supplier Code(s)

Supplier Participant(s) & Title

Assessment Performed By, Division & Date

1. All questions must be scored by entering a single "X" in either the ACC, REJ, or N/A. column.2. The Comment section will reference supplier procedures, documents, practices, other pertinent information, and comment/indicate why a assessment question response is N/A.3. The Finding section will describe the non-compliance. Note: Alternate Process Control systems that achieve the same results will be considered for approval.

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REQUIREMENT ACC REJ N/A

1Comment

Finding

2Comment

Finding

3Comment

Finding

4Comment

Finding

5

Is the entire supply chain compliant to applicable Quality Management System and ASQR-01 requirements? Ref. ASQR-01 Para. 1.2/AS 9100 Para. 7.4.1

Guidance: Evidence must be provided to show compliance to those portions of the QMS not satisfied by the sub tier are satisfied by the higher tier (e.g., higher tier satisfies the requirement as documented by SRI/ASQR-01 Form 3, etc.).

Is the supplier certified/registered to the appropriate standard (i.e AS/EN/JISQ 9100, AS9120, Nadcap AC7004) Ref. ASQR-01 Para. 1.2.1 thru 1.4/AS 9100 Para. 4.1

Is the AS/EN/JISQ 9100 Certificate of Registration issued by a Certification Registration Body (CRB) accredited under the control of International Aerospace Quality Group (IAQG)? Ref. ASQR-01 Para. 1.3/AS 9100 Para. 4.1

Guidance: Refer to the IAQG website for a listing of accredited CRBs: http://www.iaqg.sae.org/iaqg/audit_information/registrars.htm. To view the list of accredited CRBs register on the IAQG website to receive a password.

Is Member (not individual employee) granted access to all data in OASIS and Nadcap databases including registration documentation, certification, audit reports, findings, corrective actions, etc. Ref. ASQR-01 Para. 1.5/AS 9100 Para. 7.2.3

Guidance: Refer to the IAQG website http://www.iaqg.sae.org/iaqg/audit_information/registrars.htm. Are Certificate(s) of Registration or NADCAP Accreditation entered into the OASIS or NADCAP databases, if the registration/accreditation certificates were not submitted to each Member that issued a PO?

Have Member(s) been notified of changes in the certification/ registration / accreditation/ major audit findings within (2) business days of receiving notification of the change or finding (e.g. new certification, suspension or expiration)? Ref. ASQR-01 Para. 1.6/AS 9100 Para. 7.2.3

Guidance: Verify notification has been sent to the Quality Organization.

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REQUIREMENT ACC REJ N/A

5Comment

Finding

6

Is work accomplished to the revision level specified on the PO? Ref. ASQR-01 Para. 2.3/AS 9100 Para. 4.2.3

Comment

Finding

7Comment

Finding

Are corrections to work instructions/documents recorded, dated, and traceable to the originator in ink or other permanent method with the original data being legible and retrievable after the change? Ref. ASQR-01 Para. 4.2.3b/AS 9100 Para. 4.2.3

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REQUIREMENT ACC REJ N/A

8Comment

Finding

9 Comment

Finding

10 Comment

Finding

11

Are quality records properly retained/maintained? Ref. ASQR-01/AS 9100 Para. 4.2.4

Comment

Finding

Are quality records (non-electronic) documented in ink or other permanent marking? Ref. ASQR-01 Para. 4.2.3e/AS 9100 Para. 4.2.3

Are electronic records controlled, retained and retrievable per the same requirements identified for hard copy records? Ref. ASQR-01 /AS 9100 Para. 4.2.4

Is storage media capable of maintaining data integrity for full retention period when electronic records are transferred from computer files? Ref. ASQR-01/AS 9100 Para. 4.2.4

Guidance: 40 years flight safety parts, 30 years Manned Space Programs, 10 years all other parts, 8 years for aftermarket parts, 5 years off-the shelf/industry parts.

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REQUIREMENT ACC REJ N/A

12

Are radiographs retained per retention period requirements? Ref. ASQR-01/AS 9100 Para. 4.2.4

Comment

Finding

13

Comment

Finding

14 Comment

Finding

15Comment

Guidance: Radiographs: The Supplier shall retain radiographs. *40 Years for: Flight safety, Critical / major rotor parts (i.e., turbine and compressor disks, hubs, shafts, free turbine couplings and turbine disk side plates), as well as serialized major engine (cast / fabricated) cases, (i.e., inlet fan, compressor, intermediate, diffuser, combustion, turbine and exhaust cases), and main shaft bearing supports which are not integral to a major case and engine components traceable by Engineering Drawing / Quality Assurance Data required serial numbers. *10 Years for: Castings or parts where the PO, engineering drawing or specifications require serial number traceability. Castings or parts where the PO, engineering drawing or specifications do not require serial number traceability, shall be retained only if no other inspection record is retained that documents completion and final acceptance of radiographic inspection.*5 Years for: Military hardware - turbine airfoil (blades) casting radiographs for initial casting quality. Military hardware - Radiographs of airfoils for the presence of foreign material need not be retained provided an inspection record is retained that documents completion and final acceptance of radiographic inspection.

Are procedures documented and implemented to ensure annual eye examinations are administered? Ref. ASQR-01 para.6.2.2(a)/AS 9100 Para.6.2.2

Guidance: Unless otherwise specified, administered annually by a medically qualified/trained person to individuals performing visual inspection and/or other activities that require visual acuity. In at least one eye, either corrected or uncorrected. Color Perception testing one time only. Individuals shall be capable of adequately distinguishing and differentiating colors used in the method for which certification is required, the process being performed or inspection activity. Documentation/Records shall be retained for each individual. (1) Individuals performing visual inspection and/or other activities that require visual acuity (i.e. calibration, non–weld, in–process, layout, dimensional) shall be compliant with near vision requirements of Snellen 14/18, (20/25), Jaeger 2 at not less than 12 inches;. (2) Individuals performing visual inspections on welds shall be compliant with the American Welding Society Standard (AWS) D17.1. (3) Individuals performing nondestructive testing (NDT) shall be compliant with Aerospace Industries Association National Aerospace Standard (AIA/NAS) 410Note: Vision tests may be substituted for the options listed above providing the equivalence is verified and documented by a licensed optometrist.

Does the supplier's QMS ensure verbal agreements or instructions are not construed as approval or authorization to proceed? Ref. ASQR-01/AS 9100 Para. 7.2.2

Guidance: Verify work is accomplished per PO/Contract.

Are changes that may affect quality documented and communicated to Member(s) Quality Assurance and/or Procurement representative prior to effectivity of the change? Ref. ASQR-01 Para. 7.2.3a/AS 9100 Para. 7.2.3

Guidance: Verify documentation for Member(s) notification. Examples of changes - Ownership, Manufacturing location, Process, Product, Inspection Techniques.

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REQUIREMENT ACC REJ N/A

15

Finding

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REQUIREMENT ACC REJ N/A

16Comment

Finding

17Comment

Finding

18 Comment

Finding

19Comment

Finding

20

Does supplier's QMS ensure an SRI/ASQR-01 Form 3 is used to process product nonconformances? Ref. ASQR-01 Para. 7.2.3b/AS 9100 Para. 7.2.3

Guidance: SRIs are not to be used for nonconformities. Review submitted/approved SRIs.

Are all communications between the supplier and Member written in English? Ref. ASQR-01 Para. 7.2.3c/AS 9100 Para. 4.2.1

Guidance: Communication includes - Quality Systems Manual and Procedures. Process documentation which requires approval or source qualification by the Member.

Has the Member Supplier Quality Assurance (SQA) organization received a current company owned email address? Ref. ASQR-01, Para. 7.2.3c.2/AS 9100 Para. 7.2.3

Guidance: Verify current company owned email address

When specified on the drawing or PO, are only Member approved special process sources used? Ref. ASQR-01/AS 9100 Para. 7.4.1

Guidance: Link to approved source lists or contact for each division for verification (When Available). Each special process supplier must obtain initial approval through each specific Member company. The use of directed sources does not relieve the responsibility for sub-contractor control? Examples include, an approved source for non destructive testing, plating, coating, ...etc.

Does the PO for (Member-designed product) subcontracted work contain a statement reflecting articles are for “Member End Use” and controlled per applicable PO requirements? Ref. ASQR-01/AS 9100 Para. 7.4.2

Guidance: Review POs for subcontracted work.

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REQUIREMENT ACC REJ N/A

20 Comment

Finding

21 Comment

Finding

22 Comment

Finding

23 Comment

Finding

24 Comment

Does supplier provide raw materials test reports, certification results, laboratory analysis requirements as defined by the product definition and / or the PO? Ref. ASQR-01 Para. 7.4.3(1)/AS 9100 Para. 7.4.3

Guidance: Report examples - tensile strength, stress rupture, hardness, chemical composition, etc.

Where the organization utilizes test reports to verify purchased product,does the supplier ensure the data in those reports is acceptable per applicable specifications. The organization shall periodically validate test reports for raw material. Ref. ASQR-01 Para. 7.4.3(2)/AS9100 7.4.3

Does the supplier notify the Government Representative that services the facility or the Government Inspection office nearest the facility upon receipt of a Member PO requiring Government oversight? Ref. ASQR-01 Para. 7.4.3(3)/AS 9100 Para. 7.4.3

Guidance: Examples - Government Contract Quality Assurance (GOQA), Department of Energy, (DOE), etc.

Are Flight Safety Part requirements complied with when invoked by PO? Ref. ASQR-01 Para. 7.5.1a1/AS9100 Para. 7.5.2

Guidance: The requirements for flight safety parts is contained in ASQR-09.1 See ASQR-09.1 Checklist.

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REQUIREMENT ACC REJ N/A

24

Finding

25 Comment

Finding

26 Comment

Finding

27

Comment

Finding

28 Comment

Finding

29

Is a Process Certification program implemented per UTCQR-09.1? Ref. ASQR-01 Para. 7.5.1a2/AS 9100 Para. 8.1

Guidance: Use UTCQR - 9.1 checklist (Form 2) to verify compliance.

Is product identified with Member acceptance symbol only shipped to the Member or Member approved destination? Ref. ASQR-01, Para. 7.5.1f

Guidance: Create Symbol List, Link to SQA Website to verify approved destination ask for evidence of destination approval.

Is First Article Inspections (FAI) performed in accordance with SAE AS 9102? Ref. ASQR-01, Para.7.5.1.1 (1)

Guidance: Verify a full or partial FAI shall be performed for affected characteristics when any of the following changes occurs in: Design, Manufacturing source(s), Process(s), Inspection method(s), Locations of manufacture, Tooling or Materials, Numerical Control Program or Translation to Another Media, Natural or Man-made Event, which may adversely affect a manufacturing process, Lapse in production for two years or as specified by the customer. Verify Supplier assures - 1) Completion of the FAI Report. 2) Includes within it, a replication of product part marking (via photograph or sample) that represents production marking, for all finished part characteristics generated by Sub–tier Suppliers. 3) Supplier records - Member assigned Supplier Code, PO Number, FAI Inspection Measuring Equipment used as a media of inspection, and FAI inspector identification (e.g., signature, stamp, electronic authorization, etc.) signifying the person that accomplished the inspection.

Does the supplier implement the UTC Production Part Approval Process (PPAP) per the requirements contained in ASQR-09.2 when invoked by drawing related documents, purchase order, or any other contractual requirement? Ref. ASQR-01, Para.7.5.1.1 (2)

Has the Supplier implemented the requirements of ASQR-07.5 for software control? Ref. ASQR-01/AS 9100 Para. 7.5.1.3

Guidance: Use ASQR -07.5 check list to verify compliance.

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REQUIREMENT ACC REJ N/A

29Comment

Finding

30

Does supplier and all members of their supply chain use Member approved suppliers when a specific material or manufacturing special process is identified by individual Member? Ref. ASQR-01 Para. 7.5.2a /AS 9100 Para. 7.4.1

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REQUIREMENT ACC REJ N/A

30Comment

Finding

31Comment

Finding

32Comment

Finding

33 Comment

Finding

34

Are suppliers and all members of their supply chain that only provide special processes (not part manufacturing suppliers) Nadcap accredited? Ref. ASQR-01 Para. 7.5.2a,2/AS 9100 Para. 7.4.1

Guidance: Nadcap requirements may be further defined by a Member. Special Process suppliers (not part manufacturing suppliers) include braze, chemical processing, coating, heat treatment, material test, nonconventional machining, nondestructive test, shot peen, and weld. Note: Nadcap accreditation is not required for materials testing laboratories with American Association for Laboratory Accreditation (A2LA).

Does the supplier's QMS ensure the return of all documents, records, gaging, stamps, or other customer supplied product upon written notification from Member or when business with the Member has ceased? Ref. ASQR-01/AS9100 Para. 7.5.4

Are the requirements for for Foreign Object Damage/Debris Prevention, Handling, Storage, Packaging, and Preservation complied with? Ref. ASQR-01/AS 9100 Para. 7.5.5

Guidance: Use the ASQR-15.1 checklist

Does the Calibration System meet the applicable requirements of ISO 10012, ISO 17025 or ANSI/NCSL Z540–3? Ref. ASQR-01/AS 9100 Para. 7.6

Guidance: Determine there is a system and how they verify compliance..

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REQUIREMENT ACC REJ N/A

34 Comment

Finding

35 Comment

Finding

36 Comment

Finding

37Comment

Finding

38

Does the calibration interval analysis methodology used, maintain a minimum 95% reliability target at the end of their interval schedule. Ref. ASQR-01 Para. 7.6a1/ANSI/NCSL Z540 Para. 18.4/AS 9100 Para. 7.6

Guidance: Verify calibration interval analysis methodology used to maintain the reliability of M&TE, has a stated reliability goal to meet a minimum 95% reliability target for M&TE in–tolerance at the end of their interval schedule.

Are Significant Out–of–Tolerance conditions defined as any M&TE out–of–tolerance condition exceeding 25% of the product tolerance. Ref. ASQR-01 Para. 7.6a2/ANSI/NCSL Z540-2 Para. 18.6/AS 9100 Para. 7.6

Guidance: Verify the Supplier’s Significant Out–of–Tolerance conditions are defined. These conditions require documented review of impact on quality and notification to Member if product received by Member has been affected.

Does the Supplier perform audits of the entire Quality Management System including customer unique requirements annually? Ref. ASQR-01/AS 9100 Para. 8.2.2

Guidance: For alternate methods refer to ASQR-01 Form 3, Supplier Request for Information.

Are statistical techniques per ASQR-20.1 used when performing inspection of articles /characteristics? Ref. ASQR-01, Para. 8.2.4(1)/AS 9100 Para. 8.2.4

Guidance: Use ASQR -20.1 and check list to verify compliance.

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REQUIREMENT ACC REJ N/A

38 Comment

Finding

39 Comment

Is the operator certification program/other special manufacturing methodologies approved prior to implementation by the appropriate Member via SRI, ASQR-01 Form 3? Ref. ASQR-01 Para. 8.2.4(2)/AS 9100 Para. 8.2.4

Guidance: Examples include - manufacturing controlling features, die/mold control, method of manufacturing, etc.

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REQUIREMENT ACC REJ N/A

39

Finding

40 Comment

Finding

41 Comment

Finding

42 Comment

Finding

43 Comment

Is M&TE selected with an accuracy ratio of 10 to 1 (product tolerance to M&TE tolerance)? Ref. ASQR-01 Para. 8.2.4(3)/AS 9100 Para. 8.2.4

Guidance: Accuracy ratiosless than 4 to 1 are not acceptable unless a detailed measurement uncertainty analysis per ANSI/NCSL Z540−2 indicates an uncertainty ratio of 1.5 to 1, or better, and the measurement process is maintained under statistical quality control.

When functional performance/test data is required, are the minimum requirements included? Ref. ASQR-01, Para 8.2.4 (4) /AS 9100 Para. 8.2.4.

Guidance: Minimum requirements are 1) Test specification number, revision status, amendment number and addendum. 2) Part number/serial number and revision letter of material / component being tested. 3) Test paragraph, required reading, actual reading (use positive statement, e.g., “No Leakage” if actual reading is not quantifiable). 4) Date test was performed. 5) Operator identification. 6) Inspection approval signature/stamp. 7) Blank entries that are not applicable shall be noted “N/A”.

Are reports of nonconformance coordinated for Member supplied material? Ref. ASQR-01 Para. 8.3b/AS 9100 Para. 8.3

Guidance: Refer to applicable Member’s requirements.

Are scrap articles clearly identified and rendered unusable within 30 days of final disposition unless otherwise instructed in writing by the applicable Member? Ref. ASQR-01, Para. 8.3c/AS 9100 Para. 8.3

Guidance: Review/verify designated scrap storage areas/locations where items receive or are pending disposition to ensure articles deemed scrap are clearly identified and rendered unusable. Validate receipt of alternate instructions from Member in writing.

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REQUIREMENT ACC REJ N/A

43

Finding

44 Comment

Finding

45 Comment

Finding

46 Comment

Finding

47Comment

Finding

Are there provisions for notifying the Member immediately when suspect nonconforming product has been shipped regardless of destination? Ref. ASQR-01, Para. 8.3 (d)/AS 9100 Para. 8.3

Guidance: Immediate in this circumstance is next business day or not to exceed 24 hours. Review escape history and member communication.

Are related characteristics that may be affected by rework/repair operations re-inspected after these operations are performed? Ref. ASQR-01, Para. 8.3 (e)/AS 9100 Para. 8.3

Guidance: Verify the system is capable of determining the affect on related characteristics.

Do corrective action reports document the occurrence, findings, assessment of the affected product and are they submitted to Members upon request? Ref. ASQR-01 Para. 8.5.2e/AS 9100 Para. 8.5.2

Guidance: Verify documentation of relentless root cause analysis and implementation of effective preventive action that eliminates risk of reoccurrence.

Has 100% inspection been performed on deviated characteristics for a minimum of the next (3) three consecutive manufactured lots to ensure corrective action effectiveness? Ref. ASQR-01, Para. 8.5.2f

Guidance: Verify documentation.

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REQUIREMENT ACC REJ N/A

48 Comment

Finding

Are effective corrective/preventive actions implemented from items previously identified during ASQR-01 assessments?

Guidance: Follow-up on items to ensure root cause was properly identified and sustainable corrective/preventive actions are in place.