asqr-01 audit questionnaire

ASQR-01 Revision 9

ASQR-01 Form 1

WARNINGEXPORT CONTROL CLASSIFICATION

No Technical Data 2. ECCN(s): 4. USML (ITAR): 1. Canadian ECL(s): 3. P-ECCN(s): 5. P-USML:

Supplier Name: CAGE Code:

P&W V/C: P&WC V/C: SIK V/C: UTAS V/C:

Auditor Name: Audit Date(s):

Auditor Division: Audit Phone:

Audit Specification References Other Document References

Specification Rev Specification Rev Specification Rev Specification Specification Specification

AS 9100 C ASQR-01 9 ASQR-15.1 2 AS 9102 ISO 10012 NAS 412

ASQR-07.5 1 ASQR-20.1 5 ISO 17025 ANSI Z 540-3

ASQR-01 Rev 9 Questionnaire UTC Proprietary Information PageRev.: 2015-01-09 See page 1 for any technical data content

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Table of Audit Elements1. GENERAL REQUIREMENTS 7. GAUGE CONTROL

2. COMMUNICATION 8. SAMPLING PLANS (ASQR-20.1)

3. RECORDS RETENTION/DOCUMENT CONTROL 9. SOFTWARE CONTROL (ASQR-07.5)

4. SUB-TIER CONTROL 10. FLIGHT SAFETY PART (ASQR-09.1)

5. PRODUCT REALIZATION 11. CONTROL OF NON-CONFORMING PRODUCT

6. PRODUCT INSPECTION

# Element ASQR Ref AS9100 Ref C = Compliant, N-C = Non-Compliant, N/A = Not Applicable, N-E = Not EvaluatedRequirement

C N-C N/A N-E

1 GENERAL REQUIREMENTS

1.1 General n/a n/a Are effective corrective/preventive actions implemented from non-conforming items identified during the last ASQR-01 assessment?

1.2 General 1.2.1 thru 1.2.4 4.1

Is the supplier certified to all appropriate required standards (i.e. AS/EN/JISQ 9100, AS9120, NADCAP AC7004). Are all certifications current?

1.3 General 1.2 7.4.1

Is the supplier and its entire supply chain compliant to applicable Quality Management System and ASQR-01 requirements? Specifically, when product or product-related services are provided by a sub-tier, does the supplier flowdown and verify Member requirements as specified on the Member's purchase order or other contractual document?

1.4 General n/a 5.6.18.2.1

Are regular, documented Management reviews held of the Quality and Delivery metrics associated with each UTC Member? If supplier performance is not in compliance with UTC Member expectations, does the supplier take the appropriate action for improvement?


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C N-C N/A N-E

1.5 General 8.2.2 8.2.2

Does the Supplier perform internal audits that cover ASQR-01 and UTC Member unique requirements at a minimum annually? Does the Supplier use the UTC ASQR-01 Form 1 checklist to conduct their internal audit and are such checklists provided to the UTC member in a timely manner.

Supplier Objective Evidence

Please include references to supplier procedures or processes that satisfy the requirements of this section (e.g. Question X.X: Supplier Procedure YYYY, section/paragraph ZZZZ)

2 COMMUNICATION

2.1 Communication 1.6 7.2.3

Does the supplier have a documented procedure to ensure the UTC Member(s) have been notified of changes in their certification/ registration / accreditation/ or of major audit findings within (2) business days of receiving notification of the change or finding (e.g. new certification, suspension or expiration)?

2.2 Communication 8.3 (d) 8.3

Does the Supplier's QMS define the requirements for notifying the UTC Member immediately (not to exceed 24 hours or the next business day) when suspect non-conforming product has been shipped regardless of destination?

2.3 Communication 7.2.3 7.2.3

Are changes that may affect Quality documented and communicated to Member(s) Quality Assurance and/or Procurement representative prior to effectivity of the change (on an ASQR-01 Form 3 SRI or by another Member-designated method)?


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C N-C N/A N-E

2.4 Communication 7.2.2 a) 7.2.2Does the supplier's Quality Management System ensure verbal agreements or instructions are not construed as approval or authorization to proceed (e.g. on items that effect quality, fit, form or function)?

2.5 Communication 7.2.3 b) 7.2.3

Does supplier's QMS ensure an ASQR-01 Form 3/SRI is not used to process product non-conformances (to be used only for requesting information/clarification from the UTC Member, to provide the Member with a notification (e.g. the submission of NOPQE forms, etc.), or to request a waiver from UTC Quality System requirements)?

2.6 Communication 7.2.3 c) 4.2.1

In cases where the supplier maintains a QMS Manual and first level QMS procedures in their native language (including other documents that are required for the UTC Member to validate conformance to UTC requirements), does the supplier ensure that the English language equivalent is also maintained and takes precedence?

2.7 Communication 7.4.3 3) 7.4.3

Does the supplier's QMS have provisions for notifying the Government Representative that services the facility or the Government Inspection office nearest the facility upon receipt of a Member PO requiring Government oversight?

2.8 Communication 7.5.4 7.5.4

Do the supplier's internal procedures ensure the return of all documents, records, gaging, stamps, or other customer supplied product (including UTC Member-funded tooling, etc.) upon written notification from Member or when business with the Member has ceased?




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C N-C N/A N-E

3 RECORDS RETENTION/DOCUMENT CONTROL

3.1 Document Control 4.2.3 e) 4.2.3 Are quality records (non-electronic) documented in ink or other permanent

marking?

3.2 Document Control 4.2.3 b) 4.2.3

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?

3.3 Document Control 4.2.4 4.2.4

Are the supplier's quality records properly retained/maintained per the ASQR-01 or other Member requirements? Specifically, does the suppliers procedures require the proper retention periods for the following (if applicable):

Paper Quality records (record period):

Electronic Quality records (record period):

Radiographs (record period):

Flight Safety (ASQR-09.1) records (record period):

ESA Quality Records (record period):

3.4 Document Control 4.2.4 4.2.4

For electronic Quality records, is storage media capable of maintaining data integrity for full retention period when electronic records are transferred from computer files?


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C N-C N/A N-E

3.5 Document Control 2.1 2

Does the supplier have a process to ensure the latest revision of UTC Quality Management System documents (e.g. UTC ASQRs, UTC UTCQRs, Member QMS specifications, etc.) are incorporated into the supplier's Quality Management System within 60 days of notification from the applicable Member or upon review of Portal specifications unless otherwise specified by the applicable Member.

3.6 Document Control 2.3 2

Are the appropriate revisions of UTC Member specific requirements or related industry standards referenced in Purchased Orders or other contractual documents incorporated in the supplier's Quality Management System?




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4 SUB-TIER CONTROL

4.1 Sub-Tier Control 7.4.1 7.4.1

Is a list of approved sub-tier suppliers, including the type and extent of control exercised over each supplier created and maintained by the tier 1 supplier? Specifically, does the supplier's process define: • how and by whom are suppliers added or removed from the list of approved suppliers?• the process to evaluate new suppliers• the regular re-evaluation of existing suppliers and the method and frequency to be used?• the type and retention period for records of all approved suppliers lists?

4.2 Sub-Tier Control 7.4.1 d) 7.4.1 d)

Does suppliers and all members of their supply chain use only Member-approved suppliers when a specific material or manufacturing special process is identified on drawing related documents, purchase orders, or any other contractual requirement? (e.g. special processes, raw material, ASL, etc.)

4.3 Sub-Tier Control 7.4.2 g) 7.4.2

Does the PO for subcontracted work (for Member-designed product) contain a statement reflecting articles are for “Member End Use” and controlled per applicable PO requirements?

4.4 Sub-Tier Control 7.4.3 2) 7.4.3

Where the supplier utilizes test reports to verify purchased product, does the supplier ensure the data in those reports is acceptable per applicable specifications? Does the supplier periodically validate test reports for raw material or test material independently?

4.5 Sub-Tier Control 7.5.2 a) 7.4.1

Are suppliers and all members of their supply chain that only provide special processes (i.e. not part manufacturing suppliers) appropriately Nadcap accredited?


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5 PRODUCT REALIZATION

5.1 Product Realization 7.1.4 7.1.4

Does the supplier have a documented process for the control of work transition both within the supplier and in its supply chain, including manufacturing location changes as required by Member drawing related documents, purchase orders, or any other contractual requirement?

Does the supplier notify the UTC Member via ASQR-01 Form 3 or other Member-specified documentation thirty (30) days or more prior to any planned change implementation?


Does the supplier have a documented purchase order/contract review process which includes:• the use of a cross-functional review team• clearly documented list of all unique UTC Member requirements• formalized flow-down of new or revised requirements to the appropriate functional areas (e.g. manufacturing, engineering, and procurement) and sub-tiers• a documented approval process

5.3 Product Realization 7.5.1 f) 7.5.1

Is product identified with a Member acceptance symbol (e.g. trademark, part number, etc.) shipped only to the Member or Member approved destination?


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Is there a documented process defining the scope, activities & responsibilities for the control and issuance of Member required serial numbers or unique identifiers on product when required by the Member?

Can the system of control & issuance show traceability back to the production batch & the applicable raw material certification(s) (including configuration/revision levels)?

5.5 Product Realization 7.4.3 4) 7.4.3

Does the supplier have a documented process to prevent and mitigate the use of counterfeit parts that aligns with the requirements of SAE AS 5553 for electronic components or SAE AS 6174 for non-electronic product, as applicable.

5.6 Product Realization 7.5.1a) 2) 8.1

When invoked by drawing related documents, purchase orders, or any other contractual requirement, is a Process Certification program implemented per UTCQR-09.1?

5.7 Product Realization 7.5.1.1 1) 7.5.1.1 Are First Article Inspections (FAI) performed in accordance with SAE AS

9102 and UTC Member specific requirements?

5.8 Product Realization 7.5.1.1 2) 7.5.1.1

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


Are the requirements for Foreign Object Damage/Debris Prevention, Handling, Storage, Packaging, and Preservation specified by the Member complied with (complete the ASQR-15.1 checklist if required)?


Is there evidence to ensure parts are protected in all phases of processing to eliminate handling damage?

Do practices prevent “metal to metal” contact of parts during process movement?


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Are the benches, tools and equipment in areas where critical process/finished dimensions or areas where product assembly is performed maintained in a clean orderly condition to prevent FOD (i.e. under a formal 5S program)? Are there adequate food and beverage controls in place?

In areas where critical process/finished dimensions or areas where product assembly is performed, are there signs posted in the assembly area to support these controls?



6 PRODUCT INSPECTION

6.1 Product Inspection 6.4 6.4

Are the environmental conditions in which work is performed defined and managed to ensure conformity to product requirements? Specifically, do Quality Inspection areas conform to member company requirements (e.g. adequate workspace, regularly audited lighting levels, access to proper Inspection equipment, etc.).

6.2 Product Inspection 6.2.2 6.2.2

Are procedures documented and implemented to ensure annual eye examinations are administered for all personnel involved in Inspection activities?

6.3

Product Inspection

7.4.3 7.4.3

When receiving inspection is performed, do inspection plans (including any sampling plans) clearly define the responsibilities, activities, and characteristics to be inspected as specified in ASQR-20.1 and/or Member-specific requirements?


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6.4 Product Inspection 8.2.4 8.2.4

Do inspection plans require that visual acceptance inspection be performed against a Member or internally equivalent specification?

If an internally equivalent specification, does it meet the intent of the Member visual acceptance specification(s)?

6.5 Product Inspection 8.2.4 (2) 8.2.4

Do inspection plans contain all drawing characteristics to be inspected, similar to those found on the FAI?

If not, is the use of special manufacturing methodologies like manufacturing control features, product of the die/mold features or other methods of manufacturing been approved by the Member via ASQR-01 Form 3 submittal, prior implementation?

6.6 Product Inspection 7.4.3 7.4.3 When gauging is used during inspection, do inspection plans clearly define

the “type of gauge” to be used against the characteristic to be inspected?

6.7 Product Inspection 8.2.4 3) 8.2.4

For gauge “type” specified, does it generally have an accuracy ratio of 10 to 1 (product tolerance to M&TE tolerance)?

(Note: Accuracy ratios as low as 4 to 1 are acceptable, unless otherwise specified.)

6.8

Product Inspection

7.5.2 7.5.2

If required by Purchase Order of other divisional requirements, do inspection plans include a verification to ensure the residual magnetism in product and associated tooling is maintained within the required range (i.e. +/- XX Gauss). Is this verification documented?


Does the supplier provide raw materials test reports, certification results, or laboratory analysis requirements as defined by the product definition and / or the Member PO?

6.10 Product Inspection 8.2.4 4) 8.2.4. When functional performance/test data is required, are the minimum

requirements included and documented as conforming?


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6.11 Product Inspection 8.3 e) 8.3 Are related characteristics that may be affected by rework/repair operations

100% re-inspected after these operations are performed?


Is the Operator Certification Program/other special manufacturing methodologies approved prior to implementation by the appropriate Member via a Supplier Request for Information (SRI), ASQR-01 Form 3?



7 GAUGE CONTROL

7.1 Gauge Control 7.6 7.6 Does the supplier's Gauge Calibration System meet the applicable requirements of ISO 10012, ISO 17025 or ANSI/NCSL Z540-3?

7.2 Gauge Control 7.6 a) 1) 7.6Does the calibration interval analysis methodology used by the supplier maintain a minimum 95% reliability target at the end of their interval schedule.

7.3 Gauge Control 7.6 a) 2) 7.6 Are Significant Out-of-Tolerance conditions defined as any M&TE out-of-tolerance condition exceeding 25% of the product tolerance.


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7.4 Gauge Control 7.6 7.6

Does the supplier have a gauge calibration system that fully meets the member company’s requirements? Specifically: • Is the gauge calibration system supported by a positive recall system?• Does the documented process define the gauge “types” that require calibration? • For internally calibrated gauges, are “step by step” calibration instructions defined for each gauge type?• Does the documented process define which type of gauges are calibrated by outside sources and that those outside sources are accredited?• If employee owned gauges are permitted, are they under the same calibration system as company-owned gauges?



8 SAMPLING PLANS (ASQR-20.1)

8.1 Sampling 8.2.4 1) 8.2.4

Is there a documented process defining the scope, activities, responsibilities & the use of acceptance sampling plans and do the sampling plans in use at the supplier meet the requirements of ASQR-20.1?

Is there documented proof of sampling actuals to support sampling use?

8.2 Sampling 2.1 8.2.4If the supplier is using sampling plans other than defined in ASQR-20.1, have they been pre-approved by the Member company on an ASQR-01 Form 3?


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9 SOFTWARE CONTROL (ASQR-07.5)

9.1 Software Control

7.5.1 a) 3) 7.5.1

Is there a documented process defining the scope, activities & responsibilities for the control of non-deliverable software used in manufacture, inspection, test acceptance or calibration that has a direct effect on the deliverable product?

Is the supplier's process compliant to the requirements of ASQR-07.5? If necessary complete the ASQR-07.5 checklist.

9.2 Software Control 7.5.1.3 7.5.1.3

Does the supplier have a robust control program in place for the control of non-deliverable software, specifically: a) Are software programs archived in a manner that allows retrieval of all released versions for traceability purposes? b) Are obsolete versions controlled to restrict access to prevent unauthorized use? c) Are master copies stored in a secure location?


For CMM & performance test software, does the file name use a method to identify a revision control for the program to support changes or modifications?

Is this supported by a change record to maintain history of the changes introduced?


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For NC, CNC & DNC software, does the process define the methods for identification, storage, handling and release of the software to the user?

Does this process ensure that the end user can only access the latest software program version? Is there limited access control?

9.5 Software Control 8.2.2 8.2.2 Does the supplier's internal audit process include an audit of machine &

inspection program software in applicable areas?



10 FLIGHT SAFETY PART (ASQR-09.1)

10.1 F.S. Parts 7.5.1 a) 1) 7.5.1

Are Flight Safety Part requirements complied with when invoked by PO (e.g. per ASQR-09.1 and any Member requirements)? If necessary, the ASQR-09.1 checklist to be completed.

10.2 F.S. Parts 7.5.1 a) 1) 7.5.1

Is there evidence that the supplier's procedures and work instructions ensure that Flight Safety parts are identified at the earliest possible opportunity in their manufacturing process to maintain traceability.

Is there clear documentation that provides traceability throughout the manufacturing process.


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10.3 F.S. PartsASQR-

09.14.10.1

7.4.3

Except for Non Destructive Inspection (NDI) and Non Destructive Testing (NDT) sub-tier suppliers, is there evidence that the supplier conducts annual “on-site” audits at all sub-tier sources involved in the manufacturing / processing of Flight Safety parts.

Note: These audits shall be conducted and documented per applicable Member audit checklist. Reports shall be made available for review by Members, upon request.



11 CONTROL OF NON-CONFORMING PRODUCT

11.1Non-

Conforming Product

8.3 8.3

Is there a documented Non-Conforming Material process that describes the activities & responsibilities required for the control of non-conforming product?

Does this process require that all non-conformances related to Member-defined features of the product (i.e. not to supplier-designed/controlled features), require a customer concession before shipment?

11.2Non-

Conforming Product

8.3 8.3

Is there a secure location for non-conforming product awaiting customer concession (eg. the prevention of non-conforming material from intermixing with conforming material, clear visual identifier of non-conforming material from conforming material, etc.)?

Is this material under the control of Quality with access restricted to authorized personnel?


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11.3Non-

Conforming Product

8.3 b) 8.3Are reports of any non-conformance on Member-supplied material (if applicable) coordinated by the supplier in accordance with the applicable Member's requirements?

11.4Non-

Conforming Product

8.3 c) 8.3Are scrap articles clearly identified and rendered unusable within 30 days of final disposition unless otherwise instructed in writing by the applicable Member?

11.5Non-

Conforming Product

8.5.2 d) 8.5.2Do corrective action reports (e.g. part-related non-conformances, supplier audit findings, etc.) document the occurrence, findings, assessment of the affected product and are they submitted to Members upon request?

11.6Non-

Conforming Product

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



Additional Remarks/Comments/Observations/Recommendations:


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asqr-01 audit questionnaire

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