ASQR-01 Rev 13 Form 1: ASQR-01 Audit Checklist - Collins Aerospace Chapter

1
Supplier Name
Supplier Code
Supplier Address
Auditor Name
Audit Date

Instructions:
Complete the above information in yellow.
For each question below, fill out columns G-I (yellow)
Result Type: Select from the drop down list provided
Supplier Procedure Reference: Provide the specification and section number that provides evidence that your company is compliant to the requirement
Objective Evidence/Comments: Explain how your company is compliant to the requirement. If not compliant, explain why and provide an explanation as to how compliance will be obtained.
Supplier
Question
Category Question Question Guidance Doc Ref AS9100 Ref Result Type Procedure Objective Evidence/Comments
Number
Reference
General 1 Have you reviewed ASQR-01 Appendix 1 to determine what Review Appendix 1 to determine what sections of ASQR-01 are applicable to your company based on the specific types of products ASQR-01, Rev D, 8.2.3
sections of ASQR-01 are applicable to your company? or services provided to Collins Aerospace. Rev 13,
Appendix 1
Within the comments identify what Supply Type is applicable to your company. Note: Within the guidance of all ASQR-01 Form 1
questions, it includes the applicability as determined by ASQR-01 Appendix 1. If you have any questions, contact Collins Aerospace
(i.e., Lead Auditor or through Form 3 - SRI or business unit equivalent).

3.5 Supplier Types

Type 1 - BTP - UTC Collins Aerospace Design Part Manufacturer
Type 2 - Design Responsible Supplier
Type 3 - Distributor (limited to raw material, industry standard, and COTS parts)
Type 4 - Special Process Supplier
Type 5 - Calibration / Laboratory Service Provider
Type 6 - Industry Raw Material / Standard Part Manufacturer

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

General 2 Is your company certified by an IAQG accredited Certification Within the comments, provide the following certification information: ASQR-01, Rev D, 1
Body (CB) to AS9100 / AS9120 / NADCAP AC7004? Certification body: Rev 13,
Last audit date: (mm/dd/yy) 104.1.1
Certificate expiration: (mm/dd/yy)
# of Minor findings:
# of Major findings:

If your company does not currently hold a AS/EN/JISQ 9100 certification or an approved waiver from Collins Aerospace, immediately
fill out ASQR-01 Form 3 or business unit equivalent and submit to Collins Aerospaces that you are doing business with. Collins
Aerospace acceptance is required.

Applicable Supplier Types (ASQR-01 Table A1): 1 2

Sub-Tier Supplier 3 Are all Distributors within your supply chain certified by an Distributor: Organization carrying out the purchase, storage, splitting, and sale of products and not transforming, assembling, or ASQR-01, Rev D, 8.4.1
Control industry accredited body to AS/EN/JISQ 9100, AS/EN/JISQ 9120, otherwise modifying purchased product. Distributors are limited to raw material, industry standard, and Commercial-Off-The-Shelf Rev 13,
ISO 9001, or IATF16949:2016? (COTS) parts. 104.1.2
Note: Suppliers that purchase parts from third parties manufactured against Collins Aerospace proprietary drawings and don’t add
any additional value themselves are NOT considered Distributors - see section 103.5 for more information.

Applicable Supplier Types (ASQR-01 Table A1): 1 3

Sub-Tier Supplier 4 Are all Distributors of metals, electronics, and hardware in the Examine the list of metals, electronics, and hardware Distributors (if any) in use by your company and verify all are on the Qualified ASQR-01, Rev D, 8.4.1
Control supply chain shall be on the RTX QDL unless a directed Distributor Distributor List (QDL) or directed per your purchase order. Rev 13,
is identified on your Purchase Order? 104.1.3
Examine your POs to your sub-tiers for evidence of flow-down of the Qualified Distributor List requirement or as directed through
the purchase order.

For the RTX QDL supplier shall use ASQR-01 Form 9 to request and obtain
approval prior to the use of any Distributor not on the RTX QDL when procuring
metals, electronics, and hardware from a Distributor.

Note: Electronics include electrical, electronic, and electro-mechanical components (e.g., connectors, wire, electronic components,
terminals, lugs, pc boards, semiconductors). Hardware includes fasteners (e.g., nuts, bolts, rivets, washers, pins, screws, clamps,
springs, seals, O-rings, ferrules, fittings). Metals include metallic raw materials (e.g., bar, sheet, plate, tube, wire, forging, casting,
billet, ingot).

Applicable Supplier Types (ASQR-01 Table A1): 1 3

Contract Review 5 Do your procedures state that any verbal agreements or Ensure this requirement is not only documented but is clearly understood by applicable employees working with Collins Aerospace ASQR-01, Rev D, 8.1.2
instructions from Collins Aerospace are not to be construed as product (i.e., Sales, Manufacturing, Shipping). Rev 13,
approval or authorization to proceed (e.g., on items that effect 104.2.1.1
quality, fit, form or function)? Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

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 Supplier
Question
Category Question Question Guidance Doc Ref AS9100 Ref Result Type Procedure Objective Evidence/Comments
Number
Reference
General 6 Are the below documents available to Collins Aerospace in As a general rule, all documentation needed to demonstrate compliance to Collins Aerospace requirements need to be in English, ASQR-01, Rev D, 7.5.2
English? including: Rev 13,
• Quality Manual - Top level QMS documentation 104.2.1.2
• First level Quality procedures - Top level working instructions pertaining to the QMS
• Process documentation requiring Collins Aerospace approval - Process Documentation Requiring Collins Aerospace Approval
• All formal communication - Formal Communication with Collins Aerospace (i.e., ASQR, UTCQR and Collins Aerospace-specific Forms, FAI, UPPAP documents)

Note: In cases where Supplier maintains copies in their native language as well as in English, and there is a conflict, the English
language document shall take precedence.

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

General 7 Are appropriate employees in your company aware of the various
forms for communicating with Collins Aerospace as outlined in
ASQR-01 Table 2 or the business unit equivalent
method/process?
Ensure employees working with Collins Aerospace product are aware of Table 2 Supplier Communication Forms: ASQR-01, Rev D, 8.2.1
- ASQR-01 Form 1: ASQR-01 Audit Checklist Rev 13,
- ASQR-01 Form 2: Process Change Notification 104.2.2.1 &
- ASQR-01 Form 3: Supplier Request for Information 104.2.2.3
- ASQR-01 Form 4: Supplier Work Transfer Request
- ASQR-01 Form 5: Compliance Gap Analysis
- ASQR-01 Form 6: Notice of Potential Quality Escape (NOPQE)
- ASQR-01 Form 7: Delegated Quality Representative (DQR) Candidate Application
- ASQR-01 Form 8: Letter of Agreement, Delegated Quality Representative Program
- ASQR-01 Form 9: UTC Distributor Request
- OR -
SUB equivalent method/process
Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

Manufacturing 8 Do your procedures require notification to Collins Aerospace prior Changes include, but are not limited to: ASQR-01, Rev D, 8.2.1
Production to implementation of any change that may affect quality and/or - Design characteristic Rev 13,
Planning product fit, form or function using ASQR-01 Form 2 or SBU - Manufacturing or assembly process 104.2.2.2
equivalent method/process? - Inspection method
- Tooling
- Materials
- Obsolescence
- Significant change in process flow
- Numerical control program
- Changes in ownership/management
- Company name
- Location of manufacture
Note: This does not include work transfers as defined in section 4.2.3 which requires submittal through ASQR-01 Form 4.

Notification should be provided with adequate time for Collins Aerospace to process the request.

Applicable Supplier Types (ASQR-01 Table A1): 1 4

Manufacturing 9 Does your process require Collins Aerospace notification via As required, ensure Collins Aerospace approval is obtained prior to any change implementation and that the organization’s internal ASQR-01, Rev D, 8.2.1
Production ASQR-01 Form 4 prior to any planned work transfers? QMS requires that the organization does not make any decision to interrupt flow of product or special process from any existing Rev 13,
Planning source until such approval is available. 104.2.3

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 6

General 10 Do your procedures include a provision to notify Collins Notify Collins Aerospace of any AS9100 certification changes through the submittal of ASQR-01 Form 3 or SBU equivalent. ASQR-01, Rev D, 8.2.1
Aerospace of any changes to your AS9100 certification, Rev 13,
registration, or accreditation within 48 hours of receiving Either in a documented procedure or work instruction, there should be instructions for those involved in maintaining your 104.2.5
notification of the change? certification to notify the UTC Collins Aerospace in the event of any change in certification, registration, or accreditation.

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

Configuration 11 Do you have evidence of compliance to the latest revisions of all Within the comments, include the revisions that you have on file for the below specifications. ASQR-01, Rev D, 8.1.2
Management Collins Aerospace Quality Systems requirements (i.e. ASQR, ASQR-01 Rev 13,
UTCQR, and Collins Aerospace-Specific Quality System ASQR-20.1 104.3.1
Requirements)? ASQR-07.5 (where NC/CNC or deliverable Software is involved)
ASQR-09.1 (if providing Flight Safety Parts)
ASQR-09.2 (if PPAP is called out by Collins Aerospace)

Specifications can be found at www.utc.com/suppliers.

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

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 Supplier
Question
Category Question Question Guidance Doc Ref AS9100 Ref Result Type Procedure Objective Evidence/Comments
Number
Reference
Software Control 12 Is your internal software control procedure compliant with the Manufacturing and Test Software: ASQR-01, Rev D, 8.5.1.1
requirements of ASQR-07.5 (including development, operation Software used in the design, analysis, manufacture, inspection, acceptance, test or calibration that has a direct effect on the Rev 13,
and maintenance of Manufacturing, Test and Support Software configuration, conformity or quality of deliverable product (e.g., NC, CMM) 104.3.2
and Deliverable Software) or AS9115 as directed?
Deliverable Software:
Software delivered to an external customer or supplier. This may be airborne, ground based, manufacturing, test and support
software that may be embedded within hardware.
Note: Supplier's software procedures should reference compliance with RTCA/DO-178B as required by ASQR-07.5 for Deliverable
Software.

In order to confirm compliance, use the ASQR-07.5 audit checklist available from www.utc.com/suppliers.

Applicable Supplier Types (ASQR-01 Table A1): 1 2 4 5

Process Control 13 Do you have a documented process for assessing manufacturing Review UTCQR-09.1 or AS9145 (as required by purchase order) for details on meeting requirements for control of variance of key ASQR-01, Rev D, 8.1.1
risks? characteristics. Rev 13,
104.3.3
Tools for assessing manufacturing risks include: MEA, PFMEA, Gage R&R (part-specific), Measurement Correlation studies (different
gage types), Probability of Detection study (usually for NDT), Attribute Assessment Studies, Statistical Process Control, Capability
Analysis, Analyses of Variance / Design of Experiments, other

Applicable Supplier Types (ASQR-01 Table A1): 1 2 4

FOD Control 14 Do you have a documented procedure compliant with AS9146 for FOD: Foreign Object Damage ASQR-01, Rev D, 8.5.4
FOD Prevention Programs, and include cleanliness of Refer to AS9146 to ensure full compliance. Rev 13,
manufacturing processes and residual magnetism as additional 104.3.4
program elements? AS9146 section 4.3.2:
For each area designation, the organization shall establish, implement, and maintain appropriate level of controls that include
Do you have a documented FOD awareness training program in consideration of the following elements:
place for all employees that is compliant with the requirements a. Operations.
of AS9146? b. Training and personnel access.
c. Product protection
d. Housekeeping and clean-as-you-go.
e. Consumables, hardware, personal items accountability, and control.
f. Tool accountability and control

AS9146 section 4.4.2:

The training program shall:
a. Determine the appropriate initial training content.
b. Identify internal employees and external parties (e.g., visitors, contractors, customers) training requirements.
c. Establish training methods (e.g., lecture, electronic)
d. Establish recurring training criteria, content, and intervals.
e. Evaluate training effectiveness (e.g., measuring employee competency, FOd/FOD nonconformities).
f. Maintain documented information of training program compliance

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

Process Control 15 Do your procedures require that changes to manufacturing In general, a "qualified person" will be one that is documented in a procedure or work instruction as having the necessary skills and ASQR-01, Rev D, 7.5
documents and records be recorded, dated and traceable to a authority to make the change in question. Rev 13,
qualified person making the change (e.g., signature, stamp) with 104.4.1
the original data being legible and retrievable after the change? "Manufacturing documents and records" include work instructions, travelers, routers, etc.

Applicable Supplier Types (ASQR-01 Table A1): 1 2 4 5 6

Process Control 16 Do your procedures require record retention periods as defined Ensure documented evidence that records are being kept for a minimum time (from date of manufacture) of: ASQR-01, Rev D, 7.5
by ASQR-01 section 104.4.2 table 3? - 40 years for Flight Safety Parts, Safety Parts, Flight Critical Parts as defined in ASQR-09.1 Rev 13,
- 30 years for Manned Space Program Hardware 104.4.2
- 10 years for all other parts

Ensure that the appropriate retention period(s) are being flowed down to sub-tiers.

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

Managing Non 17 Do your procedures require a root cause and corrective action 9S Methodology: ASQR-01, Rev D, 8.7
Conforming process consistent with the methodology in ARP9136? Having a process in place to detect and remove signiicant and recurrent issues. This includes having a well identified problems, an Rev 13,
Material understanding of their impact on quality, delivery, and cost. 104.5.1

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

Managing Non 18 Do your procedures require that Collins Aerospace is informed Review if there has been any potentially nonconforming hardware shipped to a Collins Aerospace in the last 12 months. Confirm ASQR-01, Rev D, 8.2.1
Conforming within 24 hours of suspect nonconforming product having been that Collins Aerospace was notified via ASQR-01 Form 6 or SBU equivalent within 24 hours of your company being made aware of Rev 13,
Material shipped regardless of destination using ASQR-01 Form 6 or SBU the nonconformance. 104.5.2
eqivalent?
Review recent POs to your sub-tiers specifically related to Collins Aerospace product and ensure there is communication regarding
how to inform you of any potentially nonconforming material.

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

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 Supplier
Question
Category Question Question Guidance Doc Ref AS9100 Ref Result Type Procedure Objective Evidence/Comments
Number
Reference
Process Control 19 Do your procedures include requirements that all rework must Review a rework within the last 12 months and ensure that the procedure is being adhered to. ASQR-01, Rev D, 8.2.1
have specific documented work instructions? Rev 13,
Note: No rework is allowed without formal Collins Aerospace approval for Frozen Process Control parts (e.g., ESA, EFP parts). 104.5.3

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

Inspection 20 Do your procedures require that all affected characteristics are
Program 100% over-inspected after the rework is completed and that the
over-inspection is documented for a minimum of the next three
consecutive manufactured lots?
Review your company's procedure to ensure it clearly identifies the 3 next manufactured lots 100% over-inspection requirement. ASQR-01, Rev D, 8.7
Confirm that effected employees on the shop floor are notified of the additional inspection step. Rev 13,
104.5.4
Review a Collins Aerospace-declared escape within the last 12 months (if possible) and ensure the above process is being adhered
to, including 100% over-inspection of the affected characteristic.

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

Inspection 21 If Collins Aerospace has defined Key Characteristics, has all See UTCQR-09.1 or AS9103 for further details on meeting requirements for control of variance of key characteristics. ASQR-01, Rev D, 8.7
Program required data been shared with Collins Aerospace via the Rev 13,
appropriate Collins Aerospace tool? Applicable Supplier Types (ASQR-01 Table A1): 1 2 4 6 104.5.5

Sub-Tier Supplier 22 Do you maintain a list of approved sub-tier suppliers, including Specifically, ensure your process defines: ASQR-01, Rev D, 8.2.3
Control the type and extent of control exercised over each supplier? - How and by whom are suppliers added or removed from the list of approved suppliers Rev 13,
- A process to evaluate new suppliers 105.1.1
- The regular re-evaluation of existing suppliers and the method and frequency to be used (objective evidence should be in the form
of on-site or mail-in surveys, tracking of AS9100 certification, etc.)

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 5 6

Sub-Tier Supplier 23 Is the requirement to maintain a list of approved sub-tier Objective evidence should be in the form of on-site or mail-in surveys, tracking of AS9100 certification, etc. ASQR-01, Rev D, 8.2.3
Control suppliers flowed down in POs to your sub-tiers? Rev 13,
Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 5 6 105.1.1

Sub-Tier Supplier 24 Do your procedures require that all applicable requirements of Ensure PO flow down to sub-tiers include all applicable requirements of AS/EN/JISQ 9100 and ASQR-01. ASQR-01, Rev D, 8.2.3
Control AS/EN/JISQ 9100 and ASQR-01 are flowed down to your supply Appendix 1 shall be used to determine applicable flow down of ASQR-01. Rev 13,
chain? 105.1.1
Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 5 6

Sub-Tier Supplier 25 Do you conduct training (to include awareness, avoidance, Ensure training records are current for all relevant personnel/positions. Within the comments, identify the relevant ASQR-01, Rev D, 8.1.4
Control detection, mitigation and disposition of suspect/ fraudulent/ personnel/positions. Rev 13,
counterfeit parts) for all relevant personnel/positions involved 105.1.2
with the counterfeit management process? Consult AS5553 or AS6174 for more information.

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

Sub-Tier Supplier 26 Do your procedures govern the prevention and mitigation of the Consult AS5553 or AS6174 for more information. Your fraudulent/counterfeit parts control plan should address the following major ASQR-01, Rev D, 8.1.4
Control use of counterfeit parts per the requirements of AS5553 for topics (as applicable): Rev 13,
electronic components and AS6174 for non-electronic product or - Authentic and Conforming Materiel Availability 105.1.2 &
a Collins Aerospace-specific requirement? - Personnel Training 105.1.3
- Parts Availability
- Purchasing
- Purchasing Information
- Verification of Purchased/Returned Part(s)
- In-Process Investigation
- Failure Analysis
- Material Control
- Reporting
- Post Delivery Support

Note: The use of material and hardware with broken traceability or sourced from a non-authorized supplier is prohibited unless
approved by Collins Aerospace. Supplier shall request and obtain approval using ASQR-01 Form 3 prior to shipment.

Ensure flow down to Collins Aerospaces of your supply chain include a provision for the mitigation of the use of counterfeit parts.

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

First Article 27 Do you have a clear process defined to identify when Examples of when a Partial/Delta FAI is required include: A change in design, manufacturing source, location, method, tooling, ASQR-01, Rev D, 8.5.1.3
partial/delta FAIs are required to be completed per AS9102? material, natural or man-made adverse event, lapse in production, etc. Rev 13,
105.2.1
Applicable Supplier Types (ASQR-01 Table A1): 1 2 6

Process Control 28 Are all parts currently being shipped that are subject to a Collins Review purchase order(s) or drawings for PPAP or AS9145 implementation requirements. ASQR-01, Rev D, 8.5.1.3
Aerospace PPAP requirement have at least a PPAP Interim Rev 13,
Approval granted by Collins Aerospace? 105.2.2
Applicable Supplier Types (ASQR-01 Table A1): 1 2 4 6

Measurement & 29 Is your calibration system compliant to ISO 10012, ISO 17025 or In the comments, identify which standard your company's calibration system is compliant to: ISO 10012 or ISO 17025 ASQR-01, Rev D, 7.1.5.2
Calibration ANSI/NCSL Z540.3? If your internal calibration procedures do not meet one of these standards, provide Collins Aerospace approved Form 3 reference Rev 13,
number. 105.3.1

If calibration is outsourced, this requirement shall be flowed down.

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

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 Supplier
Question
Category Question Question Guidance Doc Ref AS9100 Ref Result Type Procedure Objective Evidence/Comments
Number
Reference
Managing Non 30 Does your process require that Significant-Out-Of-Tolerance Process should include: ASQR-01, Rev D, 8.2.1
Conforming conditions have a documented review of impact on quality, and - Definition of Significant-Out-Of-Tolerance Rev 13,
Material notification to the customer within 24 hours, if product delivered - Identification of product potentially effected 105.3.2
has been effected? - Root cause and corrective action, as applicable
- Appropriate approvals
- A link to your internal non-conforming process

If there have been any Significant-Out-Of-Tolerance conditions in the past 12 months, ensure the impact has been properly
documented and that Collins Aerospace as been notified using ASQR-01 Form 6.

Significant-Out-Of-Tolerance: an out of tolerance condition exceeding 25% of the product tolerance or when measured error of the
monitoring and measuring equipment is greater than two times the calibration tolerance when product tolerance is not known.

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

Measurement & 31 Do your procedures require that monitoring and measuring Review your company's monitoring and measuring equipment accuracy ratio and ensure that the product tolerance to equipment ASQR-01, Rev D, 7.1.5.2
Calibration equipment has a minimum accuracy ratio of 4 to 1 (product tolerance is a minimum of 4 to 1. Rev 13,
tolerance to equipment tolerance)? 105.4.1
If less than 4 to 1 is specified by Collins Aerospace, include compliance details within the comments.

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

Measurement & 32 Have all measurement systems used to measure Key Key Characteristics (KCs): include product features and their associated process elements deemed critical to quality ASQR-01, Rev D, 7.1.5.2
Calibration Characteristics on Collins Aerospace products had an MSA study Rev 13,
completed as defined in UTCQR-09.1 or AS9103? MSA (Measurement Systems Analysis): used to ensure adequacy of the measurement systems used to control KCs 105.4.2

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

Measurement & 33 Do your procedures require compliance to the requirements of Review how Monitoring and Measuring Equipment is selected for Collins Aerospace product and ensure this aligns with AS13003 ASQR-01, Rev D, 7.1.5.2
Calibration AS13003 Table 2 when performing MSA? Table 2 with the following exception: Rev 13,
- The acceptable precision to tolerance ratio (Gage R&R) is ≤ 20% 105.4.3

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

Inspection 34 Do your procedures require on-going verification of visual acuity Ensure that you have records of eye exams for internal employees involved in the listed activities and that they are current. ASQR-01, Rev D, 7.2
Program and color vision for individuals performing product inspection (i.e. Rev 13,
calibration, non-weld, in-process, layout, dimensional)? Within the comments, identify the frequency of verification. 105.4.4

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 5 6

Inspection 35 Does your sampling process meet the requirements of ASQR-20.1 Sampling must conform to the requirements within ASQR-20.1 or AS9138. Review this specification and ensure full compliance or ASQR-01, Rev D, 8.6
Program or AS9138? submit an ASQR-01 Form 3 or SBU equivalent for Collins Aerospace approval of an alternate sampling method. Rev 13,
105.4.5.1 &
Applicable Supplier Types (ASQR-01 Table A1): 1 2 4 6 105.4.5.3

Inspection 36 Do your procedures require 100% inspection for the first 25 Product acceptance inspection shall be 100% for all characteristics until the inspection requirements of ASQR-20.1 have been ASQR-01, Rev D, 8.6
Program production pieces prior to implementing sampling per ASQR-20.1 achieved. To qualify to use a .65% or 2.5% AQL sampling plan, a minimum of 25 consecutive pieces are required to be inspected and Rev 13,
or AS9138? no non-conformances detected, unless otherwise specified in ASQR-20.1 Table B through Table Y or AS9138. 105.4.5.2

Applicable Supplier Types (ASQR-01 Table A1): 1 2 4 6

Inspection 37 Is your company is using an Operator Certification Program or Operator Certification: A method whereby an Operator, with the required training, has the capability to determine the acceptability ASQR-01, Rev D, 8.6
Program other special manufacturing methodologies? or non-acceptability of parts they produce and/or inspect. Rev 13,
105.4.6
Review if your company is using any Operator Certification Program or other special manufacturing methodologies and ensure they
are pre-approved by Collins Aerospace.

Applicable Supplier Types (ASQR-01 Table A1): 1 2 4 6

DQR 38 If your company participates in a Collins Aerospace DQR/DPRV
program, has Collins Aerospace DQR/DPRV program been
included in your internal audit program?
Delegated Product Release Verification (DPRV) Program: A process whereby a supplier is delegated the authority to act on behalf of ASQR-01, Rev D, 8.6
the delegating organization to verify and release products/services (reference AS9117). Rev 13,
105.5.1
Designated Quality Representative (DQR) Program: The DQR program enables a Collins Aerospace-approved supplier representative
to perform over- inspection activities and release product shipments on behalf of Collins Aerospace DPRV program.

Identify which Collins Aerospaces DQR/DPRV program your company participates in. Confirm that all DQRs have current Collins
Aerospace approval for releasing product.

Applicable Supplier Types (ASQR-01 Table A1): 1 2 3 4 6

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 Supplier
Question
Category Question Question Guidance Doc Ref AS9100 Ref Result Type Procedure Objective Evidence/Comments
Number
Reference
DQR 39 If your company has initiated a DPRV program in the past 12 Delegated Product Release Verification (DPRV) Program: A process whereby a supplier is delegated the authority to act on behalf of ASQR-01, Rev D, 8.6
months, is it compliant to AS9117 and AS13001? the delegating organization to verify and release products/services (reference AS9117). Rev 13,
105.5.2
Designated Quality Representative (DQR) Program: The DQR program enables a Collins Aerospace-approved supplier representative
to perform over- inspection activities and release product shipments on behalf of Collins Aerospace DPRV program.

When Supplier has its own DPRV program (i.e., Supplier is the delegating organization), Supplier shall comply with the requirements
of AS9117 and AS13001

Note: simple "skip-lot" incoming inspection plans do not necessarily qualify as DPRV programs.

Applicable Supplier Types (ASQR-01 Table A1): 1 2 6

Special Processes 40 If you are classified as a Special Process Supplier as described in Section 3.5: Special Process Supplier: Supplier that only provides special processes on Collins Aerospace products (i.e., not a part ASQR-01, Rev D, 8.4.1
ASQR-01, is your company's QMS certification AS/EN/JISQ 9100 manufacturing supplier). Rev 13,
or Nadcap AC7004? 105.6.1
Applicable Supplier Types (ASQR-01 Table A1): 4

Special Processes 41 Are Collins Aerospaces of your supply chain that only provide Special Process Suppliers are suppliers that only provide special process services (not part manufacturing suppliers). ASQR-01, Rev D, 8.4.1
special process services Nadcap accredited for: Ensure your company is compliant with any additional Collins Aerospace requirements/approvals before use of a Special Process Rev 13,
- Chemical Processing Supplier. 105.6.2
- Coatings
- Heat Treat Applicable Supplier Types (ASQR-01 Table A1): 4
- Materials Testing Laboratories
- Nonconventional Machining and Surface Enhancement
- Nondestructive Testing
- Welding

Special Processes 42 If you are a Design Responsible Supplier, do you have a The management program should identify and track as a minimum, basic supplier information, types of special process services ASQR-01, Rev D, 8.4.1
comprehensive special process management program in place for provided, and status of Nadcap Approvals (as applicable). This should include active follow-up in the event that Nadcap Rev 13,
the special processes listed in section 105.6.2? certifications are revoked or expire. 105.6.3

Appropriate oversight for non-Nadcap certified suppliers includes, but is not limited to, onsite special process audits, periodic testing
of product, and other means to validate product integrity.

Applicable Supplier Types (ASQR-01 Table A1): 2

Special Processes 43 Are all materials testing laboratories accredited by either Nadcap Review any material testing laboratories used for Collins Aerospace product and ensure they have the appropriate accreditation. ASQR-01, Rev D, 8.4.1
or by signatories to the ILAC? Rev 13,
ILAC: International Laboratory Accreditation Cooperation 105.6.4

Applicable Supplier Types (ASQR-01 Table A1): 1 3 4 5 6

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