Supplier Quality Manual (English) SQM CCS 20170418A

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SUPPLIER QUALITY
MANUAL
Exhibit 1

Revision: May 1 2017
Copyright © 2017 United Technologies Corporation. All rights reserved.

This document does not contain any technical data controlled by the EAR or ITAR

Table of Contents

UTC

Clim ate | Controls | Secu rity QUALITY POLICY

PURPOSE

SCOPE

EXPECTATION S

SUPPLIER QUALIFICATION REQUIREMEN TS

PRODUCTION PART AN D PROCESS QUALIFICATION REQUIREMEN TS

PROCESS CERTIFICATION

N ON -CON FORMIN G PRODUCT

CH AN GE MAN AGEMEN T

10.

TRACEABILITY & QUALITY RECORDS

11.

SUPPLIER GOLD

12.

EN VIRON MEN T, H EALTH & SAFETY

13.

DEFIN ITION S AN D ABBREVIATION S

14.

REFEREN CE MATERIALS

15.

APPEN DICES

16.

ATTACH MEN TS: SAMPLE FORMS FOR GUIDAN CE

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1. QUALITY POLICY
UTC Climate | Controls | Security is committed to achieve the highest level of quality products and services necessary to
ensure delighted customers. We are a world-class provider of quality HVAC, refrigeration, building controls, fire prevention,
detection & suppression, and security solutions. We do this through excellence in innovation and design, product realization and
post sales services through the use of the ACE Operating System.

Su p p liers p lay an integral role in ensu ring the qu ality and cost effectiveness of Climate | Controls | Security System s
p rod u cts and shall com p ly w ith all requ irem ents d efined in this m anu al or com m u nicated otherw ise.

2. PURPOSE
This m anu al d efines the initial and on -going requ irem ents for su p p lier qu ality system s and p erform ance .
N ote: UTC Clim ate | Controls | Security w ill be know n as CCS for purposes of this m anual.

3. SCOPE
This Su p p lier Qu ality Manu al ap p lies to all su p p liers that p rovid e p rod u ction m aterial , d eliverable softw are,
su p p lier d esigned p rod u cts w hich are incorp orated into a CCS assem bly/ p rod u ct, finished good s brand ed by CCS
and p rod u ct related services to CCS facilities. Fu rther the SQM ap p lies to internal su p p liers w ithin United
Technologies and CCS (i.e. CCS ow ned su p p liers and Joint Ventu res (JV’s). Ind ivid u al CCS p lants m ay have
ad d itional p lant-sp ecific requ irem ents and w ill establish sp ecific p rocesses for carrying ou t these requ irem ents. If a
conflict exists betw een the requ irem ents p resented in this m anu al and ind ivid u al p lant requ irem ents, the m ore
stringent requ irem ents w ill ap p ly.

4. EXPECTATIONS
4.1. Purchased Products and Product Related Services
Shall Comply w ith Established Specifications and
Requirements, including:
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Draw ings that ap p ly to the sp ecific p rod u ct or service.
Engineering sp ecifications and / or reliability requ irem ents that ap p ly to the com m od ity or
sp ecific p art.
Material sp ecifications that ap p ly to the p rod u ct or service
Ap p licable Regu latory / Ind u stry stand ard s.
CCS ap p roved changes or d eviations.
Established Com m ercial Agreem ents

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4.2. Suppliers are required to:
1.

Dem onstrate and m aintain com p liance to, all d ocu m ented requ irem ents, inclu d ing d esign p erform ance,
reliability, p rocess control, and cap ability.

Provid e resou rces to p articip ate in p rod u ct qu ality p lanning

H ave a change control system that reacts to changes in a tim ely and accu rate fashion . In all cases, acqu ire
w ritten ap p roval prior to im p lem enting any change that m ay im p act form , fit, fu nction, interchangeability or
reliability. This shall inclu d e m anu factu ring p rocesses, qu ality stand ard s for p rod u ct accep tance, and testing
requ irem ents.

H ave a d ocu m ented qu ality system in p lace w hich ad d resses all stages of p rod u ct / p rocess d evelop m ent,
m anu factu ring and d elivery. Su p p liers m u st agree to on-site qu ality system assessm ents and valid ation as
requ ested .

Maintain p rocess, p rod u ct and service d ocu m entation.

Dep loy exp ectations and controls equ ivalent to those p resented in this d ocu m ent to su b-tier su p p ly chain.

Be accou ntable for qu ality of all su b-tier su p p liers inclu d ing “d irected -bu y” sou rces.

Maintain the exp ertise and resou rces to p erform effective root cau se analysis and im p lem ent tim ely
corrective and p reventive action.

Provid e notification of any and all situ ations that m ay negatively im p act the su p p lied p rod u ct’s qu ality,
reliability, and safety; d esign and / or p rod u ction; or any other m atter d escribed in this m anu al.

10. Be accou ntable for the im p act of p oor qu ality on CCS and its cu stom ers.
11. N otify CCS of any cond ition or change that has im p act on UTC’s environm ental/ su stainability com m itm ents
or regu latory requ irem ents.
12. Fully com p ly w ith the UTC Cod e of Ethics and Su p p lier Cod e of Cond u ct.
13. Maintain a self-au d it system w hich ensu res com p liance of all the above.

4.3 Communications
In general the follow ing contact p oints shou ld be u sed :

Primary Contact – For all issu e regard ing su p p ly chain and p rocu rem ent activity contact you r bu yer
Product/Part Quality – For all issu es regard ing p rod u ct qu ality, contact Su p p lier Qu ality
Assu rance (SQA) p ersonnel at the u sing CCS site

Ethics concerns — UTC m aintains a contact site for su p p liers w ho have qu estions or issu es related to the
Cod e of Ethics. The follow ing link is accessible for su p p liers to m ake d irect contact w ith an ind ep end ent
om bu d sm an to assist in resolu tion of concerns. Visit:
http :/ / w w w .u tc.com / H ow -We-Work/ Ethics-And -Com p liance/ Pages/ Om bu d sm an -Program .asp x

4.4 Supplier Information
N ew su p p liers to CCS m u st p rovid e general inform ation inclu d ing
DUN S nu m ber by factory qu alifying for p rod u ction
A list of key su p p lier contacts by qu alifying factory location
A cop y of

their 3rd . p arty Qu ality System certificate

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5. SUPPLIER QUALIFICATION REQUIREMENTS
Su p p liers shall establish and m aintain a Qu ality Managem ent System that ensu res p rod u ction m eets all cu stom er
requ irem ents and exp ectations

5.1. Quality System
All su p p liers shall m aintain an effective d ocu m ented qu ality system that com m u nicates, id entifies,
coord inates and controls all key activities necessary to d esign, d evelop , p rod u ce and d eliver a qu ality p rod u ct or
service.
All su p p liers m u st be certified / registered to one of the follow ing international qu ality m anagem ent stand ard s by a
recognized ind ep end ent certified 3rd p arty registrar:
Qu ality Managem ent System s – Requ irem ents

ISO 9001
ISO/ TS16949

Qu ality Managem ent System s – Au tom otive Requ irem ents

SAE AS9100

Qu ality Managem ent System s – Aerosp ace – Requ irem ents

Excep tions to m aintaining 3rd . p arty registration w ill be m anaged on a case by case basis. A CCS factory qu ality
m anager, w ith concu rrence from all other CCS sites u sing this sam e su p p lier location, m ay w aive 3rd . p arty
registration. In su ch cases an onsite Q+ au d it m u st be com p leted . Su p p liers m ay be requ ired to reim bu rse CCS for
the cost of cond u cting these au d its.
N ote: Su p p liers m u st notify CCS im m ed iately if their third p arty registration exp ires or is revoked .
CCS reserves the right to:

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Verify Su p p lier qu ality system s w ith an on -site au d it
Verify a su p p lier’s com p liance to an ap p licable qu ality stand ard
Cond u ct a Q+ au d it in lieu of, and / or in ad d ition to, third p arty certification
Disqu alify su p p liers based on su bstand ard p erform ance. In su ch cases, fu ll requ alification w ill be requ ired
p rior to resu m ing bu siness.

5.2. CCS Quality System Assessment
Q+ is the qu ality system s assessm ent/ su rvey u sed by CCS. It consists of a self-assessm ent and an on-site au d it
cond u cted by CCS. This w ill be u sed by CCS only in situ ations referenced in section 5.1.
Both the Q+ Self-Assessm ent and Su rvey criteria are intend ed to assess a su p p lier’s qu ality system , p rocess control
cap ability, as w ell as assist the su p p lier to id entify strengths, w eaknesses, and / or areas requ iring im p rovem ent.

Q+ Self-Assessment
When requ ired , the self-assessm ent shall be com p leted by su p p liers ind ep end ently and evalu ated by CCS. The
criteria generally follow s ISO 9001 ad d ing sp ecific requ irem ents to ensu re effective p rocess control and qu ality
resu lts. Su p p liers com p leting self-assessm ents shall su bm it action p lans to im p rove any section not m eeting
m inim u m requ irem ents. CCS reserves the right to p erform an on -site Q+ au d it based on the resu lts of
self-assessm ents.

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Q+ Survey
This on-site su rvey consists of variou s qu ality system and p rocess control categories and is intend ed to p rovid e a
fair ap p raisal of the su p p lier’s qu ality system , p rocess controls, and com m itm ent to qu ality at the tim e of the
su rvey.
From tim e to tim e CCS w ill revise this su rvey to incorp orate new qu ality system requ irem ents.

5.3 Process Audits
CCS m ay cond u ct a p rocess qu alification au d it at the su p p lier’s m anu factu ring facility. This au d it focu ses on the
sp ecific p rocess qu ality controls that the su p p lier has in p lace for the p ro d u cts being m anu factu red for CCS, as
w ell as p art/ com m od ity sp ecific p rocess requ irem ents. Ad d itionally, CCS reserves the right to cond u ct su ch an
au d it at su b-tier su p p liers
Su ch au d its shall not relieve the su p p lier’s resp onsibility to p rod u ce and d eliver d efect -free p arts.

6. PRODUCTION PART & PROCESS QUALIFICATION
REQUIREMENTS
Part Qu alification ensu res that the p art is cap able of m eeting technical/ p erform ance requ irem ents. Process
Qu alification ensu res that the sp ecific m anu factu ring p rocesses in p lace w ill p rod u ce a p art of consistent and
accep table qu ality.
All p rod u ction p art sam p le su bm issions shall be in accord ance w ith Prod u ction Part Ap p roval Process (PPAP )
General requ irem ents for each PPAP level can be fou nd in Ap p end ix 1. The CCS u sing site w ill d efine a PPAP level
1-5 to be su bm itted . PPAP requ ests w ill be m ad e u sing the PPAP Requ est Sheet Attachment 2 or by sim ilar m eans.
N OTE: Com m ercial Off-The-Shelf item s (COTS), w hen m eeting the d efinition p rovid ed in section 13, m ay not requ ire
PPAP su bm ission. Su p p liers of COTS shou ld contact their sp ecific u sing CCS site(s) to ensu re local requ irem ents are
ad hered to.
PPAP submission should be made as far in advance of production start-up as possible, working to a date agreed to
with the CCS using site.
NOTE: Check with your using CCS Business Unit for any specific timing guideline for PPAP submission
Suppliers shall not ship production parts until a Full or Interim approval is received from CCS via a signed Parts
Warrant (PSW) Attachment 1. In the case where Full approval is not granted, CCS will advise the supplier of the areas
of concern. The supplier must make corrections and resubmit for disposition.
At CCS’s d iscretion, any or all of the PPAP item s m ay be review ed on -site at the su p p lier’s facility as p art of a
p rocess qu alification au d it.
PPAP Warrant Validity
Unless otherw ise sp ecified on the PSW, ap p roval is valid for the life of the contract or u ntil revoked by CCS.
Ad d itionally, shou ld one of the follow ing cond itions occu r, the su p p lier must notify CCS prior to first production
shipment:
 Correction of a d iscrep ancy on a p reviou sly ship p ed p art.
 Prod u ct m od ified by an engineering change to d esign record s, sp ecifications, or m aterial on an ap p roved
Prod u ct Change Au thorization (PCA).
 Use of an op tional p rocess or m aterial than w as u sed in a p reviou sly ap p roved p art.



Prod u ction from new or m od ified tools (excep t p erishable tools), d ies, m old s, p atterns, inclu d ing ad d itional
or rep lacem ent tooling.

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Prod u ction follow ing refu rbishm ent or rearrangem ent of existing tooling or equ ip m ent
Prod u ction follow ing any change in p rocess or m ethod of m anu factu re to inclu d e changes in lu bricants,
m old release agents, or other p rocess solu tions
Prod u ction from tooling and equ ip m ent transferred to a d ifferent p lant location or from an ad d itional p lant
location
Change of sou rce for su bcontracted p arts, m aterials or services (for exam p le, heat treating,
p lating)
Prod u ct re-released after the tooling has been inactive for volu m e p rod u ction for tw elve (12)
m onths or m ore.
Follow ing a CCS requ est to su sp end ship m ent d u e to a su p p lier qu ality concern
Any other activity that w ill resu lt in a change to the su p p lier’s Control Plan (CP)
Loss or revocation of 3rd . p arty qu ality system registration.

The su p p lier w ill u tilize a Su p p lier Deviation Requ est (SDR), A ttachment 9, to notify CCS shou ld any
of the above events occu r. The SDR w ill be review ed by CCS; a fu ll or p artial PPAP resu bm ission m ay be requ ired .
Shou ld resu bm ission be requ ired , the u sing site w ill com m u nicate the level to be su bm itted .
Full or Interim approval, in w riting, must be granted prior to first production shipment.

PPAP Level
CCS requires part approval to different levels (1-5) depending on the purpose for the PPAP submission.

PPAP Level Definitions:
Level 1
Part Submission Warrant (PSW) only submitted to the customer.
Level 2
PSW with product samples and limited supporting data.
Level 3
PSW with product samples and complete supporting data.
Level 4
PSW and other requirements as defined by the customer.
PSW with product samples and complete supporting data available for review at
Level 5
the supplier's manufacturing location
N OTE: Level 3 is the d efau lt level u nless otherw ise sp ecified . PPAP d ocu m entation m u st be retained p er
su bm ission table (ap p end ix 1) and section 10 ”Record s”
N OTE: Dep end ent u p on p rogram requ irem ents the u sing Bu siness Unit m ay requ ire a Ru n -at-Rate cap acity stu d y to
be com p leted . The p rogram Su p p lier Qu ality Engineer w ill p rovid e the sp ecifics shou ld a Ru n -at-Rate stu d y be
requ ired .

6.1 Annual Product Revalidation
All su p p liers on a yearly basis m u st com p lete a fu ll d im ensional verification to sp ecification, ProCert su m m ary for all
id entified Key Characteristics and obtain cu rrent m aterial certification(s). Su p p liers shall retain these record s for
release to the CCS u sing site if requ ested .
N OTE: see section 7 regard ing ProCert d ata su bm issions as requ ested by CCS Qu ality rep resentatives.
When sp ecified by a CCS Bu siness Unit, a com p lete annu al layou t insp ection and PPAP d ata p ackage su bm ission is
requ ired . Su p p liers shall revalid ate p arts/ com p onents/ m aterials and be able to p rovid e resu lts to the requ esting
CCS site w ithin one (1) w ork w eek of the requ est. [Shou ld tests be requ ired taking longer than one (1) w ork w eek,
arrangem ents m u st be m ad e w ith the site requ esting the revalid ation] Those characteristics, notes and tests that w ill
be p art of the revalid ation m u st be d esignated at the tim e of PPAP ap p roval.

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7. PROCESS CERTIFICATION (ProCert)
Process Certification is CCS’s methodology to achieve and sustain statistically controlled and capable processes
for manufacturing, business, support, maintenance, assembly, and test. ProCert follows a prescribed
methodology, employing a set of standard quality tools to stabilize process output, reduce its variation and
drive continuous improvement.
Su p p liers are requ ired to im p lem ent ProCert in their m anu factu ring p rocesses to ad d ress all key characteristics
d efined by CCS. Other m ethod ologies, sim ilar to ProCert m ay be u sed w hen ap p roved by CCS, p rovid ing they m eet
the requ irem ents ou tlined in Ap p end ix 2
N OTE: Su p p liers w ill be requ ested to su bm it ProCert d ata to CCS, sp ecific requ irem ents w ill be com m u nicated
throu gh the assigned CCS Qu ality rep resentative.
Su p p liers are encou raged to id entify ad d itional key characteristics beyond those d efined by CCS. This shou ld take
into consid eration, finished p art characteristics, u p stream p rod u ct characteristics and p rocess p aram eter controls .
Suppliers w ith D esign responsibility MUST identify key characteristics in addition to any identified by CCS
All id entified key characteristics m u st m eet the p rocess certification requ irem ents, or other sim ilar ap p roved
m ethod ologies, as d efined in Ap p end ix 2 – Process Certification.
All KC’s m u st achieve Milestone 4 (Certified KC’s / KPC’s) at tim e of PPAP su bm ission. At a m inim u m Milestone 3
(Process Control) m ay be accep ted at PPAP p rovid ing there is a CCS ap p roved containm ent p lan in p lace.
On-going control for all KC’s m u st u se Statistical Process Control (SPC) or ap p roved m istake p roofs. The typ e and
frequ ency of SPC or m istake p roof shall be d ocu m ented on the Control Plan and agreed to w ith the u sing CCS site.
All gages u sed to evalu ate and control Key Characteristics m u st d em onstrate ad equ ate rep eatability and
rep rod u cibility.

Key Characteristic (KC) (see section 13 for all definitions)
A key characteristic is any featu re of a m aterial, p rocess, p art, assem bly, or test, w hose variation w ithin or ou tsid e
the sp ecified requ irem ent has a significant influ ence on p rod u ct fit, p erform ance, service life, m anu factu rability,
inform ation, service or other exp ected d eliverable.
CCS w ill d efine the key characteristics w hich the su p p lier need s to certify. Key Prod u ct Characteristics (KPC’s) w ill
be com m u nicated throu gh variou s m ethod s, inclu d ing:
 N otations and / or sym bols d ocu m ented on CCS engineering d raw ings and sp ecifications
 Written com m u nication based on know n p rocess issu es, p rod u ction p roblem s or field p roblem s.
The variou s sym bols u sed on CCS d ocu m ents to signify Key Prod u ct Characteristics are show n below :
SAFETY- A feature is classified as Critical to Safety if it creates a substantial risk of
injury, property damage, illness, product damage, environmental damage,
and or contamination, if not produced within its prescribed acceptance limits

FUNCTION- A feature will be classified as Critical to Function if it can lead to significant
reliability problems, performance issues or probable cause for rendering unit inoperable
or not meeting customer requirements, and expectations if not produced within its prescribed
acceptance limits.

PROCESS- A product feature identified by manufacturing and determined to be of high risk
due to number of producers or it’s variation within prescribed limits has a significant
impact on the ability of the part, component, unit, or options to meet fit, assembly, installation
or test requirements.

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Ad d itionally, som e old er d raw ing s m ay contain other sym bols to d enote key characteristics. Refer to Ap p end ix 2.
NOTE:
KCs id entified on the d raw ing / d esign d ocu m ents u sing sym bols X, F and P are called KPCs (Key Prod u ct
Characteristics). All ProCert requ irem ents for KCs equ ally ap p ly to KPCs

7.1 Alternate Means of Control (AMC)
AMC (Alternate Means of Control) are typ es of qu ality controls that m ight be requ ired w hen noted on CCS d raw ings
or CCS sp ecifications. When d raw ings/ sp ecifications id entify featu res and / or cond itions that requ ire sp ecific
AMC controls, the p rod u cer w ill be p rovid ed w ith d etailed instru ctions from the CCS ord ering entity as to w hat is
the requ ired AMC m ethod as w ell as how record s and objective evid ence of com p liance is m aintained .
Exam p les of AMC controls m ay inclu d e, bu t are not lim ited to
Traceability- Prod u cts, Com p onents, Material
Over-insp ection (over-insp ect)
100% Insp ection by a Certified Op erator or Insp ector
Certificate of Conform ance or Material Certification
In-p rocess Mistake Proofs
The follow ing are illu strative step s su p p liers m ay be asked to com p lete as p art of AMC:
 Measu rem ent system analysis related to the item id entified as requ iring AMC
 Docu m entation of AMC as p art of the control p lan as w ell id entification of Key Inp u ts that im p act the qu ality
resu lts of the AMC.
 A valid ation of the control m ethod for AMC
 A verification that the control m ethod associated w ith the AMC is su stainable

7.2 Layered Process Audits
To assu re on-going integrity of ProCert efforts, su p p liers shall cond u ct p eriod ic internal p rocess au d its to ensu re
continu ed conform ance w ith stand ard w ork instru ctions, control p lans and p rocess stability / cap ability. Com p liance
w ith im p lem ented p rocess controls and verification of m istake p roofs m u st be inclu d ed in the au d it. (reference
Layered Process Au d its in section 13 glossary)

8. NON-CONFORMING PRODUCT
Und er no circu m stances shall a su p p lier ship non -conform ing p rod u ct w ithou t first receiving w ritten
au thorization from CCS.
The follow ing sections id entify and exp lain key qu ality requ irem ents that are ap p licable for non -conform ing
p rod u ct.

8.1. Warranty
Sp ecific w arranty obligations of su p p liers are p rovid ed in the Com m ercial Contract in force betw een the su p p lier and
CCS.

8.2. Supplier Identified Non-conforming Product
The su p p lier m ay find p rod u cts, throu gh their qu ality control p rocesses or from rep orts by other cu stom ers,
w hich w ere p rod u ced ou tsid e of sp ecifications. The su p p lier is exp ected to im m ed iately:
 Segregate these p rod u cts and d eterm ine if this error m ay have occu rred , u nd etected , in earlier p rod u ction.
 In the follow ing situ ations notify CCS u tilizing the Su p p lier Deviation Requ est (SDR):
-If the non-conform ance affects form , fit or fu nction of the p art.
-If there is likelihood that non -conform ing p rod u ct had ‘escap ed ’ the factory.
-If the non-conform ing p rod u ct w ill affect d eliveries to CCS.
-In all cases w here a rep ort of non -conform ing p rod u ct is received from a cu stom er, w here CCS is u sing a
sim ilar p art.

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The su p p lier is resp onsible for the segregation and qu arantine of nonconform ing m aterial. N on –Conform ing
m aterials shall not be ship p ed u nless u ntil a d eviation is granted . Discrep ant m aterial received at CCS w ithou t an
ap p roved SDR w ill be rejected and retu rned to the su p p lier w ith all extra hand ling and ship p ing costs incu rred by
the su p p lier. N o d iscrep ant m aterial w ill be p rocessed u ntil a d eviation is ap p roved b y all requ ired CCS p ersonnel.

8.3. CCS Identified Non-conforming Product
The follow ing p aragrap hs d escribe requ ired activities w hen non -conform ing m aterial is d iscovered by CCS.

Non-Conformances Found Prior to Release to Customer
In the event su p p lier-resp onsible non-conform ances are d iscovered by CCS p rior to release to the cu stom er, the
p arts/ com p onents in qu estion w ill be id entified and segregated to p reclu d e fu rther u se.
The evalu ation, of the non-conform ance w ill d eterm ine w hether:
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Defects are accu m u lated and retu rned to su p p liers in accord ance w ith p lant p roced u res.
Su p p lier sorts d efects at CCS.
Su p p lier rew orks d efects at CCS.
Su p p lier contracts 3rd p arty to com p lete insp ections at CCS or at a local off-site location.
Contingent on contract sp ecifics, CCS rew orks d efect and charges su p p lier for rew ork costs.

Su p p liers are exp ected to reim bu rse CCS for all costs associated w ith qu ality escap es inclu d ing bu t not lim ited to a
m inim u m stand ard charge for p rocessing each escap e.
Su p p liers w hose 6 -m onth d efect rate (PPM) exceed s the su p p lier gold p erform ing level requ irem ents (reference
section 11) m ay be requ ired to su bm it a form al im p rovem ent p lan. In ad d ition, CCS m ay requ ire third p arty
insp ection to be im p lem ented at the su p p lier’s exp ense at an ind ep end ent location or, have su p p lier rep resentation at
the CCS site to su p p ort im p rovem ent efforts.

Field Failure
The w arranty obligations of su p p liers for non -conform ing p arts d iscovered in the field , as w ell as their d isp osition,
shall be sp ecified in the com m ercial contract in force betw een the su p p lier and CCS.
If a critical field failu re issu e has been id entified , a d eterm ination of the next step s in the p rocess w ill be m ad e based
on several criteria inclu d ing the failu re’s criticality, qu antity, cost, and other factors. Based on this evalu ation CCS
m ay requ ire:
 Defective p arts to be rep aired / rep laced in the field by CCS.
 Defective p arts be rep aired / rep laced in the field by su p p lier.
 Prod u ct be recalled , and rep aired or rep laced . In all cases listed above, su p p liers are exp ected to reim bu rse
CCS for all costs associated w ith correcting field failu res, and for any other costs im p osed on CCS becau se of
su ch failu res.

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Page 10

8.4 Non-Conformance / Corrective Action Reports (CAR)
The need for a form al CAR w ill be evalu ated in term s of p otential im p act u p on p rod u ction costs, qu ality costs,
p erform ance, reliability, safety, and cu stom er satisfaction. CCS requ ires su p p liers to su bm it a form al w ritten
corrective action p lan to ad d ress sp ecific non -conform ances id entified at either a p lant or in the field u sing the
electronic Global 8D Corrective Action Rep orting system attachment 10. When CCS issu es a requ est for corrective
action, the su p p lier w ill be notified via an e-m ail link from ou r host server.
Su p p lier resp onse to corrective action requ ests m u st inclu d e root cau se d eterm ination, containm ent action
(short-term corrective action), and p erm anent (long-term ) corrective action. As p art of the corrective action, a
d efined im p lem entation p lan w ith im p lem entation d ates m u st be inclu d ed , as w ell as d isp osition of su sp ect m aterial.
N OTE: it is exp ected su p p liers consid er m istake-p roof solu tions in all corrective actions
Containm ent action (step s D1-D3) shall be com m u nicated to CCS w ithin 24 hou rs of receip t of corrective action
requ est. Failu re Analysis, lead ing to the root cau se d eterm ination , shall be com p leted w ithin a reasonable tim e p eriod
agreed to w ith the CCS issu ing site. The 8D w ill not be consid ered com p lete u ntil p rop osed corrective and p reventive
action has been ap p roved by CCS.

9. CHANGE MANAGEMENT
After p rod u ction (PPAP) ap p roval, su p p liers m u st not m ake any p rod u ct or p rocess changes w ithou t p rior w ritten
notification and ap p roval from CCS. This requ irem ent also ap p lies to su b-tier su p p liers.
Changes are d efined as alteration in the p rod u ct d esign, p rod u ction sp ecification, p u rchased p arts, m aterial or
services, m anu factu ring location, m ethod of m anu factu re, testing, storage, p ackaging p reservation or d elivery.
N OTE: This m u st inclu d e any changes to softw are, firm w are or any p rogram ing incorp orated into the p rod u ct sold
d irectly to or throu gh CCS.
NOTE: Check with your using CCS Business Unit for any specific advance timing guidelines for change notification
For a p erm anent p rod u ct change, CCS reserves the right to requ alify the p rod u ct. Su p p lier Deviation Requ est
(SDR) form s are u sed to com m u nicate all requ ests for d eviation and p rocess changes both tem p orary and
p erm anent.

9.1. Supplier Deviation Request (SDR)
Prior to ship p ing any non -conform ing p rod u ct or p rod u ct p rod u ced by a p rocess d ifferent than w hat w as in p lace
at the tim e of the PPAP, su p p liers m u st su bm it a w ritten SDR attachment 9 to their CCS Pu rchasing contact (Bu yer)
for ap p roval.
SDR requ ired inform ation:
The cu rrent p rocess/ p rod u ct
1. The p rop osed d eviations/ changes
2.

Prop osed test p lan for qu alification and valid ation

The reason for d eviations/ non -conform ances w ith su p p orting d ata.

State w hether the change in qu estion is p erm anent or tem p orary. ”Tem p orary” changes m u st inclu d e a fixed
qu antity of p arts or tim e d u ration w hich the SDR w ill be in effect for.

Mitigation p lans to ad d ress an y risks d u e to the p rocess change/ nonconform ing p rod u ct

Detailed list of p art nu m bers inclu d ing p art d escrip tion by u sing CCS site(s)

Discrep ant m aterial received at CCS w ithou t an ap p roved SDR w ill be rejected and retu rned to the su p p lier at the
su p p lier’s exp ense w ith all ad d itional hand ling and ship p ing cost s incu rred by the su p p lier.

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Page 11

Once ap p roved , all m aterial ship p ed to CCS m u st be accom p anied by a cop y of the ap p roved SDR. CCS reserves
the right to requ est a w ritten corrective action p lan via a Corrective Action Rep ort (CAR).
If ap p roval is not granted , the reason for d isap p roval w ill be su m m arized on the requ est form and retu rned to the
su p p lier .
SDRs shall not be u sed to cover u p or rep lace the lack of p rop er qu ality system s or controls at the su p p lier location.
CCS view s excessive u se of SDRs for non -conform ing m aterial as an abu se and an ind icator that a su p p lier m ay have
a seriou s breakd ow n in their qu ality system .

9.2. Product Deviation / Change
In certain instances, it m ay be necessary for the su p p lier to d eviate from CCS requ irem ents and
sp ecifications.
When changes d o not affect fit, form or fu nction, an SDR m ay be su bm itted for the follow ing:
• N on-conform ing m aterial fou nd at the su p p lier’s facility.
• To requ est su bstitu tion of m aterial.

9.3. Process Deviation / Change
Process d eviations are requ ired for any changes to p rocess d ifferent than w hat w as in p lace at the tim e of the
PPAP ap p roval.
CCS exp ects su p p liers to constantly strive to im p rove qu ality and red u ce p rocess variation throu gh system
im p rovem ents. To achieve these goals, su p p liers m ay requ ire p rocess d eviations, either tem p orary or p erm anent d u e
to d esign changes or other u nforeseen circu m stances (su ch as changes in equ ip m ent/ tooling, changes in critical
su b-su p p liers, etc.).
CCS m ay requ ire the su p p lier to m aintain a safety stock of p rod u ct p rod u ced u nd er the original p rocesses for a
p eriod w hile d eliberate changes are p roven ou t. This safety stock can norm ally be u sed later for p rod u ction.
Work transitions from one m anu factu ring p lant to another requ ire early notification to CCS p u rchasing throu gh the
su bm ission of an SDR. Su p p liers m aking su ch transitions shall m anage these m oves in com p liance w ith CCS
exp ectations. Exp ectations can inclu d e, bu t are not lim ited to, m aintaining a safety stock, p re and p ost m ove
cap ability assessm ent and requ alification of the p rod u ct from the receiving facility .

10. TRACEABILITY & QUALITY RECORDS
Traceability:
Item s requ iring traceability w ill be id entified d u ring the d evelop m ent p hase of a p roject. Where traceability is
requ ired , CCS w ill w ork w ith su p p liers to d evelop an accep table system . The requ irem ent for traceability w ill be
com m u nicated to su p p liers throu gh sp ecifications and d raw ings. Pu rchase Ord ers w ill incorp orate the requ irem ent.
Records:
Su p p lier’s certification, p rocess, test and / or insp ection d ata shall be p rovid ed to CCS u p on requ est. Record s shall be
retained by the su p p lier for a ten (10) year p eriod after d elivery of the relevant p rod u cts. This requ irem ent d oes not
su p ersed e any governm ental or regu latory requ irem ents for record s retention. Any excep tions shou ld be brou ght to
the attention of CCS by su bm itting an SDR.
Certain d ata m ay be requ ired to be inclu d ed w ith p rod u ct ship m ent. This w ill be agreed to w ith the u sing CCS site
qu ality d ep artm ent.

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11. SUPPLIER GOLD PROGRAM
UTC’s Su p p lier Gold Program is a m ethod to d ifferentiate su p p liers cu rrently op erating w ith high d elivery and
qu ality p erform ance levels. It is a m eans of recognition for significant continu ou s im p rovem ent efforts and
achievem ents of ou r su p p liers w ho have achieved w orld -class levels of p erform ance.
The p rogram tracks fou r levels of p erform ance. All su p p liers in the p rogram are exp ected to be at the “Perform ing”
or “Gold ” levels. Su p p liers w ho are not op erating at least to the “Perform ing” level shall p rep are an im p rovem ent
p lan for review w ith CCS.

Quality

High Volume
(PPM)

Gold

(c )

Performing

<500

Progressing

<1,500

Underperforming

≥1,500

(a)

Delivery
(OTD)

(a)

Sustainment of
Performance

Supplier
Health
Assessment
(SHA)

Customer
Satisfaction

Low Volume (b)
(Escapes)

0*
≤ 5 or
<500 PPM
≤ 15 or
<1500 PPM

>15 and
≥1,500 PPM

100*

12 Months

≥6.0

≥80% for 4
categories
+ pass all Gold
questions

≥95%
>85%

≤85%

1) Last 6 consecutive
months
or
2) 12 of the last 18
months unless last 3
consecutive months
≥ Progressing

Ad d itional inform ation m ay be obtained on the “Su p p liers” p age at UTC.com

12. SUSTAINABILITY
UTC has established 2020 Su stainability goals for Gold Level su p p liers. These goals are a continu ation and exp ansion
of a form al environm ent, health and safety (EH &S) im p rovem ent goals p rogram first begu n at UTC in 1992. These
su stainability requ irem ents w ill be p hased in over the com ing years as noted below .
UTC has established eleven su stainability p rogram requ irem ents for Gold level su p p liers:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.

Su p p lier
Su p p lier
Su p p lier
Su p p lier
Su p p lier
Su p p lier
Su p p lier
Su p p lier
Su p p lier
Su p p lier
Su p p lier

has cod e of cond u ct for ethics and su stainability ap p rop riate for its bu siness (2017)
has form al CEO or Board level com m itm ent to continu ou s EH &S im p rovem ent (2017)
u ses an ap p rop riate, w ritten w orkp lace EH &S m anagem ent system (2017)
has a cu rrent inju ry incid ent rate < 3.0 (2017)
u ses root cau se analysis follow ing all seriou s or fatal inju ries (2017)
has d em onstrated annu al im p rovem ents in its u se of energy (2017)
has form al EH &S goals (2018)
has d em onstrated annu al im p rovem ents in w orkp lace safety (2018)
has d em onstrated annu al im p rovem ents in its u se of w ater (2018)
inclu d es attainm ent of form al EH &S goals in execu tive com p ensation (2019)
has d em onstrated annu al im p rovem ents in its w aste recycling rate (2019)

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Page 13

13. GLOSSARY: DEFINITIONS AND ABBREVIATIONS
8D
A p roblem solving p rocess d evelop ed by Ford Motor Com p any. The nam e “8D” originates from the fact there are
eight d iscip lines associated w ith this p roblem solving form at. CCS has ad op ted the 8D form at to be u sed for both
internal and external p roblem solving activities.
ACE
Achieving Com p etitive Excellence: is the op erating system for UTC and CCS. ACE is a cu stom er-focu sed ,
p rocess-based m ethod ology for achieving higher levels of cu stom er satisfaction and bu siness p erform ance.
Capabilit y
. The ability of a p rocess to p rod u ce ou tp u t w ithin sp ecified lim its. “Im p roving p rocess cap ability” involves taking
step s to lim it the am ou nt of variation to d efined accep table lim its.
Capabilit y Index
The com p arison of available tolerance to the p ortion of the tolerance consu m ed by a p rocess in a state of statistical
control.
Cpk
The cap ability ind ex, w hich accou nts for p rocess centering and is d efined as the m inim u m of CP Up p er (C p u )
or CP Low er (C pl). It relates the scaled d istance betw een the p rocess m ean and the closest sp ecification lim it to half
the p rocess sp read .
Cpl
Measu res how close the p rocess m ean is ru nning to the low er sp ecification lim it.
Cpu
Measu res how close the p rocess m ean is ru nning to the u p p er sp ecification lim it.
Commercial O ff t he Shelf it ems (CO TS)
Stand ard com m ercial off the shelf or catalog item s selected from a su p p lier’s stand ard line of p arts.
Where CCS d oes not have d esign control. CCS d oes not have a d ed icated d raw ing or p u rchased p art sp ecification.
Parts not tooled sp ecifically for CCS. Parts are u sed by m u ltip le ind u stries/ cu stom ers. Exam p les inclu d e:
electronics (cap acitors, d iod es, resistors), com m on fasteners (nu ts, screw s, w ashers, etc.).
Correct iv e Act ion Report (CAR)
A form al requ est by CCS to take action to elim inate the cau se(s) of an existing nonconform ity or other u nd esirable
situ ation in ord er to p revent recu rrence.
Cont rol Plan (CP)
Method ology for controlling p arts and p rocesses to ensu re all p rocess ou tp u ts rem ain in a state of control. The p lan is
u sed and m aintained throu ghou t the p rod u ct life cycle and is resp onsive to changing p rocess cond itions via w ritten
d escrip tions of the actions that are requ ired at each p hase of the p rocess from receiving throu gh ship p ing.
Crit ical It em
Any com p onent, m aterial, assem bly or com p lete system w hich is selected for p rod u ction and field traceability in
ord er to satisfy safety rep orting requ irem ents or to su p p ort reliability analysis of high cost / high interest item s. For
exam p le, a com p ressor m od el or certain electronic control m od u les m ight be d esignated as “traceable” item s d u e to
their high rep lacem ent costs. A fu rnace gas valve m ight be d esignated d u e to p rod u ct safety rep orting nee d s.
Deliv erable Soft w are
All softw are intend ed to be u sed in CCS saleable p rod u ct, inclu d ing bu t not lim ited to softw are em bed d ed in
d eliverable hard w are and d eliverable firm w are. Refer to section 9 Change Managem ent.
Direct ed-buy source
Any su b-tier su p p lier p rovid ing m aterial, com p onents, softw are or services w hich has been d esignated to be u sed by
CCS
Failure Mode and Effect s Analy sis (FMEA)
A p reventive analytical techniqu e to m ethod ically stu d y the cau se and effects of p otential failu res in a p r od u ct or a
p rocess. The p rod u ct or p rocess is exam ined for all the w ays in w hich a failu re can occu r. For each p otential failu re,

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Page 14

an assessm ent is m ad e of its effect on the system and its seriou sness, and a review is m ad e of the action being taken
(or p lanned ) to m inim ize the p robability of failu re or to m inim ize the effects of the failu re.
Gage Repeat abilit y and Reproducibilit y (Gage R&R)
The evalu ation of a gau ging instru m ent’s accu racy by d eterm ining w hether the m easu rem ents taken w ith it are
rep eatable and rep rod u cible. .
Key Charact erist ic (KC)
Any featu re of a m aterial, p rocess, p art, assem bly, or test, w hose variation w ithin or ou tsi d e the sp ecified
requ irem ent has a significant influ ence on p rod u ct fit, form , fu nction or other exp ected d eliverable, and thu s m u st be
controlled w ithin p rescribed accep tance lim its via Process Certification p ractices.
Key Process Input s (KPI)
A su bset of the p rocess inp u ts or their characteristics that are key to ru nning the p rocess and p rod u cing the right
p rod u ct/ ou tp u t.
Key Product Charact erist ic (KPC)
KPCs are p rod u ct featu res that are ind icated on the d raw ing and or related d ocu m entation by engineeri ng as
d escribed in 5.1.3. These are typ ically critical to safety, critical to fu nction, and by excep tion critical to p rocess
featu res of the p rod u ct that m u st be controlled w ithin p rescribed accep tance lim its via Process Certification
Lay ered Process Audit s (LPA)
A system of m anu factu ring p rocess au d its p erform ed by m u ltip le levels of m anagem ent. Key p rocess characteristics
are au d ited frequ ently to verify conform ance to p rocessing stand ard s and assu re p erform ance ou tp u t is to exp ected
levels.
Non-conforming product / serv ice
N on-fu lfillm ent of an intend ed requ irem ent for reasonable exp ectation for u se, inclu d ing safety consid erations.
O n Time Deliv ery
The nu m ber of Pu rchase Ord er line item s d elivered on tim e to the requ ired d ate and qu antity d ivid ed by the nu m ber
of total Pu rchase Ord er line item s requ ired .
Part Family
Grou p of related p rod u cts that p ass throu gh sim ilar p rocessing step s and over com m on equ ip m ent in a valu e stream .
Part s Per Million (PPM)
A m easu rem ent of the d efect rate in a p rod u ct, calcu lated as: PPM = (Total nu m ber of d efective p arts) x 1,000,000 /
(Total nu m ber of p arts received ).
Part Submission W arrant (PSW )
The w arrant contains su p p lier, p art inform ation, requ ired d ocu m entation, the su p p lier ap p lication w arrant and CCS
d isp osition. The su bm ission ap p roval by CCS au thorizes the su p p lier to start p rod u ction.
Process Capabilit y
The range over w hich the natu ral variation of a p rocess occu rs as d eterm ined by the system of com m on cau ses.
Process cap ability has three im p ortant com p onents:
Design sp ecification.
Centering of the natu ral variation.
Range or sp read of the variation.
The im p ortance of p rocess cap ability is in assessing the relationship betw een the natu ral variation
of a p rocess and the d esign sp ecifications. This relationship is often qu antified by m easu res know n as
p rocess cap ability ind ices. The m ost com m on is Cp k.
Process Cert ificat ion
Process Certification (ProCert) is CCS’s m ethod ology to achieve and su stain statistically controlled and cap able
p rocesses for m anu factu ring, bu siness, su p p ort, m aintenance, assem bly, and test.

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Page 15

Product ion Mat erial and Serv ices
Inclu d es p arts, com p onents or raw m aterial that are d irectly u sed in the m anu factu re of CCS p rod u cts; su p p lier
d esigned p rod u cts that are incorp orated into a CCS assem bly/ p rod u ct; and finished good s brand ed by CCS.
Product ion Part Approv al Process (PPAP)
A p rocess w hich d efines the generic requ irem ents for p rod u ction p art ap p roval. The p u rp ose of PPAP is to d eterm ine
if all cu stom er engineering d esign record and sp ecification requ irem ents are p rop erly u nd erstood by the su p p lier
and that the p rocess has the p otential to p rod u ce p rod u ct consistently m eeting these requ irem ents d u ring an actu al
p rod u ction ru n at the qu oted p rod u ction rate.
Q -Plus (Q +)
A UTC d evelop ed qu ality m anagem ent stand ard w hereby su p p liers are rated at one of fou r levels of com p liance.
Repeat abilit y
Assesses the variation in a m easu rem ent system cau sed by the com bined sou rces of m easu rem ent variation of a
gage or test equ ip m ent w hen u sed by one op erator or u nd er one set of environm ental cond itions.
Reproducibilit y
Variation in m easu rem ent averages w hen m ore than one op erator or set of environm ental cond itions are im p osed on
the gage or p iece of test equ ip m ent.
Run at Rat e st udy
A form alized p rod u ction cap acity stu d y that verifies p rop er cycle tim es, qu ality exp ectations and yield s have been
achieved in accord ance w ith p lan.
Supplier Dev iat ion Request (SDR)
A form su bm itted by the su p p lier that is u sed to d ocu m ent and requ e st ap p roval for any p rod u ct or p rocess
d eviation.
Unit ed Technologies Corporat ion (UTC)
The p arent corp oration of CCS, other UTC com p anies inclu d e Otis, Pratt & Whitney, United Technologies
Aerosp ace (UTAS).
W ork Transit ions
Work Transitions are any m ovem ent of p rod u ction from one m anu factu ring p lant to anoth er.

14. REFERENCE MATERIALS
It is the resp onsibility of the su p p lier to ensu re that they are w orking to the latest version of sp ecifications
referenced w ithin this d ocu m ent as w ell as Pu rchase Ord er requ irem ents.
The p u blications listed below p rovid e ad d itional inform ation concerning qu ality assu rance p rocesses and
techniqu es d iscu ssed in this m anu al and are available to su p p liers throu gh their CCS contacts.
• Bu siness Gifts from Su p p liers, UTC Ethics Brochu re.
• The Giving and Receiving of Bu siness Gifts, UTC Ethics Brochu re.
The follow ing p u blications are available from the Au tom otive Ind u stry Action Grou p (AIAG).
These m ay be ord ered on-line at: http :/ / w w w .aiag.org.
Ad vanced Prod u ct Qu ality Planning (APQP) and Control Plan (CP).
Measu rem ent System Analysis (MSA).
Potential Failu re Mod e and Effects Analysis (FMEA).
Prod u ction Part Ap p roval Process (PPAP).
Statistical Process Control (SPC).

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Page 16

15. APPENDICES
Appendix 1 – PPAP Requirements
Below tim eline reflects w here PPAPs shou ld be requ ested and ap p roved in the N ew Prod u ct Develop m ent cycle

Phase 0

Phase 1

Phase 2

Phase 3

Phase 4

Phase 5

Program Feasibility

Planing and Specification

Development

Release Preparation / Qualification

Manufacturing Pilot

Full Release

Sourcing Strategy & Qualification

Parts Release & Management

ProCert
m/s1
m/s1

m/s2
m/s2

m/s3
m/s3

On-going Tracking

m/s4
m/s4

Commodity Strategy

Supplier Qualification
complete

Final Selection &
Qualification Plan
MOU/ LTA / Design &
Reliability Targets
Product Design/Development
Process Design/Development

PPAP
Approval

Product and Process Validation
PPAP
PPAP
Request
Request
Gates

11
Technology /
ConDR

22
Test Plan /
PDR

Design
Freeze / CDR

33
MCS Review /
IQA

44
Production
Release / FQA

55
Product
Performance

Field Trail
Readiness

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Page 17

Below Requ irem ents table d efines the d ocu m entation / d ata to be su bm itted to CCS or retained by su p p lier.

PPAP Requirements / Submission Table
1

2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18

Level 1 Level 2 Level 3 Level 4 Level 5
Design Record
R
S
S
*
R
for proprietary components
R
R
R
*
R
for all other components/ details
R
S
S
*
R
Engineering Change Documents, if any
R
S
S
*
R
Customer Engineering approval, if required
R
R
S
*
R
Design FMEA
R
R
S
*
R
Process Flow Diagrams
R
R
S
*
R
Process FMEA
R
R
S
*
R
Control Plan
R
R
S
*
R
Measurement System Analysis Studies
R
R
S
*
R
Dimensional Results
R
S
S
*
R
Material, Performance Test Results
R
S
S
*
R
Initial Process Studies
R
R
S
*
R
Qualified Laboratory Documentation
R
S
S
*
R
Appearance Approval Report (AAR),
S
S
S
*
R
If applicable
Sample Product
Master Sample
Checking Aids
Records of Compliance
Part Submission Warrant (PSW)

R
R
R
R
S

S
R
S
R
S

S
R
S
S
S

*
*
*
*
S

R
R
R
R
R

S = shall be submitted to CCS. A copy shall be retained at the supplier location.
R = shall be retained by the supplier location and made available to CCS upon request
* = shall be retained by the supplier location and submitted to CCS upon request

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Page 18

Elements of PPAP defined
1.

D esign Records
A p rinted cop y of the d raw ing need s to be p rovid ed . If CCS is d esign resp onsible, this is a cop y of the
sp ecification or d raw ing that is sent together w ith the Pu rchase Ord er (PO). If su p p lier is d esign resp onsible this
is a released d raw ing in su p p lier's release system . Ballooned d raw ing/ sp ecification: Su p p lier m u st nu m ber each
and every featu re and requ irem ent on the d esign record . N u m bering m u st corresp ond w ith the d ocu m ented
insp ection resu lts (inclu d ing notes, stand ard tolerance notes and sp ecifications, and anything else relevant to the
d esign of the p art).

Authorized Engineering Change (note) D ocuments
If su bm ission is requ ired w hile a form al change is in p rocess, an ap p roved Su p p lier Deviation Requ est (SDR)
m u st be inclu d ed .

Engineering Approval
If su bm ission is requ ired before CCS engineering has ap p roved all Engineering qu alification tests, an ap p roved
Su p p lier Deviation Requ est (SDR) m u st be inclu d ed .

D FMEA
If the su p p lier is d esign resp onsible, a cop y of the Design FMEA (DFMEA), review ed and signed -off by CCS
Engineering m u st be inclu d ed . If it is agreed the DFMEA contains su p p lier control Intellectu al Prop erty (IP), the
DFMEA m ay be review ed w ith CCS Engineering and Qu ality for ap p roval. Where CCS is d esign resp onsible the
list of all Key Characteristics shou ld be shared w ith the su p p lier, so they can b e ad d ressed on the PFMEA and
Control Plan. This w ou ld typ ically take p lace d u ring a d esign feasibility review m eeting.

Process Flow D iagram
A cop y of the Process Flow , ind icating all step s and sequ ence in the fabrication p rocess, inclu d ing incom ing
com p onents.

PFMEA
A cop y of the Process Failu re Mod e and Effect Analysis (PFMEA), review ed and signed -off by su p p lier and
cu stom er. The PFMEA shou ld ad d ress p otential failu re m od es in each step as ou tlined in the p rocess flow
d ocu m ent. [inclu d ing p ackaging and labeling]. All KC and KPC’s m u st be inclu d ed on the PFMEA.

Control Plan
A cop y of the Control Plan, review ed and signed -off by su p p lier and cu stom er. The Control Plan follow s the
PFMEA step s. All KC and KPC’s m u st be id entified and inclu d ed on the Control Plan.

Measurement System Analysis Studies (MSA)
MSA u su ally contains the Gage R&R for the Key Characteristics (KCs) and Key Prod u ct Characteristics. MSA is
requ ired for both variable and attribu te featu res.

D imensional Results
A list of every d im ension noted on the ballooned d raw ing/ sp ecification. This list show s the p rod u ct characteristic,
sp ecification, the m easu rem ent resu lts and the assessm ent show ing if this d im ension is "ok" or "not ok". CCS w ill
d efine the qu ality requ ired for a d im ensional layou t, typ ically 3-5 p ieces, how ever this m ay be ad ju sted in sp ecial
circu m stances su ch as m u lti-cavity tooling.

10. Records of Material / Performance Tests
A su m m ary of every requ ired test p erform ed on the p art. Requ irem ents are u su ally agreed to by Su p p lier & CCS
d u ring the d esign feasibility m eetings. This su m m ary lists each in d ivid u al test, w hen it w as p erform ed , the
sp ecification, resu lts and the assessm ent p ass/ fail. Su p p orting d ata to be inclu d ed as requ ested , bu t m ay be
su bm itted as tests are com p leted . In ad d ition, this section lists all m aterial certifications (steel, p l astics, p lating,
etc.), as sp ecified on the p rint/ sp ecification. Actu al m aterials certifications are to be inclu d ed w ith the
su bm ission.
11. Initial Process Studies
Usu ally this section show s all Statistical Process Control charts affecting the m ost critical characteristics. The
intent is to d em onstrate that critical p rocesses have stable variability and that is ru nning near the intend ed
nom inal valu e. All CCS d efined KCs and Su p p lier d efined KPC’s m u st have stu d ies inclu d ed .
12. Qualified Laboratory D ocumentation
Cop y of all laboratory certifications (e.g. ISO 17025, TS) of the laboratories that p erform ed the tests rep orted on
section 10.

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Page 19

13. Appearance Approval Report
A cop y of the AAI (Ap p earance Ap p roval Insp ection) form signed by the cu stom er. Ap p licable for com p onents
affecting ap p earance only. Requ irem ents for any Ap p earance Ap p roval Rep orts shou ld be d efined d u ring the
Design Review .
14. Sample Production Parts
CCS w ill d efine the nu m ber of sam p les to be su bm itted w ith the PPAP. Su ch sam p les m u st be p rod u ced as p art of
the PPAP p rod u ction ru n. These sam p les are to be nu m bered to corresp ond to the m ea su rem ent d ata su bm itted
w ith the Dim ensional Rep ort ( Item 9 above)
15. Master Sample
A sam p le [typ ically] signed off by cu stom er and su p p lier, w hich u su ally is u sed to train op erators on su bjective
insp ections su ch as visu al or for noise.
16. Checking Aids
When there are sp ecial tools for checking p arts, this section show s a d raw ing of the tem p late or tool and
calibration record s, inclu d ing d im ensional rep ort of the tool. (CMM p rogram ing inform ation m ay be requ ested )
17. Customer-Specific Requirements
CCS cu stom er m ay have sp ecific requ irem ents to be inclu d ed on the PPAP p ackage. It is a good p ractice to ask
the cu stom er for PPAP exp ectations before even qu oting for a job.
18. Parts Warrant (PSW)
This form that su m m arizes the w hole PPAP p ackage. The PSW inclu d es p art info rm ation, the reason for
su bm ission and the level of d ocu m ents su bm itted to the cu stom er. A Declaration statem ent m u st be signed by an
au thorized p erson at the Su p p lier’s site m aking the su bm ission (typ ically the p lant qu ality m anager). The CCS
u sing site m u st d isp osition the PSW, sign and retu rn to the su p p lier. The su p p lier is not au thorized u ntil they
have received a fu ll or interim ap p roved PSW from CCS.

If a Level 4 PPAP is requ ested , the CCS requ estor m u st sp ecify, in w riting, w hat d ocu m entation / d ata w ill be requ ired to
accom p any the PPAP su bm ission . (attachment 2, L-4 addendum)

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Page 20

Appendix 2 - ProCert

Steps to Certify a Process
The follow ing requ irem ents shall be achieved to consid er a p rocess / KC certified .
1) Initial step s to im p lem ent Process Certification:
 Map the cu rrent p rocess step s to id entify KPIs and the p rocess KCs that im p act the p rocess ou tp u t and / or KCs
id entified by CCS. Refer to Design and Process FMEA’s in this step . Id entify cu rrent p rocess p erform ance or
ou tp u t for each p rocess step .
 Verify and d ocu m ent that the m easu rem ent p rocesses u sed for all
variable and attribu te KCs are cap able (i.e., rep eatability,
rep rod u cibility, correlation stu d ies, and total p rocess cap ability).
 Id entify controlling actions to m aintain p rocess cap ability and reaction
p lans for ou t of control cond itions as they occu r at the w orkstation. These shou ld be d ocu m ented on the control
p lan and / or w ork instru ctions.
 Im p lem ent a p rocess m onitoring m ethod .
 Im p lem ent a Preventive Maintenance Plan.
 Perform self-au d its.
2) Variable Measu red Characteristics
A p rocess is consid ered certified w hen:
 Measu rem ent equ ip m ent is qu alified (e.g. R&R stu d ies com p leted )
 Assignable cau ses for variation have been id entified , d ocu m ented , and rem oved .
 Process inp u ts and KCs are id entified , m onitored , and controlled .

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Page 21






A m inim u m of tw enty−five (25) consecu tive observations or thirty (30)
d ays of ou tp u t w hichever is greater, cap tu ring variability associated
w ith step to step , p iece to p iece, set u p to set u p , tim e to tim e, and lot
to lot variation, w ith no nonconform ances d etected .
KCs are u nd er statistical control and Cp k of 1.33, or better is d em onstrated .
Rou tine self-au d its being p erform ed

3) Attribu te Measu red Characteristics
A p rocess is consid ered certified w hen:
 Measu rem ent equ ip m ent is qu alified (e.g. R&R stu d ies com p leted )
 Assignable cau ses for variation have been id entified , d ocu m ented and rem oved .
 Process inp u ts and KCs are id entified , m onitored and controlled .
 A m inim u m of forty−five (45) consecu tive observations (90%
confid ence) or (30) d ays of ou tp u t w hichever is greater, cap tu ring
variability associated w ith step to step , p iece to p iece, set u p to set u p ,
tim e to tim e, and lot to lot variation, w ith no non-conform ances d etected .
 Rou tine self-au d its being p erform ed
Key Characteristics
On som e old er CCS d raw ings / sp ecifications the follow ing sy m bols m ay still be u sed to d enote key characteristics.

16. ATTACHMENTS:
The follow ing are sam p les of form s referenced in this m anu al. To obtain blank form s, or for assistance in com p leting
form s, su p p liers shou ld contact their d esignated CCS p oint-of-contact.
Attachm ent 1: Parts Warrant (PSW)
Attachm ent 2: PPAP Requ est Sheet
Attachm ent 3: Prod u ction Part Ap p roval- Dim ensional Test Resu lts*
Attachm ent 4: Prod u ction Part Ap p roval – Material Test Resu lts*
Attachm ent 5: Prod u ction Part Ap p roval – Perform ance Test Resu lts*
Attachm ent 6: Ap p earance Ap p roval Rep ort (AAR)
Attachm ent 7: PFMEA*
Attachm ent 8: Control Plan *
Attachm ent 9: Su p p lier Deviation Requ est (SDR)
Attachm ent 10: 8D Corrective Action Rep ort (CAR)
*w ith u sing p lant consent, Su p p liers m ay u se their ow n internal d ocu m ents/ form s, as long as they contain all
requ ired inform ation.

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Page 22

Attachment 1
Part Name

PARTS WARRANT (PSW)

CCS Part Number

CCS Draw ing No.

Supplier P art Number

Engineering Change Level

Dated

Yes

Regulations: Safety and/or Government?

Purchase Order No.

Weight (kg)

SUPPLIER MANUFACTURING INFO

Supplier Name & Supplier / Vendo r Co de

Street A ddress

City

State

P o stal Co de

Co untry

MATERIALS
Product complies w ith Materials of Concern Requirements

Yes

Are polymeric parts identified w ith proper ISO marking codes ?

Yes

REASON FOR SUBMITTAL

n/a

REQUESTED SUBMITTAL LEVEL (Check one)

Initial Submittal

Level 1 - Warrant only submitted to customer.

Change to Raw Material

Level 2 - Warrant w ith sample parts and supporting data submitted as
defined by CCS

Supplier Change
To Correct Discrepancy

Level 3 - Warrant w ith sample parts and complete supporting data
submitted to CCS.

Tooling Inactive (more than 1 year)
Draw ing Revision Change
Tooling Change: New , Transfer, Reburbished

Level 4 - Warrant and other requirements as defined by CCS.

Change in Part Processing

Level 5 - Warrant w ith sample parts and complete supporting data
review ed at supplier's manufacturing location.

Parts produced at New Factory Location
Other - please specify

SUBMITTAL RESULTS
The results for

dimensional measurements

material & functional tests

Yes

These results meet all draw ing and specification requirements:

capability

appearance

(If "NO" - Explain Below )

DECLARATION
I affirm that the samples represented by this warrant are representative o f o ur parts, which were made by a pro cess that meets all CCS requirements.
I also certify that do cumented evidence o f such co mpliance is o n file and available fo r review. I have no ted any deviatio ns fro m this declaratio n belo w.

EXPLANATION/COMMENTS:

Supplier Authorized Signature

Date

Print Name

Phone No.

Title

Fax No

FOR CCS USE ONLY
PPAP Warrant Disposition

Approved

Rejected

Interim Approval

CCS Signature
Print Name

Date
Customer Tracking Number (optional)

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Page 23

Attachment 2

PPAP Request Sheet
Supplier Information
Supplier Name

Commodity

Supplier Address

Part Number
Part Name
Rev. Level

Supplier Contact

ECN

PPAP level requested
REQUESTED SUBMITTAL LEVEL (Check one)
Level 1 - Warrant only submitted to customer.
Level 2 - Warrant with sample parts and supporting data submitted as defined by CCS.
Level 3 - Warrant with sample parts and complete supporting data submitted to CCS.
Level 4 - Warrant and other requirements as defined by CCS. [See Addendum for Requirements]
Level 5 - Warrant with sample parts and complete supporting data reviewed at supplier's manufacturing location.

Number of samples requested for:
Dimensional layout
Capability studies

Additional Key Characteristics

[for legacy products ONLY where not defined on engineering drawing / specification]

CCS Authorization
Issued By:

Date

Supplier Sign-off
I have review ed and understand
the above requirements

Date
Signature of supplier authorized representative

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Page 24

Attachment 2

Level 4 PPAP Addendum
Note: CCS to complete this addendum when requesting a Level 4 PPAP Only

Supplier Information
Supplier Name

Commodity

Supplier Address

Part Number
Part Name
Rev. Level

Supplier Contact

ECN

Level 4 Requirements (If marked "Y" must be submitted)

Design Record

Material, Performance Test Results

Engineering Change Documents

Initial Process Studies

Customer Engineering approval

Qualified Laboratory Documentation

Design FMEA

Appearance Approval Report (AAR),

Process Flow Diagrams

Sample Product

Process FMEA

Master Sample

Control Plan

Checking Aids

Measurement System Analysis Studies

Records of Compliance

Dimensional Results

Y Part Submission Warrant (PSW)

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Page 25

Attachment 3

Initial Sample Inspection Report

I
T
E
M

Part Number

Part Name

Revision Level

Date

Supplier Name
Name of
Inspection facility

Supplier Location
Lab Report Attached

Dimension/Specification
(Nominal & Tolerance)
and Material
Specifications

Supplier
Measurement
Device/Technique

Supplier
Measurement
Results

Yes

CCS
Measurement
Device/Technique

CCS
Verification

Not
OK

Supplier Signature:
Title:

Disposition: 
CCS signature:

Date:

Approve

Fail

Deviate

Resubmit
Date:

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Attachment 4

Material Test Results
ORGANIZATION:

PART NUMBER:

SUPPLIER / VENDOR CODE:

PART NAME:

MATERIAL SUPPLIER:

DESIGN RECORD CHANGE LEVEL:

* Customer Specified Supplier / Vendor Code:

ENGINEERING CHANGE DOCUMENTS:

* If source approval is req'd, include the Supplier (Source) & Customer assigned code.
NAME of LABORATORY:
Specification /
Test
Qty.
Material Spec. No. / Rev / Date
Limits
Date
Tested
Supplier Test Results (Data)

NOT
OK

Blank statements of conformance are unacceptable for any test results.
SIGNATURE

TITLE

DATE

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Page 27

Attachment 5

Performance Test Results
ORGANIZATION:

PART NUMBER:

SUPPLIER / VENDOR CODE:

PART NAME:

NAME of LABORATORY:

DESIGN RECORD CHANGE LEVEL:

* Customer Specified Supplier / Vendor Code:

ENGINEERING CHANGE DOCUMENTS:

* If source approval is req'd, include the Supplier (Source) & Customer assigned code.
Test Specification / Rev / Date

Specification /
Limits

Test
Date

Qty.
Tested

Supplier Test Results (Data) /
Test Conditions

NOT
OK

Blank statements of conformance are unacceptable for any test results.
SIGNATURE

TITLE

DATE

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Page 28

Attachment 6
APPEARANCE APPROVAL REPORT
PART NUMBER

DRAWING
NUMBER

APPLICATION
(VEHICLES)

PART
NAME

BUYER
CODE

E/C LEVEL

SUPPLIER
NAME

DATE

MANUFACTURING
LOCATION

Reason for
Submission

PART SUBMISSION
WARRANT

SPECIAL SAMPLE

PRE TEXTURE

FIRST PRODUCTION SHIPMENT

SUPPLIER
CODE /
VENDOR CODE
OTHER

RE-SUBMISSION
ENGINEERING CHANGE

APPEARANCE EVALUATION
PRE-TEXTURE
EVALUATION

SUPPLIER SOURCING AND TEXTURE INFORMATION

AUTHORIZED CUSTOMER REPRESENTATIVE
SIGNATURE AND DATE

CORRECT AND
PROCEED
CORRECT AND RESUBMIT
APPROVED TO
TEXTURE

COLOR EVALUATION
TRISTIMULUS DATA

COLOR SUFFIX
DL *

Da *

Db *

DE *

MASTER
NUMBER

MASTER
DATE

HUE

MATERIAL MATERIAL
TYPE
SOURCE

CMC

RED

YEL

GRN

VALUE

CHROMA

GLOSS

BLU LIGHT DARK GRAY CLEAN HIGH

LOW

METALLIC
BRILLIANCE
HIGH

LOW

COLOUR
PART
SHIPPING
DISPOSITION
SUFFIX

COMMENTS

ORGANIZATIO
N
SIGNATURE:

PHONE NO.:

DATE:

AUTHORIZED CUSTOMER
REPRESENTATIVE SIGNATURE:

DATE:

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Page 29

Attachment 7

N OTE: For all items w ith a Severity of 9 or 10, the D etection rating must be ≤4

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Page 30

Attachment 8
Process Control Plan
Part, Product, or
Product Family name:

Approvals:

Plant / Location:

Production:
Engineering:

Process
Step
No.

Process Operation

Date:

Quality:

Control Plan Document Control
Revision Number:

Workstation

Nam e:

Process auditor:

Key Characteristics
Process Standard
Work Reference

Description
of KPI or KPO

Measurement & Inspection
Target & Tolerance

Description of KC
Reference

Measurement or
Inspection method

Sample
Qty

Freq.

Responsibility

Monitor & Control
Monitoring
Method

Reaction Plan
Signal(s)

Response(s)

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Page 31

Attachment 9

This document does not contain any technical data controlled by the EAR or ITAR
Page 32

Attachment 10
Global 8D
8D #
General Information
Title:
Opened:

Last Updated

8D Status:
D-Step Status:
Business Unit:
Site/Function:
Supplier Responsible:
8D Type:
Keywords:
Cross Reference:
D0 - Symptoms

D0- Emergency Response

D1- Team
Name:

Role:

Email Address:

Phone:

D2- Problem

D3- Interim Containment Action(s)

D4- Root Cause

D5- Corrective Action

D6- Implement Corrective Action

D7- Preventive Action

D8 - Congratulate Team

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Page 33

This document does not contain any technical data controlled by the EAR or ITAR
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Modify Date                     : 2017:06:16 13:21:15-04:00
Producer                        : Microsoft® Word 2010

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Supplier Quality Manual (English) SQM CCS 20170418A

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