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 1. UTC Clim ate | Controls | Secu rity QUALITY POLICY 2. PURPOSE 3. SCOPE 4. EXPECTATION S 5. SUPPLIER QUALIFICATION REQUIREMEN TS 6. PRODUCTION PART AN D PROCESS QUALIFICATION REQUIREMEN TS 7. PROCESS CERTIFICATION 8. N ON -CON FORMIN G PRODUCT 9. 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 This document does not contain any technical data controlled by the EAR or ITAR Page 2 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: 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 This document does not contain any technical data controlled by the EAR or ITAR Page 3 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. 2. Provid e resou rces to p articip ate in p rod u ct qu ality p lanning 3. 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. 4. 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 . 5. Maintain p rocess, p rod u ct and service d ocu m entation. 6. 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. 7. Be accou ntable for qu ality of all su b-tier su p p liers inclu d ing “d irected -bu y” sou rces. 8. 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. 9. 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 This document does not contain any technical data controlled by the EAR or ITAR Page 4 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: 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. This document does not contain any technical data controlled by the EAR or ITAR Page 5 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. This document does not contain any technical data controlled by the EAR or ITAR Page 6 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. This document does not contain any technical data controlled by the EAR or ITAR Page 7 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 F 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. P 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. This document does not contain any technical data controlled by the EAR or ITAR Page 8 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. This document does not contain any technical data controlled by the EAR or ITAR Page 9 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: 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. This document does not contain any technical data controlled by the EAR or ITAR 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 3. The reason for d eviations/ non -conform ances w ith su p p orting d ata. 4. 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. 5. Mitigation p lans to ad d ress an y risks d u e to the p rocess change/ nonconform ing p rod u ct 6. 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. This document does not contain any technical data controlled by the EAR or ITAR 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. This document does not contain any technical data controlled by the EAR or ITAR Page 12 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 ) 0* 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) This document does not contain any technical data controlled by the EAR or ITAR 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, This document does not contain any technical data controlled by the EAR or ITAR 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. This document does not contain any technical data controlled by the EAR or ITAR 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). This document does not contain any technical data controlled by the EAR or ITAR 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 00 11 Technology / ConDR 22 Test Plan / PDR Design Freeze / CDR 33 MCS Review / IQA 44 Production Release / FQA 55 Product Performance Field Trail Readiness This document does not contain any technical data controlled by the EAR or ITAR 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 This document does not contain any technical data controlled by the EAR or ITAR 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). 2. 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 . 3. 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 . 4. 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. 5. 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. 6. 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. 7. 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. 8. 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. 9. 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. This document does not contain any technical data controlled by the EAR or ITAR 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) This document does not contain any technical data controlled by the EAR or ITAR 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 . This document does not contain any technical data controlled by the EAR or ITAR 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. This document does not contain any technical data controlled by the EAR or ITAR 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? No 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 No Are polymeric parts identified w ith proper ISO marking codes ? Yes No 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: NO 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 Email Fax No FOR CCS USE ONLY PPAP Warrant Disposition Approved Rejected Interim Approval CCS Signature Print Name Date Customer Tracking Number (optional) This document does not contain any technical data controlled by the EAR or ITAR 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 This document does not contain any technical data controlled by the EAR or ITAR 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) This document does not contain any technical data controlled by the EAR or ITAR 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 No CCS Verification OK Not OK Supplier Signature: Title: Disposition: CCS signature: Date: Approve Fail Deviate Resubmit Date: This document does not contain any technical data controlled by the EAR or ITAR Page 26 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) OK NOT OK Blank statements of conformance are unacceptable for any test results. SIGNATURE TITLE DATE This document does not contain any technical data controlled by the EAR or ITAR 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 OK NOT OK Blank statements of conformance are unacceptable for any test results. SIGNATURE TITLE DATE This document does not contain any technical data controlled by the EAR or ITAR 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: This document does not contain any technical data controlled by the EAR or ITAR Page 29 Attachment 7 N OTE: For all items w ith a Severity of 9 or 10, the D etection rating must be ≤4 This document does not contain any technical data controlled by the EAR or ITAR 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) This document does not contain any technical data controlled by the EAR or ITAR 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 This document does not contain any technical data controlled by the EAR or ITAR Page 33 Copyright © 2017 United Technologies Corporation. All rights reserved. . This document does not contain any technical data controlled by the EAR or ITAR Page 34
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