Supplier Quality Manual (English) SQM CCS 20170418A

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This document does not contain any technical data controlled by the EAR or ITAR
SUPPLIER QUALITY
MANUAL
Exhibit 1
Revision: May 1 2017
Copyright © 2017 United Technologies Corporation. All rights reserved.
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Table of Contents
1. UTC Climate | Controls | Security QUALITY POLICY
2. PURPOSE
3. SCOPE
4. EXPECTATIONS
5. SUPPLIER QUALIFICATION REQUIREMENTS
6. PRODUCTION PART AND PROCESS QUALIFICATION REQUIREMENTS
7. PROCESS CERTIFICATION
8. NON-CONFORMING PRODUCT
9. CHANGE MANAGEMENT
10. TRACEABILITY & QUALITY RECORDS
11. SUPPLIER GOLD
12. ENVIRONMENT, HEALTH & SAFETY
13. DEFINITIONS AND ABBREVIATIONS
14. REFERENCE MATERIALS
15. APPENDICES
16. ATTACHMENTS: SAMPLE FORMS FOR GUIDANCE
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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.
Suppliers play an integral role in ensuring the quality and cost effectiveness of Climate | Controls | Security Systems
products and shall comply with all requirements defined in this manual or communicated otherwise.
2. PURPOSE
This manual defines the initial and on-going requirements for supplier quality systems and performance.
Note: UTC Climate | Controls | Security will be known as CCS for purposes of this manual.
3. SCOPE
This Supplier Quality Manual applies to all suppliers that provide production material, deliverable software,
supplier designed products which are incorporated into a CCS assembly/ product, finished goods branded by CCS
and product related services to CCS facilities. Further the SQM applies to internal suppliers within United
Technologies and CCS (i.e. CCS owned suppliers and Joint Ventures (JV’s). Individual CCS plants may have
additional plant-specific requirements and will establish specific processes for carrying out these requirements. If a
conflict exists between the requirements presented in this manual and individual plant requirements, the more
stringent requirements will apply.
4. EXPECTATIONS
4.1. Purchased Products and Product Related Services
Shall Comply with Established Specifications and
Requirements, including:
Drawings that apply to the specific product or service.
Engineering specifications and/ or reliability requirements that apply to the commodity or
specific part.
Material specifications that apply to the product or service
Applicable Regulatory / Industry standards.
CCS approved changes or deviations.
Established Commercial Agreements
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4.2. Suppliers are required to:
1. Demonstrate and maintain compliance to, all documented requirements, including design performance,
reliability, process control, and capability.
2. Provide resources to participate in product quality planning
3. Have a change control system that reacts to changes in a timely and accurate fashion . In all cases, acquire
written approval prior to implementing any change that may impact form, fit, function, interchangeability or
reliability. This shall include manufacturing processes, quality standards for product acceptance, and testing
requirements.
4. Have a documented quality system in place which addresses all stages of product / process development,
manufacturing and delivery. Suppliers must agree to on-site quality system assessments and validation as
requested.
5. Maintain process, product and service documentation.
6. Deploy expectations and controls equivalent to those presented in this document to sub-tier supply chain.
7. Be accountable for quality of all sub-tier su pp liers includ ing “directed -buy” sources.
8. Maintain the expertise and resources to perform effective root cause analysis and implement timely
corrective and preventive action.
9. Provide notification of any and all situations that may negatively imp act the sup p lied p rod u ct’s qu ality,
reliability, and safety; design and/ or production; or any other matter described in this manual.
10. Be accountable for the impact of poor quality on CCS and its customers.
11. Notify CCS of any cond ition or change that has im p act on UTC’s environm ental/ sustainability commitments
or regulatory requirements.
12. Fully comply with the UTC Code of Ethics and Supplier Code of Conduct.
13. Maintain a self-audit system which ensures compliance of all the above.
4.3 Communications
In general the following contact points should be used:
Primary Contact – For all issue regarding supply chain and procurement activity contact your buyer
Product/Part Quality – For all issues regarding product quality, contact Supplier Quality
Assurance (SQA) personnel at the using CCS site
Ethics concerns— UTC maintains a contact site for suppliers who have questions or issues related to the
Code of Ethics. The following link is accessible for suppliers to make direct contact with an independent
ombudsman to assist in resolution of concerns. Visit:
http:/ / www.utc.com/ How-We-Work/ Ethics-And-Compliance/ Pages/ Ombudsman-Program.aspx
4.4 Supplier Information
New suppliers to CCS must provide general information including
DUNS number by factory qualifying for production
A list of key supplier contacts by qualifying factory location
A copy of their 3rd. party Quality System certificate
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5. SUPPLIER QUALIFICATION REQUIREMENTS
Suppliers shall establish and maintain a Quality Management System that ensures production meets all customer
requirements and expectations
5.1. Quality System
All suppliers shall maintain an effective documented quality system that communicates, identifies,
coordinates and controls all key activities necessary to design, develop, produce and deliver a quality product or
service.
All suppliers must be certified / registered to one of the following international quality management standards by a
recognized independent certified 3rd party registrar:
ISO 9001 Quality Management Systems – Requirements
ISO/ TS16949 Quality Management Systems – Automotive Requirements
SAE AS9100 Quality Management Systems – Aerospace – Requirements
Exceptions to maintaining 3rd. party registration will be managed on a case by case basis. A CCS factory quality
manager, with concurrence from all other CCS sites using this same supplier location, may waive 3rd. party
registration. In such cases an onsite Q+ audit must be completed. Suppliers may be required to reimburse CCS for
the cost of conducting these audits.
Note: Suppliers must notify CCS immediately if their third party registration expires or is revoked.
CCS reserves the right to:
Verify Supplier quality systems with an on-site audit
Verify a supp lier’s comp liance to an applicable quality stand ard
Conduct a Q+ audit in lieu of, and/ or in addition to, third party certification
Disqualify suppliers based on substandard performance. In such cases, full requalification will be required
prior to resuming business.
5.2. CCS Quality System Assessment
Q+ is the quality systems assessment/ survey used by CCS. It consists of a self-assessment and an on-site audit
conducted by CCS. This will be used by CCS only in situations referenced in section 5.1.
Both the Q+ Self-Assessment and Survey criteria are intend ed to assess a sup plier’s quality system, process control
capability, as well as assist the supplier to identify strengths, weaknesses, and/ or areas requiring improvement.
Q+ Self-Assessment
When required, the self-assessment shall be completed by suppliers independently and evaluated by CCS. The
criteria generally follows ISO 9001 adding specific requirements to ensure effective process control and quality
results. Suppliers completing self-assessments shall submit action plans to improve any section not meeting
minimum requirements. CCS reserves the right to perform an on-site Q+ audit based on the results of
self-assessments.
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Q+ Survey
This on-site survey consists of various quality system and process control categories and is intended to provide a
fair ap praisal of the su pp lier’s qu ality system , process controls, and comm itment to quality at the time of the
survey.
From time to time CCS will revise this survey to incorporate new quality system requirements.
5.3 Process Audits
CCS may cond uct a process qu alification aud it at the sup plier’s m anu factu ring facility. This au d it focuses on the
specific process quality controls that the supplier has in place for the products being manufactured for CCS, as
well as part/ commodity specific process requirements. Additionally, CCS reserves the right to conduct such an
audit at sub-tier suppliers
Such au d its shall not relieve the sup plier’s responsibility to p rod uce and d eliver defect -free parts.
6. PRODUCTION PART & PROCESS QUALIFICATION
REQUIREMENTS
Part Qualification ensures that the part is capable of meeting technical/ performance requirements. Process
Qualification ensures that the specific manufacturing processes in place will produce a part of consistent and
acceptable quality.
All production part sample submissions shall be in accordance with Production Part Approval Process (PPAP)
General requirements for each PPAP level can be found in Appendix 1. The CCS using site will define a PPAP level
1-5 to be submitted. PPAP requests will be made using the PPAP Request Sheet Attachment 2 or by similar means.
NOTE: Commercial Off-The-Shelf items (COTS), when meeting the definition provided in section 13, may not require
PPAP submission. Suppliers of COTS should contact their specific using CCS site(s) to ensure local requirements are
adhered 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 items may be reviewed on-site at the su pplier’s facility as part of a
process qualification audit.
PPAP Warrant Validity
Unless otherwise specified on the PSW, approval is valid for the life of the contract or until revoked by CCS.
Additionally, should one of the following conditions occur, the supplier must notify CCS prior to first production
shipment:
Correction of a discrepancy on a previously shipped part.
Product modified by an engineering change to design records, specifications, or material on an approved
Product Change Authorization (PCA).
Use of an optional process or material than was used in a previously approved part.
Production from new or modified tools (except perishable tools), dies, molds, patterns, including additional
or replacement tooling.
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Production following refurbishment or rearrangement of existing tooling or equipment
Production following any change in process or method of manufacture to include changes in lubricants,
mold release agents, or other process solutions
Production from tooling and equipment transferred to a different plant location or from an additional plant
location
Change of source for subcontracted parts, materials or services (for example, heat treating,
plating)
Product re-released after the tooling has been inactive for volume production for twelve (12)
months or more.
Following a CCS request to suspend shipment due to a supplier quality concern
Any other activity that will result in a change to the su p plier’s Control Plan (CP)
Loss or revocation of 3rd. party quality system registration.
The supplier will utilize a Supplier Deviation Request (SDR), Attachment 9, to notify CCS should any
of the above events occur. The SDR will be reviewed by CCS; a full or partial PPAP resubmission may be required.
Should resubmission be required, the using site will communicate the level to be submitted .
Full or Interim approval, in writing, 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.
Level 5
PSW with product samples and complete supporting data available for review at
the supplier's manufacturing location
NOTE: Level 3 is the default level unless otherwise specified . PPAP documentation must be retained per
submission table (append ix 1) and section 10 ”Record s”
NOTE: Dependent upon program requirements the using Business Unit may require a Run -at-Rate capacity study to
be completed. The program Supplier Quality Engineer will provide the specifics should a Run-at-Rate study be
required.
6.1 Annual Product Revalidation
All suppliers on a yearly basis must complete a full dimensional verification to specification, ProCert summary for all
identified Key Characteristics and obtain current material certification(s). Suppliers shall retain these records for
release to the CCS using site if requested.
NOTE: see section 7 regarding ProCert data submissions as requested by CCS Quality representatives.
When specified by a CCS Business Unit, a complete annual layout inspection and PPAP data package submission is
required. Suppliers shall revalidate parts/ components/ materials and be able to provide results to the requesting
CCS site within one (1) work week of the request. [Should tests be required taking longer than one (1) work week,
arrangements must be made with the site requesting the revalidation] Those characteristics, notes and tests that will
be part of the revalidation must be designated at the time of PPAP approval.
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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.
Suppliers are required to implement ProCert in their m anufacturing processes to address all key characteristics
defined by CCS. Other methodologies, similar to ProCert may be used when approved by CCS, providing they meet
the requirements outlined in Appendix 2
NOTE: Suppliers will be requested to submit ProCert data to CCS, specific requirements will be communicated
through the assigned CCS Quality representative.
Suppliers are encouraged to identify additional key characteristics beyond those defined by CCS. This should take
into consideration, finished part characteristics, upstream product characteristics and process parameter controls.
Suppliers with Design responsibility MUST identify key characteristics in addition to any identified by CCS
All identified key characteristics must meet the process certification requirements, or other similar approved
methodologies, as defined in Appendix 2 – Process Certification.
All KC’s m ust achieve Milestone 4 (Certified KC’s / KPC’s) at time of PPAP submission. At a minimum Milestone 3
(Process Control) may be accepted at PPAP providing there is a CCS approved containment plan in place.
On-going control for all KC’s m u st u se Statistical Process Control (SPC) or approved mistake proofs. The type and
frequency of SPC or mistake proof shall be documented on the Control Plan and agreed to with the using CCS site.
All gages used to evaluate and control Key Characteristics must demonstrate adequate repeatability and
reproducibility.
Key Characteristic (KC) (see section 13 for all definitions)
A key characteristic is any feature of a material, process, part, assembly, or test, whose variation within or outside
the specified requirement has a significant influence on product fit, performance, service life, manufacturability,
information, service or other expected deliverable.
CCS will define the key characteristics which the supplier needs to certify. Key Product Characteristics (KPC’s) will
be communicated through various methods, including:
Notations and/ or symbols documented on CCS engineering drawings and specifications
Written communication based on known process issues, production problems or field problems.
The various symbols used on CCS documents to signify Key Product Characteristics are shown below:
F
P
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.
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Additionally, some older drawings may contain other symbols to denote key characteristics. Refer to Appendix 2.
NOTE:
KCs identified on the drawing / design documents using symbols X, F and P are called KPCs (Key Product
Characteristics). All ProCert requirements for KCs equally apply to KPCs
7.1 Alternate Means of Control (AMC)
AMC (Alternate Means of Control) are types of quality controls that might be required when noted on CCS drawings
or CCS specifications. When drawings/ specifications identify features and/ or conditions that require specific
AMC controls, the producer will be provided with detailed instructions from the CCS ordering entity as to what is
the required AMC method as well as how records and objective evidence of compliance is maintained.
Examples of AMC controls may include, but are not limited to
Traceability- Products, Components, Material
Over-inspection (over-inspect)
100% Inspection by a Certified Operator or Inspector
Certificate of Conformance or Material Certification
In-process Mistake Proofs
The following are illustrative steps suppliers may be asked to complete as part of AMC:
Measurement system analysis related to the item identified as requiring AMC
Documentation of AMC as part of the control plan as well identification of Key Inputs that impact the quality
results of the AMC.
A validation of the control method for AMC
A verification that the control method associated with the AMC is sustainable
7.2 Layered Process Audits
To assure on-going integrity of ProCert efforts, suppliers shall conduct periodic internal process audits to ensure
continued conformance with standard work instructions, control plans and process stability / capability. Compliance
with implemented process controls and verification of mistake proofs must be included in the audit. (reference
Layered Process Audits in section 13 glossary)
8. NON-CONFORMING PRODUCT
Under no circumstances shall a supplier ship non-conforming product without first receiving written
authorization from CCS.
The following sections identify and explain key quality requirements that are applicable for non -conforming
product.
8.1. Warranty
Specific warranty obligations of suppliers are provided in the Commercial Contract in force between the supplier and
CCS.
8.2. Supplier Identified Non-conforming Product
The supplier may find products, through their quality control processes or from reports by other customers,
which were produced outside of specifications. The supplier is expected to immediately:
Segregate these products and determine if this error may have occurred, undetected, in earlier production.
In the following situations notify CCS utilizing the Supplier Deviation Request (SDR):
-If the non-conformance affects form, fit or function of the part.
-If there is likelihood that non-conform ing produ ct had ‘escaped ’ the factory.
-If the non-conforming product will affect deliveries to CCS.
-In all cases where a report of non-conforming product is received from a customer, where CCS is using a
similar part.
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The supplier is responsible for the segregation and quarantine of nonconforming material. Non –Conforming
materials shall not be shipped unless until a deviation is granted. Discrepant material received at CCS without an
approved SDR will be rejected and returned to the supplier with all extra handling and shipping costs incurred by
the supplier. No discrepant material will be processed until a deviation is approved b y all required CCS personnel.
8.3. CCS Identified Non-conforming Product
The following paragraphs describe required activities when non-conforming material is discovered by CCS.
Non-Conformances Found Prior to Release to Customer
In the event supplier-responsible non-conformances are discovered by CCS prior to release to the customer, the
parts/ components in question will be identified and segregated to preclude further use.
The evaluation, of the non-conformance will determine whether:
Defects are accumulated and returned to suppliers in accordance with plant procedures.
Supplier sorts defects at CCS.
Supplier reworks defects at CCS.
Supplier contracts 3rd party to complete inspections at CCS or at a local off-site location.
Contingent on contract specifics, CCS reworks defect and charges supplier for rework costs.
Suppliers are expected to reimburse CCS for all costs associated with quality escapes including but not limited to a
minimum standard charge for processing each escape.
Suppliers whose 6 -month defect rate (PPM) exceeds the supplier gold performing level requirements (reference
section 11) may be required to submit a formal improvement plan. In addition, CCS may require third party
insp ection to be implemented at the su p plier’s expense at an independent location or, have supplier representation at
the CCS site to support improvement efforts.
Field Failure
The warranty obligations of suppliers for non-conforming parts discovered in the field, as well as their disposition,
shall be specified in the commercial contract in force between the supplier and CCS.
If a critical field failure issue has been identified, a determination of the next steps in the process will be made based
on several criteria includ ing the failure’s criticality, qu antity, cost, and other factors. Based on this evaluation CCS
may require:
Defective parts to be repaired/ replaced in the field by CCS.
Defective parts be repaired/ replaced in the field by supplier.
Product be recalled, and repaired or replaced. In all cases listed above, suppliers are expected to reimburse
CCS for all costs associated with correcting field failures, and for any other costs imposed on CCS because of
such failures.
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8.4 Non-Conformance / Corrective Action Reports (CAR)
The need for a formal CAR will be evaluated in terms of potential impact u pon production costs, quality costs,
performance, reliability, safety, and customer satisfaction. CCS requires suppliers to submit a formal written
corrective action plan to address specific non-conformances identified at either a plant or in the field using the
electronic Global 8D Corrective Action Reporting system attachment 10. When CCS issues a request for corrective
action, the supplier will be notified via an e-mail link from our host server.
Supplier response to corrective action requests must include root cause determination, containment action
(short-term corrective action), and permanent (long-term) corrective action. As part of the corrective action, a
defined implementation plan with implementation dates must be included, as well as disposition of suspect material.
NOTE: it is expected suppliers consider mistake-proof solutions in all corrective actions
Containment action (steps D1-D3) shall be communicated to CCS within 24 hours of receipt of corrective action
request. Failure Analysis, leading to the root cause determination, shall be completed within a reasonable time period
agreed to with the CCS issuing site. The 8D will not be considered complete until proposed corrective and preventive
action has been approved by CCS.
9. CHANGE MANAGEMENT
After production (PPAP) approval, suppliers must not make any product or process changes without prior written
notification and approval from CCS. This requirement also applies to sub-tier suppliers.
Changes are defined as alteration in the product design, production specification, purchased parts, material or
services, manufacturing location, method of manufacture, testing, storage, packaging preservation or delivery.
NOTE: This must include any changes to software, firmware or any programing incorporated into the product sold
directly to or through CCS.
NOTE: Check with your using CCS Business Unit for any specific advance timing guidelines for change notification
For a permanent product change, CCS reserves the right to requalify the product. Supplier Deviation Request
(SDR) forms are used to communicate all requests for deviation and process changes both temporary and
permanent.
9.1. Supplier Deviation Request (SDR)
Prior to shipping any non-conforming product or product produced by a process different than what was in place
at the time of the PPAP, suppliers must submit a written SDR attachment 9 to their CCS Purchasing contact (Buyer)
for approval.
SDR required information:
The current process/ product
1. The proposed deviations/ changes
2. Proposed test plan for qualification and validation
3. The reason for deviations/ non-conformances with supporting data.
4. State whether the change in question is permanent or temporary. ”Temp orary” changes m u st includ e a fixed
quantity of parts or time duration which the SDR will be in effect for.
5. Mitigation plans to address any risks due to the process change/ nonconforming product
6. Detailed list of part numbers including part description by using CCS site(s)
Discrepant material received at CCS without an approved SDR will be rejected and returned to the supplier at the
supp lier’s expense w ith all ad d itional hand ling and shipp ing cost s incurred by the supplier.
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Once approved, all material shipped to CCS must be accompanied by a copy of the approved SDR. CCS reserves
the right to request a written corrective action plan via a Corrective Action Report (CAR).
If approval is not granted, the reason for disapproval will be summarized on the request form and returned to the
supplier.
SDRs shall not be used to cover up or replace the lack of proper quality systems or controls at the supplier location.
CCS views excessive use of SDRs for non-conforming material as an abuse and an indicator that a supplier may have
a serious breakdown in their quality system.
9.2. Product Deviation / Change
In certain instances, it may be necessary for the supplier to deviate from CCS requirements and
specifications.
When changes do not affect fit, form or function, an SDR may be submitted for the following:
• Non-conforming material found at the sup p lier’s facility.
• To requ est su bstitu tion of material.
9.3. Process Deviation / Change
Process deviations are required for any changes to process different than what was in place at the time of the
PPAP approval.
CCS expects suppliers to constantly strive to improve quality and reduce process variation through system
improvements. To achieve these goals, suppliers may require process deviations, either temporary or permanent due
to design changes or other unforeseen circumstances (such as changes in equipment/ tooling, changes in critical
sub-suppliers, etc.).
CCS may require the supplier to maintain a safety stock of product produced under the original processes for a
period while deliberate changes are proven out. This safety stock can normally be used later for production.
Work transitions from one manufacturing plant to another require early notification to CCS purchasing through the
submission of an SDR. Suppliers making such transitions shall manage these moves in compliance with CCS
expectations. Expectations can include, but are not limited to, maintaining a safety stock, pre and post move
capability assessment and requalification of the product from the receiving facility .
10. TRACEABILITY & QUALITY RECORDS
Traceability:
Items requiring traceability will be identified during the development phase of a project. Where traceability is
required, CCS will work with suppliers to develop an acceptable system. The requirement for traceability will be
communicated to suppliers through specifications and drawings. Purchase Orders will incorporate the requirement.
Records:
Supp lier’s certification, process, test and / or insp ection d ata shall be p rovid ed to CCS upon request. Records shall be
retained by the supplier for a ten (10) year period after delivery of the relevant products. This requirement does not
supersede any governmental or regulatory requirements for records retention. Any exceptions should be brought to
the attention of CCS by submitting an SDR.
Certain data may be required to be included with product shipment. This will be agreed to with the using CCS site
quality department.
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11. SUPPLIER GOLD PROGRAM
UTC’s Sup plier Gold Program is a m ethod to d ifferentiate supp liers currently operating w ith high d elivery and
quality performance levels. It is a means of recognition for significant continuous improvement efforts and
achievements of our suppliers who have achieved world-class levels of performance.
The p rogram tracks fou r levels of perform ance. All su pp liers in the p rogram are exp ected to be at the “Perform ing”
or “Gold ” levels. Sup p liers w ho are not operating at least to the “Perform ing” level shall p rep are an improvement
plan for review with CCS.
Additional information may be obtained on the “Sup p liers” page at UTC.com
12. SUSTAINABILITY
UTC has established 2020 Sustainability goals for Gold Level suppliers. These goals are a continuation and expansion
of a formal environment, health and safety (EH&S) improvement goals program first begun at UTC in 1992. These
sustainability requirements w ill be phased in over the coming years as noted below.
UTC has established eleven sustainability program requirements for Gold level suppliers:
1. Supplier has code of conduct for ethics and sustainability appropriate for its business (2017)
2. Supplier has formal CEO or Board level commitment to continuous EH&S improvement (2017)
3. Supplier uses an appropriate, written workplace EH&S management system (2017)
4. Supplier has a current injury incident rate < 3.0 (2017)
5. Supplier uses root cause analysis following all serious or fatal injuries (2017)
6. Supplier has demonstrated annual improvements in its use of energy (2017)
7. Supplier has formal EH&S goals (2018)
8. Supplier has demonstrated annual improvements in workplace safety (2018)
9. Supplier has demonstrated annual imp rovements in its use of water (2018)
10. Supplier includes attainment of formal EH&S goals in executive compensation (2019)
11. Supplier has demonstrated annual improvements in its waste recycling rate (2019)
Delivery
(a)
(OTD)
Sustainment of
Performance
Customer
Satisfaction
Supplier
Health
Assessment
(SHA)
High Volume
(PPM)
Low Volume
(b)
(Escapes)
Gold
(c )
0*
0*
100*
12 Months
≥6.0
≥80% for 4
categories
+ pass all Gold
questions
Performing
<500
≤ 5 or
<500 PPM
≥95%
Progressing
<1,500
≤ 15 or
<1500 PPM
>85%
Underperforming
≥1,500
>15 and
≥1,500 PPM
≤85%
1) Last 6 consecutive
months
or
2) 12 of the last 18
months unless last 3
consecutive months
≥ Progressing
Quality
(a)
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13. GLOSSARY: DEFINITIONS AND ABBREVIATIONS
8D
A problem solving process develop ed by Ford Motor Comp any. The nam e “8D” originates from the fact there are
eight disciplines associated with this problem solving format. CCS has adopted the 8D format to be used for both
internal and external problem solving activities.
ACE
Achieving Competitive Excellence: is the operating system for UTC and CCS. ACE is a customer-focused,
process-based methodology for achieving higher levels of customer satisfaction and business performance.
Capability
. The ability of a process to produce output within specified limits. “Im proving process capability” involves taking
steps to limit the amount of variation to defined acceptable limits.
Capability Index
The comparison of available tolerance to the portion of the tolerance consumed by a process in a state of statistical
control.
Cpk
The capability index, which accounts for process centering and is defined as the minimum of CP Upper (Cpu)
or CP Lower (Cpl). It relates the scaled distance between the process mean and the closest specification limit to half
the process spread.
Cpl
Measures how close the process mean is running to the lower specification limit.
Cpu
Measures how close the process mean is running to the upper specification limit.
Commercial Off the Shelf items (COTS)
Stand ard com m ercial off the shelf or catalog items selected from a sup plier’s stand ard line of p arts.
Where CCS does not have design control. CCS does not have a dedicated drawing or purchased part specification.
Parts not tooled specifically for CCS. Parts are used by multiple industries/ customers. Examples include:
electronics (capacitors, diodes, resistors), common fasteners (nuts, screws, washers, etc.).
Corrective Action Report (CAR)
A formal request by CCS to take action to eliminate the cause(s) of an existing nonconformity or other undesirable
situation in order to prevent recurrence.
Control Plan (CP)
Methodology for controlling parts and processes to ensure all process outputs remain in a state of control. The plan is
used and maintained throughout the product life cycle and is responsive to changing process conditions via written
descriptions of the actions that are required at each phase of the p rocess from receiving through shipping.
Critical Item
Any component, material, assembly or complete system which is selected for production and field traceability in
order to satisfy safety reporting requirements or to support reliability analysis of high cost / high interest items. For
examp le, a comp ressor m od el or certain electronic control m od u les might be d esignated as “traceable” item s d u e to
their high replacement costs. A furnace gas valve might be designated due to product safety reporting nee ds.
Deliverable Softw are
All software intended to be used in CCS saleable product, including but not limited to software embedded in
deliverable hardware and deliverable firmware. Refer to section 9 Change Management.
Directed-buy source
Any sub-tier supplier providing material, components, software or services which has been designated to be used by
CCS
Failure Mode and Effects Analysis (FMEA)
A preventive analytical technique to methodically study the cause and effects of potential failures in a pr oduct or a
process. The product or process is examined for all the ways in which a failure can occur. For each potential failure,
This document does not contain any technical data controlled by the EAR or ITAR Page 15
an assessment is made of its effect on the system and its seriousness, and a review is made of the action being taken
(or planned) to minimize the probability of failure or to minimize the effects of the failure.
Gage Repeatability and Reproducibility (Gage R&R)
The evaluation of a gauging instrum ent’s accu racy by d etermining w hether the m easurements taken w ith it are
repeatable and reproducible. .
Key Characteristic (KC)
Any feature of a material, process, part, assembly, or test, whose variation within or outside the specified
requirement has a significant influence on product fit, form, function or other expected deliverable, and thus must be
controlled within prescribed acceptance limits via Process Certification practices.
Key Process Inputs (KPI)
A subset of the process inputs or their characteristics that are key to running the process and producing the right
product/ output.
Key Product Characteristic (KPC)
KPCs are product features that are indicated on the drawing and or related documentation by engineering as
described in 5.1.3. These are typically critical to safety, critical to function, and by exception critical to process
features of the product that must be controlled within prescribed acceptance limits via Process Certification
Layered Process Audits (LPA)
A system of manufacturing process audits performed by multiple levels of management. Key process characteristics
are audited frequently to verify conformance to processing standards and assure performance output is to expected
levels.
Non-conforming product / service
Non-fulfillment of an intended requirement for reasonable expectation for use, including safety considerations.
On Time Delivery
The number of Purchase Order line items delivered on time to the required date and quantity divided by the number
of total Purchase Order line items required.
Part Family
Group of related products that pass through similar processing steps and over common equipment in a value stream.
Parts Per Million (PPM)
A measurement of the defect rate in a product, calculated as: PPM = (Total number of defective parts) x 1,000,000 /
(Total number of parts received).
Part Submission Warrant (PSW)
The warrant contains supplier, part information, required documentation, the supplier application warrant and CCS
disposition. The submission approval by CCS authorizes the supplier to start production.
Process Capability
The range over which the natural variation of a process occurs as determined by the system of common causes.
Process capability has three important components:
Design specification.
Centering of the natural variation.
Range or spread of the variation.
The importance of process capability is in assessing the relationship between the natural variation
of a process and the design specifications. This relationship is often quantified by measures known as
process capability indices. The most common is Cpk.
Process Certification
Process Certification (ProCert) is CCS’s method ology to achieve and sustain statistically controlled and cap able
processes for manufacturing, business, support, maintenance, assembly, and test.
This document does not contain any technical data controlled by the EAR or ITAR Page 16
Production Material and Services
Includes parts, components or raw material that are directly used in the manufacture of CCS products; supplier
designed products that are incorporated into a CCS assembly/ product; and finished goods branded by CCS.
Production Part Approval Process (PPAP)
A process which defines the generic requirements for production part approval. The purpose of PPAP is to determine
if all customer engineering design record and specification requirements are properly understood by the supplier
and that the process has the potential to produce product consistently meeting these requirements during an actual
production run at the quoted production rate.
Q-Plus (Q+)
A UTC developed quality management standard whereby suppliers are rated at one of four levels of compliance.
Repeatability
Assesses the variation in a measurement system caused by the combined sources of measurement variation of a
gage or test equipment when used by one operator or under one set of environmental conditions.
Reproducibility
Variation in measurement averages when more than one operator or set of environmental conditions are imposed on
the gage or piece of test equipment.
Run at Rate study
A formalized production capacity study that verifies proper cycle times, quality expectations and yields have been
achieved in accordance with plan.
Supplier Deviation Request (SDR)
A form submitted by the supplier that is used to document and request approval for any product or process
deviation.
United Technologies Corporation (UTC)
The parent corporation of CCS, other UTC companies include Otis, Pratt & Whitney, United Technologies
Aerospace (UTAS).
Work Transitions
Work Transitions are any movement of production from one manufacturing plant to another.
14. REFERENCE MATERIALS
It is the responsibility of the supplier to ensure that they are working to the latest version of specifications
referenced within this document as well as Purchase Order requirements.
The publications listed below provide additional information concerning quality assurance processes and
techniques discussed in this manual and are available to suppliers through their CCS contacts.
• Business Gifts from Sup p liers, UTC Ethics Brochure.
• The Giving and Receiving of Business Gifts, UTC Ethics Brochu re.
The following publications are available from the Automotive Industry Action Group (AIAG).
These may be ordered on-line at: http:/ / www.aiag.org.
Advanced Product Quality Planning (APQP) and Control Plan (CP).
Measurement System Analysis (MSA).
Potential Failure Mode and Effects Analysis (FMEA).
Production Part Approval Process (PPAP).
Statistical Process Control (SPC).
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15. APPENDICES
Appendix 1 – PPAP Requirements
Below timeline reflects where PPAPs should be requested and approved in the New Product Development cycle
0
01
12
23
34
45
5
Technology /
ConDR
Test Plan /
PDR
Design
Freeze / CDR
Production
Release / FQA
MCS Review /
IQA
Product
Performance
Phase 0
Program Feasibility
Phase 1
Planing and Specification
Phase 2
Development
Phase 3
Release Preparation / Qualification
Phase 4
Manufacturing Pilot
Phase 5
Full Release
Final Selection &
Qualification Plan
Commodity Strategy
Sourcing Strategy & Qualification
PPAP
Approval
Supplier Qualification
complete
MOU/ LTA / Design &
Reliability Targets
Product Design/Development
Parts Release & Management
Process Design/Development
Product and Process Validation
Field Trail
Readiness
ProCert On-going Tracking
Gates
m/s1
m/s1 m/s2
m/s2 m/s3
m/s3 m/s4
m/s4
PPAP
Request
PPAP
Request
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Below Requirements table defines the documentation / data to be submitted to CCS or retained by supplier.
Level 1 Level 2 Level 3 Level 4 Level 5
1Design Record R S S * R
for proprietary components R R R * R
for all other components/ details R S S * R
2Engineering Change Documents, if any R S S * R
3
Customer Engineering approval, if required
R R S * R
4Design FMEA R R S * R
5Process Flow Diagrams R R S * R
6Process FMEA R R S * R
7Control Plan R R S * R
8Measurement System Analysis Studies R R S * R
9Dimensional Results R S S * R
10 Material, Performance Test Results R S S * R
11 Initial Process Studies R R S * R
12 Qualified Laboratory Documentation R S S * R
13 Appearance Approval Report (AAR), S S S * R
14 Sample Product R S S * R
15 Master Sample R R R * R
16 Checking Aids R S S * R
17 Records of Compliance R R S * R
18 Part Submission Warrant (PSW) S S S S 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
If applicable
PPAP Requirements / Submission Table
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Elements of PPAP defined
1. Design Records
A printed copy of the drawing needs to be provided. If CCS is design responsible, this is a copy of the
specification or drawing that is sent together with the Purchase Order (PO). If supplier is design responsible this
is a released drawing in supplier's release system. Ballooned drawing/ specification: Supplier must number each
and every feature and requirement on the design record. Numbering must correspond with the documented
inspection results (including notes, standard tolerance notes and specifications, and anything else relevant to the
design of the part).
2. Authorized Engineering Change (note) Documents
If submission is required while a formal change is in process, an approved Supplier Deviation Request (SDR)
must be included.
3. Engineering Approval
If submission is required before CCS engineering has approved all Engineering qualification tests, an approved
Supplier Deviation Request (SDR) must be included.
4. DFMEA
If the supplier is design responsible, a copy of the Design FMEA (DFMEA), reviewed and signed -off by CCS
Engineering must be included. If it is agreed the DFMEA contains supplier control Intellectual Property (IP), the
DFMEA may be reviewed with CCS Engineering and Quality for approval. Where CCS is design responsible the
list of all Key Characteristics should be shared with the supplier, so they can b e addressed on the PFMEA and
Control Plan. This would typically take place during a design feasibility review meeting.
5. Process Flow Diagram
A copy of the Process Flow, indicating all steps and sequence in the fabrication process, including incoming
components.
6. PFMEA
A copy of the Process Failure Mode and Effect Analysis (PFMEA), reviewed and signed -off by supplier and
customer. The PFMEA should address potential failure modes in each step as outlined in the process flow
document. [including packaging and labeling]. All KC and KPC’s must be inclu d ed on the PFMEA.
7. Control Plan
A copy of the Control Plan, reviewed and signed -off by supplier and customer. The Control Plan follows the
PFMEA steps. All KC and KPC’s m ust be id entified and includ ed on the Control Plan.
8. Measurement System Analysis Studies (MSA)
MSA usually contains the Gage R&R for the Key Characteristics (KCs) and Key Product Characteristics. MSA is
required for both variable and attribute features.
9. Dimensional Results
A list of every dimension noted on the ballooned drawing/ specification. This list shows the p roduct characteristic,
specification, the measurement results and the assessment showing if this dimension is "ok" or "not ok". CCS will
define the quality required for a dimensional layout, typically 3-5 pieces, however this may be adjusted in special
circumstances such as multi-cavity tooling.
10. Records of Material / Performance Tests
A summary of every required test performed on the part. Requirements are usually agreed to by Supplier & CCS
during the design feasibility meetings. This summary lists each individual test, when it was performed, the
specification, results and the assessment pass/ fail. Supporting data to be included as requested, but may be
submitted as tests are completed. In addition, this section lists all material certifications (steel, plastics, plating,
etc.), as specified on the print/ specification. Actual materials certifications are to be included with the
submission.
11. Initial Process Studies
Usually this section shows all Statistical Process Control charts affecting the most critical characteristics. The
intent is to demonstrate that critical processes have stable variability and that is running near the intended
nominal value. All CCS d efined KCs and Sup p lier d efined KPC’s m ust have stud ies includ ed .
12. Qualified Laboratory Documentation
Copy of all laboratory certifications (e.g. ISO 17025, TS) of the laboratories that performed the tests reported on
section 10.
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13. Appearance Approval Report
A copy of the AAI (Appearance Approval Inspection) form signed by the customer. Applicable for components
affecting appearance only. Requirements for any Appearance Approval Reports shou ld be defined during the
Design Review.
14. Sample Production Parts
CCS will define the number of samples to be submitted with the PPAP. Such samples must be produced as part of
the PPAP production run. These samples are to be numbered to correspond to the mea surement data submitted
with the Dimensional Report ( Item 9 above)
15. Master Sample
A sample [typically] signed off by customer and supplier, which usually is used to train operators on subjective
inspections such as visual or for noise.
16. Checking Aids
When there are special tools for checking parts, this section shows a drawing of the template or tool and
calibration records, including dimensional report of the tool. (CMM programing information may be requested)
17. Customer-Specific Requirements
CCS customer may have specific requirements to be included on the PPAP package. It is a good practice to ask
the customer for PPAP expectations before even quoting for a job.
18. Parts Warrant (PSW)
This form that summarizes the whole PPAP package. The PSW includes part information, the reason for
submission and the level of documents submitted to the customer. A Declaration statement must be signed by an
au thorized p erson at the Supp lier’s site m aking the su bmission (typically the plant qu ality m anager). The CCS
using site must disposition the PSW, sign and return to the supplier. The supplier is not authorized until they
have received a full or interim approved PSW from CCS.
If a Level 4 PPAP is requested, the CCS requestor must specify, in writing, what documentation / data will be required to
accompany the PPAP submission. (attachment 2, L-4 addendum)
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Appendix 2 - ProCert
Steps to Certify a Process
The following requirements shall be achieved to consider a process / KC certified.
1) Initial steps to implement Process Certification:
Map the current process steps to identify KPIs and the process KCs that impact the process output and/ or KCs
identified by CCS. Refer to Design and Process FMEA’s in this step . Identify current process performance or
output for each process step.
Verify and document that the measurement processes used for all
variable and attribute KCs are capable (i.e., repeatability,
reproducibility, correlation studies, and total process capability).
Identify controlling actions to maintain process capability and reaction
plans for out of control conditions as they occur at the workstation. These should be documented on the control
plan and/ or work instructions.
Implement a process monitoring method.
Implement a Preventive Maintenance Plan.
Perform self-audits.
2) Variable Measured Characteristics
A process is considered certified when:
Measurement equipment is qualified (e.g. R&R studies completed)
Assignable causes for variation have been identified, documented, and removed.
Process inputs and KCs are identified, monitored, and controlled.
This document does not contain any technical data controlled by the EAR or ITAR Page 22
A minim u m of tw enty−five (25) consecutive observations or thirty (30)
days of output whichever is greater, capturing variability associated
with step to step, piece to piece, set up to set up, time to time, and lot
to lot variation, with no nonconformances detected.
KCs are under statistical control and Cpk of 1.33, or better is demonstrated.
Routine self-audits being performed
3) Attribute Measured Characteristics
A process is considered certified when:
Measurement equipment is qualified (e.g. R&R studies completed)
Assignable causes for variation have been identified, documented and removed.
Process inputs and KCs are identified, monitored and controlled.
A minim u m of forty−five (45) consecutive observations (90%
confidence) or (30) days of output whichever is greater, capturing
variability associated with step to step, piece to piece, set up to set up,
time to time, and lot to lot variation, with no non-conformances detected.
Routine self-audits being performed
Key Characteristics
On some older CCS drawings / specifications the following symbols may still be used to denote key characteristics.
16. ATTACHMENTS:
The following are samples of forms referenced in this manual. To obtain blank forms, or for assistance in completing
forms, suppliers should contact their designated CCS point-of-contact.
Attachment 1: Parts Warrant (PSW)
Attachment 2: PPAP Request Sheet
Attachment 3: Production Part Approval- Dimensional Test Results*
Attachment 4: Production Part Approval – Material Test Results*
Attachment 5: Production Part Approval – Performance Test Results*
Attachment 6: Appearance Approval Report (AAR)
Attachment 7: PFMEA*
Attachment 8: Control Plan*
Attachment 9: Supplier Deviation Request (SDR)
Attachment 10: 8D Corrective Action Report (CAR)
*with using plant consent, Suppliers may use their own internal documents/ forms, as long as they contain all
required information.
This document does not contain any technical data controlled by the EAR or ITAR Page 23
Part Name CCS Part Number
CCS Draw ing No.
Supplier Part Number
Engineering Change Level Dated
Regulations: Safety and/or Government? Purchase Order No. Weight (kg)
SUPPLIER MANUFACTURING INFO
Supplier Name & Supplier / Vendor Code
Street Address
City State Postal Code
MATERIALS
Product complies w ith Materials of Concern Requirements
Are polymeric parts identified w ith proper ISO marking codes ?
REASON FOR SUBMITTAL REQUESTED SUBMITTAL LEVEL (Check one)
Initial Submittal
Change to Raw Material
Supplier Change
To Correct Discrepancy
Tooling Inactive (more than 1 year)
Draw ing Revision Change
Tooling Change: New , Transfer, Reburbished
Change in Part Processing
Parts produced at New Factory Location
Other - please specify
SUBMITTAL RESULTS
The results for dimensional measurements material & functional tests capability appearance
These results meet all draw ing and specification requirements: (If "NO" - Explain Below )
DECLARATION
I affirm that the samples represented by this warrant are representative of our parts, which were made by a process that meets all CCS requirements.
I also certify that documented evidence of such compliance is on file and available for review. I have noted any deviations from this declaration below.
EXPLANATION/COMMENTS:
Supplier Authorized Signature Date
Print Name Phone No. Fax No
Title Email
FOR CCS USE ONLY
PPAP Warrant Disposition
CCS Signature Date
Print Name Customer Tracking Number (optional)
PARTS WARRANT (PSW)
Level 2 - Warrant w ith sample parts and supporting data submitted as
defined by CCS
Level 3 - Warrant w ith sample parts and complete supporting data
submitted to CCS.
Level 1 - Warrant only submitted to customer.
Level 4 - Warrant and other requirements as defined by CCS.
Level 5 - Warrant w ith sample parts and complete supporting data
reviewed at supplier's manufacturing location.
Country
Yes
No
Yes
NO
Approved
Rejected
Interim Approval
Yes
No
Yes
No
n/a
Attachment 1
This document does not contain any technical data controlled by the EAR or ITAR Page 24
Supplier Information
Supplier Name
Supplier Address
Supplier Contact
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
Commodity
Part Number
Part Name
Rev. Level
ECN
PPAP Request Sheet
Attachment 2
This document does not contain any technical data controlled by the EAR or ITAR Page 25
Supplier Information
Supplier Name
Supplier Address
Supplier Contact
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 YPart Submission Warrant (PSW)
Level 4 PPAP Addendum
Commodity
Part Number
Note: CCS to complete this addendum when requesting a Level 4 PPAP Only
Part Name
Rev. Level
ECN
Attachment 2
This document does not contain any technical data controlled by the EAR or ITAR Page 26
Initial Sample Inspection Report
Part Number
Part Name
Revision Level
Date
Supplier Name
Supplier Location
Name of
Inspection facility
Lab Report Attached Yes No
I
T
E
M
Dimension/Specification
(Nominal & Tolerance)
and Material
Specifications
Supplier
Measurement
Device/Technique
Supplier
Measurement
Results
CCS
Measurement
Device/Technique
CCS
Verification
OK
Not
OK
Supplier Signature:
Title: Date:
Disposition: Approve Fail Deviate Resubmit
CCS signature:
Date:
Attachment 3
This document does not contain any technical data controlled by the EAR or ITAR Page 27
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. NOT
Limits Date Tested OK OK
SIGNATURE TITLE DATE
Blank statements of conformance are unacceptable for any test results.
Material Spec. No. / Rev / Date
Supplier Test Results (Data)
Material Test Results
Attachment 4
This document does not contain any technical data controlled by the EAR or ITAR Page 28
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.
Specification / Test Qty. NOT
Limits Date Tested OK OK
SIGNATURE TITLE DATE
Performance Test Results
Test Specification / Rev / Date
Supplier Test Results (Data) /
Test Conditions
Blank statements of conformance are unacceptable for any test results.
Attachment 5
This document does not contain any technical data controlled by the EAR or ITAR Page 29
APPEARANCE APPROVAL REPORT
PART NUMBER
DRAWING
NUMBER
PART
NAME
BUYER
CODE
DATE
SUPPLIER
NAME
Reason for
Submission
SPECIAL SAMPLE RE-SUBMISSION OTHER
FIRST PRODUCTION SHIPMENT ENGINEERING CHANGE
DL * Da * Db * DE * CMC RED YEL GRN BLU LIGHT DARK GRAY CLEAN HIGH LOW HIGH LOW
COMMENTS
APPLICATION
(VEHICLES)
E/C LEVEL
APPEARANCE EVALUATION
SUPPLIER SOURCING AND TEXTURE INFORMATION
PRE-TEXTURE
EVALUATION
AUTHORIZED CUSTOMER REPRESENTATIVE
SIGNATURE AND DATE
PART SUBMISSION
WARRANT
PRE TEXTURE
MANUFACTURING
LOCATION
SUPPLIER
CODE /
VENDOR CODE
CORRECT AND
PROCEED
CORRECT AND RE-
SUBMIT
APPROVED TO
TEXTURE
COLOR EVALUATION
COLOR SUFFIX
TRISTIMULUS DATA
MASTER
NUMBER
MASTER
DATE
MATERIAL
TYPE
MATERIAL
SOURCE
HUE
VALUE
CHROMA
GLOSS
METALLIC
BRILLIANCE
COLOUR
SHIPPING
SUFFIX
PART
DISPOSITION
ORGANIZATIO
N
SIGNATURE:
PHONE NO.:
DATE:
AUTHORIZED CUSTOMER
REPRESENTATIVE SIGNATURE:
DATE:
Attachment 6
This document does not contain any technical data controlled by the EAR or ITAR Page 30
NOTE: For all items w ith a Severity of 9 or 10, the D etection rating must be ≤ 4
Attachment 7
This document does not contain any technical data controlled by the EAR or ITAR Page 31
Process Control Plan
Approvals: Name: Date:
Process auditor:
Quality:
Production:
Engineering:
Workstation Target & Tolerance
Process Operation Reference Qty Freq. Responsibility Signal(s) Response(s)
Monitor & Control
Measurement or
Inspection method
Description of KC
Monitoring
Method
Reaction Plan
Sample
Key Characteristics
Description
of KPI or KPO
Measurement & Inspection
Step
No.
Process Standard
Work Reference
Plant / Location:
Part, Product, or
Product Family name:
Control Plan Document Control
Revision Number:
Process
Attachment 7
Attachment 8
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Attachment 9
This document does not contain any technical data controlled by the EAR or ITAR Page 33
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
Global 8D
8D #
Attachment 10
This document does not contain any technical data controlled by the EAR or ITAR Page 34
Copyright © 2017 United Technologies Corporation. All rights reserved.
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