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SUPPLIER QUALITY
MANUAL
Exhibit 1 to Supplier Quality Policy
Revision: August 28, 2012
Copyright 2012 UTC Climate, Controls & Security Systems. All rights reserved.
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Table of Contents
1. UTC Climate, Controls & Security Systems QUALITY POLICY
2. PURPOSE
3. SCOPE
4. EXPECTATIONS
5. SUPPLIER QUALIFICATION REQUIREMENTS
6. PRODUCTION PART AND PROCESS QUALIFICATION REQUIREMENTS
7. NON-CONFORMING PRODUCT
8. CHANGE MANAGEMENT
9. TRACEABILITY & QUALITY RECORDS
10. SUPPLIER GOLD
11. ENVIRONMENT, HEALTH & SAFETY
12. DEFINITIONS AND ABBREVIATIONS
13. REFERENCE MATERIALS
14. APPENDICES
15. ATTACHMENTS: SAMPLE FORMS FOR GUIDANCE
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1. QUALITY POLICY
UTC Climate, Controls, and Security Systems 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 UTC Climate, Controls and 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, and Security Systems will be known as CCS for purposes of this manual.
3. SCOPE
This Supplier Quality Manual applies to all suppliers that provide production material or product related services to
CCS facilities. This includes internal suppliers within United Technologies and CCS (i.e. CCS owned suppliers),
supplier designed products that are incorporated into a CCS assembly/product, and finished goods branded by CCS.
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
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
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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. Maintain the expertise and resources to perform effective root cause analysis and implement timely
corrective and preventive action.
8. Provide notification of any and all situations that may negatively impact the supplied products quality,
reliability, and safety; design and/or production; or any other matter described in this manual.
9. Be accountable for the impact of poor quality on CCS and its customers.
10. Notify CCS of any condition or change that has impact on UTCs environmental commitments or regulatory
requirements.
11. Fully comply with the CCS Supplier Code of Ethics.
12. 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/Governance/Ombudsman+-+DIALOG
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
5. SUPPLIER QUALIFICATION REQUIREMENTS
Suppliers shall establish and maintain a Quality Management System that ensures production meets all
customer requirements and expectations
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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.
Suppliers shall 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
All suppliers to CCS covered under the scope of this document must be third party registered to one of the above
quality standards by December 31, 2013. Any exceptions to this must be approved by CCSs V.P. ACE & Quality
and the Director of Supplier Quality & Development.
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 suppliers compliance to an applicable quality standard
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 intended to assess a suppliers 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 9000 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.
Q+ Survey
This on-site survey consists of various quality system and process control categories and is intended to provide a
fair appraisal of the suppliers quality system, process controls, and commitment to quality at the time of the
survey.
From time to time CCS will revise this survey to incorporate new quality system requirements.
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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) (see
glossary) The CCS using site will provide the specific requirements for each requested PPAP through the use of the
Part Approval Check Sheet (See section 6.1)
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.
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 CCSs discretion, any or all of the PPAP items may be reviewed on-site at the suppliers 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.
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 key 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 suppliers Control Plan (CP)
The supplier will utilize a Supplier Deviation Request (SDR), Attachment 8, to notify CCS should any
of these events occur. The SDR will be reviewed by CCS; a full or partial PPAP resubmission may be required.
Should resubmission be required, a new PACS will be issued to the supplier.
Full or Interim approval, in writing, must be granted prior to first production shipment.
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6.1 Part Approval Check Sheet
Part Approval Check Sheet (PACS)
The Part Approval Check sheet (PACS) Attachment 7 is a tool used to communicate all part qualification requirements
relevant to a specific part or part family. The requirements for PACS must be met using parts produced by the actual
production processes in the production environment.
CCS will provide a PACS for each part and/or family of parts, to be produced.
The supplier shall:
1. Review the PACS. Questions/disagreements should be addressed prior to acceptance.
2. Sign the PACS. Signing indicates agreement with requirements
3. Return the PACS to CCS, within 10 business days
4. Provide updates to CCS as requirements are completed and contact CCS to address any difficulties
in successfully meeting the requirements.
CCS will lead a review of the PACS requirements. This joint CCS / supplier review includes an examination of
drawings and specifications, applicable industry standards, key product or process characteristics, inspection / test
requirements, material specifications / certifications, application conditions, packaging requirements, etc.
6.2. Sample Parts
The supplier must:
1. Provide the number of sample parts as specified on the PACS.
2. Provide samples from actual production tooling and/or processes unless otherwise approved by CCS in
writing. Where multiple production molds, cavities, dies, machines, etc., are utilized, samples are required
from each.
3. Complete the dimensional and performance and appearance test reports as required, and provide copies of
test reports with the sample parts.
6.3. Dimensional Analysis data submittal
It is preferred that data be submitted electronically. Actual variable data must be provided in terms of
measurements, not attribute data (pass/fail; go/no go; etc.). All results must be traceable to the specific samples
from which obtained.
6.4. Material, Performance, and Reliability Test Results
The supplier, or a qualified independent third party, must supply specific material, performance and/
or durability test results. Actual results must be compared with agreed upon specifications. For certain
parts CCS may require third party testing.
6.5 Appearance Approval Report (AAR)
CCS may require an Appearance Approval Report (AAR) Attachment 5 to be submitted. An AAR is typically
requested for an item which is exposed to view on the exterior of a finished unit. If an AAR is specified on the PACS,
contact the using CCS plant Quality team to ensure the requirements are clearly understood and agreed upon.
6.6. Key Characteristics (KCs)
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, form, function or
other expected deliverable. Key characteristics shall be certified via Process Certification or other similar, approved
methodologies meeting the requirements
CCS will define the key characteristics which the supplier needs to certify
communicated through various methods, including:
Notations and/or symbols documented on
Part Approval Check Sheets (PACS)
Communication of known process issues, production problems or field problems.
The various symbols used on CCS documents to signify key characteristics are shown below:
Additionally, some older drawing may contain other symbols to
A supplier may also identify additional key characteristics beyond those defined by
suppliers with design responsibility.
Any additional supplier-identified key characteristics must meet the
similar approved methodologies, as defined in Appendix 1
Process Capability must be established and demonstrated with results being submitted to
On-going methods of process control for KCs will be documented on the
the CCS using site.
All gages used to evaluate and control Key Characteristics must demonstrate
reproducibility. Refer to section 6.9
6.7 Short Term (Preliminary) Process Studies
For all key characteristics, an acceptable level of process capability or
production.
Initial process studies, often referred to as short
manufacturing process based on data collected over a short period of time, usually less than 3
operating run. The collection of this data should consider
analyzed with control charts. Based on the capability study analysis and method for sampling
1.33 Cpk is required. Any exception must be authorized by
If acceptable process capability/performance cannot be obtained
revised Control Plan must be developed by the supplier and approved by
100% inspection or other means agreed to with the
capability can be demonstrated to CCS
This short-term capability requirement may be replaced by long
processes, with CCSs concurrence.
Where a product or feature does not lend itself to discrete measurements (Attribute
printed circuit boards tested as Go/No Go) the supplier shall propose, for
evaluating process capability.
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6.6. Key Characteristics (KCs)
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, form, function or
other expected deliverable. Key characteristics shall be certified via Process Certification or other similar, approved
uirements in Appendices 1 and 2 Process Certification.
will define the key characteristics which the supplier needs to certify. Key Characteristics will be
various methods, including:
Notations and/or symbols documented on CCS engineering drawings and specifications
Part Approval Check Sheets (PACS)
Communication of known process issues, production problems or field problems.
documents to signify key characteristics are shown below:
tionally, some older drawing may contain other symbols to denote key characteristics. Refer to A
supplier may also identify additional key characteristics beyond those defined by CCS
ers with design responsibility.
identified key characteristics must meet the process certification requirements
as defined in Appendix 1 Process Certification.
must be established and demonstrated with results being submitted to
going methods of process control for KCs will be documented on the suppliers control plan and approved by
ed to evaluate and control Key Characteristics must demonstrate adequate
Short Term (Preliminary) Process Studies
n acceptable level of process capability or performance must be determined prior to
Initial process studies, often referred to as short-term or preliminary studies, refer to assessments of the
manufacturing process based on data collected over a short period of time, usually less than 3
operating run. The collection of this data should consider the type of process and production level. Data should
analyzed with control charts. Based on the capability study analysis and method for sampling
xception must be authorized by CCS in writing.
If acceptable process capability/performance cannot be obtained prior to first production, a corrective action plan and
must be developed by the supplier and approved by CCS. Acceptable interim controls require
100% inspection or other means agreed to with the CCS using factory. Such controls must remain in place until
CCS.
m capability requirement may be replaced by long-term capability results from the same or similar
concurrence.
Where a product or feature does not lend itself to discrete measurements (Attribute data
printed circuit boards tested as Go/No Go) the supplier shall propose, for CCS approval, a
X
P F
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, form, function or
other expected deliverable. Key characteristics shall be certified via Process Certification or other similar, approved
Process Certification.
. Key Characteristics will be
ngineering drawings and specifications
Communication of known process issues, production problems or field problems.
documents to signify key characteristics are shown below:
denote key characteristics. Refer to Appendix 3.
CCS. This is required for
process certification requirements, or other
must be established and demonstrated with results being submitted to CCS as part of the PPAP.
control plan and approved by
adequate repeatability and
performance must be determined prior to
term or preliminary studies, refer to assessments of the
manufacturing process based on data collected over a short period of time, usually less than 30 days or from one
the type of process and production level. Data should be
analyzed with control charts. Based on the capability study analysis and method for sampling, a minimum value of
to first production, a corrective action plan and
Acceptable interim controls require
using factory. Such controls must remain in place until
term capability results from the same or similar
data for example,
approval, an alternate method for
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6.8 Long-Term Process Capability
Long-term process capability studies consist of data collected over a longer period of time or multiple
production runs. The studies reflect all possible types of normal variation found in the manufacturing
process, such as material, method, personnel, fixtures, equipment, tool wear, and environment.
The period of time should be long enough to include all expected sources of variation. Process capability is
defined when the control charts for this interval show the process to be in statistical control.
For key characteristics, CCS requires a minimum of 1.33 Cpk. If the criteria above are not met, suppliers shall
implement 100% inspection or other means agreed to with the CCS using factory. Such controls must remain in place
until the required capability can be demonstrated to CCS.
Note: Since 100% inspection is not cost effective and is often ineffective at screening out nonconforming products, it
should be considered an emergency measure, rather than a permanent feature of the process. The overriding quality
focus should be on prevention, not detection.
6.9 Measurement Systems Analysis (MSA) and Gage
Repeatability and Reproducibility (GR&R)
Gage repeatability and reproducibility (GR&R) studies measure the total repeatability and reproducibility of a gage
system as a percentage of the total specification.
CCS requires gage repeatability and reproducibility analysis for all variable gages that are used to monitor key
product or process characteristics. CCS requires that gage R&R studies be performed whenever either the production
personnel using the measuring instrument or the type of measuring instrument are changed.
The preferred method for performing the gage R&R study on variable gages is the average and range method. The
allowable variation of the repeatability and reproducibility of the measurement system (gage and operator) is
identified on the PACS. If the supplier uses a gage outside the PACS allowable maximum CCS shall be contacted for
approval, generally, 20% is the maximum allowable.
Attribute gages that are used to monitor key product or process characteristics must also undergo gage studies. The
method used will be agreed upon between the supplier and CCS using site Quality organization.
If the gage system fails, the supplier shall take corrective action to make the gage measurements repeatable and
reproducible. A gage shall be proven repeatable and reproducible before it can be used in a capability study, or
before it is used to accept or reject parts.
6.10 Process Flow Diagram
The process flow diagram is a schematic representation of the current or proposed process flow and is used to
analyze sources of variations of machines, materials, methods, and manpower emphasizing the impact of sources of
variation on the process. The flow diagram helps to analyze the total process rather than individual steps in the
process.
The supplier shall have a process flow diagram that clearly describes the production process steps and sequence
beginning at material receipt through packaging and shipping
Any rework or alternate operations considered as standard or normal to the manufacture of product must be shown
on the process flow and addressed in the control plan. Example: an off-line repair station
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Where process steps include operations performed by outside sources, these steps need to be identified within the
diagram.
A single process flow diagram may apply to a group or family of products that are produced by the same processes
in the same sequence.
6.11 Failure Mode and Effects Analysis (FMEA)
The Failure Mode and Effects Analysis (FMEA) is a preventive analytical technique to methodically study the cause
and effects of potential failures in a product or a process. The product or process is examined for all the ways in
which a failure can occur. For each potential failure, 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. The FMEA is a living document and shall be revised as changes are made to the
product or process.
When specified on the PACS, suppliers are required to develop a Design (product) FMEA and/or a
Process FMEA and submit to CCS. Suppliers may be invited to participate in the preparation of higher level Design
FMEA through participation in a product development team. Suitable alternative risk analysis means may be used
either in place of, or in addition to the FMEA as approved by CCS.
The supplier shall use FMEA or equivalent approved methods to identify and mitigate product /
process risk levels throughout the production life of the product.
6.12 Control Plan (CP)
The Control Plan (CP) is a detailed step-by-step listing by which the part, component, etc., is to be manufactured,
inspected, and tested. In effect, the plan describes the actions required at each phase of the process including
receiving, in-process, out-going, and periodic requirements to assure that all process outputs will be in a state of
control. During regular production runs, the CP provides the process monitoring and control methods that will be
used to control characteristics. The CP is to be maintained and used throughout the product life cycle. Early in the
product life cycle its primary purpose is to document and communicate the initial plan for process control.
Subsequently, it guides manufacturing how to control the process and ensure product quality. The CP is
a living document, reflecting the current methods of controlling the process, and shall be updated as control methods
are evaluated and improved.
Suppliers are required to develop a CP and submit to CCS for approval. The CP is identified by part number/part
family and revision level and shall meet the requirements as outline in Attachment 6:
The supplier shall:
Maintain the control plan through the production life of the product
Monitor actual processing of the part.
Compare processing to the CP in all aspects.
Report to CCS any variances/deviations from the plan.
6.13 Process Audit
CCS may conduct a process qualification audit at the suppliers manufacturing facility. This audit 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 audits shall not relieve the suppliers responsibility to produce and deliver defect-free parts.
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6.13.1 Layered Process Audits
Suppliers shall conduct periodic internal process audits to ensure continued conformance to their standard work
instructions and control plans. This will improve process stability, first pass yield and improve customer satisfaction.
Compliance with implemented process controls and verification of mistake proofs must be included in the audit. (see
Layered Process Audits in glossary)
6.14 Certifications, Certificates, and Code requirements
Drawings, contracts, or other specifications may require additional quality system or part certification
requirements (e.g., American Society of Mechanical Engineers (ASME) certification for manufacture of pressure
vessels, Underwriters Laboratories (UL) / Canadian Standards Association (CSA certification), European Union (CE
mark), etc.).
It is the suppliers responsibility to ensure these requirements are fulfilled and maintained. If requested, evidence of
compliance to these requirements must be submitted as part of the PPAP and/or individual shipments
Supplier must notify CCS immediately if their status to one of these requirements changes.
6.15 Additional Requirements
CCS may impose other requirements as necessary. These or other additional requirements will be
identified as early as possible in the sourcing process.
7. 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.
7.1. Warranty
Specific warranty obligations of suppliers are provided in the Commercial Contract in force between the supplier and
CCS.
7.2. 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-conforming product 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.
The supplier is responsible for the segregation and quarantine of nonconforming material. Non Conforming
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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 by all required CCS personnel.
7.3. 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 3
rd
. 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 10) may be required to submit a formal improvement plan. In addition, CCS may require third party
inspection to be implemented at the suppliers 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 including the failures criticality, quantity, 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/replaced, as determined.
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.
7.4 Non-Conformance / Corrective Action Reports (CAR)
The need for a formal CAR will be evaluated in terms of potential impact upon 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 (see form Attachment 9). When CCS issues a request for
corrective action, the supplier will be notified via an e-mail link from our host server.
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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.
Containment action (steps D1-D3 of the 8D form) 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.
8. CHANGE MANAGEMENT
After production 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.
For a permanent product change, CCS reserves the right to requalify the product and will issue an appropriate
PACS.
Supplier Deviation Request (SDR) forms are used to communicate all requests for deviation and process changes
both temporary and permanent.
8.1. 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 8 to their CCS Purchasing contact (Buyer)
for approval.
SDR required information:
1. The current process/product
2. The proposed deviations/changes
3. The reason for deviations/non-conformances with supporting data.
4. State whether the change in question is permanent or temporary. If temporary, these requests shall identify
batch or time duration.
5. Mitigation plans to address any risks due to the process change/nonconforming product
Discrepant material received at CCS without an approved SDR will be rejected and returned to the supplier at the
suppliers expense with all additional handling and shipping costs incurred by the supplier.
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.
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8.2. 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 suppliers facility.
To request substitution of material.
For a permanent product change, CCS reserves the right to requalify the product and will issue an appropriate PACS.
8.3. 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.).
For a permanent process change, CCS reserves the right to requalify the product and will issue an
appropriate Part Approval Check Sheet (PACS).
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.
9. 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 specification and drawings. Purchase Orders will incorporate the requirement.
Records:
Suppliers certification, process, test and/or inspection data shall be provided to CCS upon request, and 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 in writing.
Certain data may be required to be included with product shipment. This will be agreed to with the using CCS site
quality department.
15
10. SUPPLIER GOLD PROGRAM
UTCs Supplier Gold Program is a method to differentiate suppliers currently operating with high delivery 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 program tracks four levels of performance. All key suppliers in the program are expected to be at the
Performing or Gold levels. Suppliers who are not operating at least to the Performing level shall prepare an
improvement plan for review with CCS.
Additional information may be obtained on the Supplier Development page at UTC.com
11. ENVIRONMENT, HEALTH & SAFETY
Environment, Health & Safety is of prime importance to CCS.
It is expected that suppliers will comply with the UTC EH&S expectations listed below:
Provide safe working conditions for all employees, customers and contractors.
Adhere to all applicable National, Regional, State and Local laws and regulations governing Environment,
Health and Safety.
Operate in a manner that minimizes the impact to the environment.
Limit the use of natural resources and promote sustainable natural resource practices.
Extend and communicate these EH&S expectations to suppliers.
Additional information may be obtained on the Supplier Development page at UTC.com
12. DEFINITIONS AND ABBREVIATIONS
8D
A problem solving process developed by Ford Motor Company. The name 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.
Quality
(PPM)
Delivery
(OTD)
Customer
Satisfaction
Lean
Gold 0* & 0 Escapes 100%* 6.0 350
Performing <500 >90%
Progressing <1,500 >85%
Underperforming 1,500 85%
*Meet metrics or Best in Class, defined as supplier with processes and performance
that is superior for similar activities within an industry,
Alternate criteria for Performing may be established for low-volume suppliers or
specific commodities.
16
`Capability
The maximum amount of variation inherent in a manufacturing process. Improving 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
or CP Lower. It relates the scaled distance between the process mean and the closest specification limit to half
the process spread.
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 process 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
example, a compressor model or certain electronic control modules might be designated as traceable items due to
their high replacement costs. A furnace gas valve might be designated due to product safety reporting needs.
Failure Mode and Effects Analysis (FMEA)
A preventive analytical technique to methodically study the cause and effects of potential failures in a product or a
process. The product or process is examined for all the ways in which a failure can occur. For each potential failure,
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 or R&R)
The evaluation of a gauging instruments accuracy by determining whether the measurements taken with it are
repeatable and reproducible. .
Key Characteristic
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 should
be controlled within prescribed acceptance limits via Process Certification practices.
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.
17
Part Approval Check Sheet (PACS)
A document intended to clearly identify requirements and eliminate ambiguity between CCS and a
supplier, prior to production. It identifies Supplier, part information, key characteristics, and qualification
requirements, CCS authorization and supplier sign off.
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 is CCSs methodology to achieve and sustain statistically controlled and capable processes
for manufacturing, business, support, maintenance, assembly, and test.
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.
(refer to section 5.2)
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.
Supplier Deviation Request (SDR)
A form submitted by the supplier that is used to document and request approval for any product or process
deviation.
18
United Technologies Corporation (UTC)
The parent corporation of CCS, other UTC companies include Otis, Pratt & Whitney, Sikorsky, Hamilton
Sundstrand, and UTC Power.
Work Transitions
Work Transitions are any movement of production from one manufacturing plant to another.
13. 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 Suppliers, UTC Ethics Brochure.
The Giving and Receiving of Business Gifts, UTC Ethics Brochure.
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).
14. APPENDICES
Appendix 1 Process Certification
Process Certification is CCSs methodology to achieve and sustain statistically controlled and capable processes for
manufacturing, business, support, maintenance, assembly, and test. Process Certification Milestones define the steps
and the tools used to implement process certification. The following chart shows the relationship between the
Milestone steps and the Supplier Quality Manual criteria for Part Qualification.
Define
KC's
Confirm
KC's
Conduct
Process
Review
Correct
PR
Findings
Map the
Process
Gage
R&R
Baseline
Control
Plan
Capability
Snapshot
Monitor
and
Control
Miminum
Capability
Process
Stability
Large
Control
Sample
Certification
Capability
ProCert
Audit
Part Approval
Check Sheet
SQM6.6 SQM6.1
Requirements
review
SQM6.1
Process
Qualification Audit
Process FMEA
SQM6.1
& 6.11
Gage R&RAnalysis
SQM6.1
& 6.9
Process Control
Plan
SQM6.1
& 6.9 6.12
SQM6.12
; 6.7 & 6.8
SQM6.12
Process Capability
Studies
SQM6.1
& 6.7
SQM6.12
; 6.7 & 6.8
SQM6.1 ;
6.7 & 6.8
SQM6.8
SQM6.1 ;
6.7 & 6.8
MILESTONE 4
Task
SQM6.13
MILESTONE 1 MILESTONE 2 MILESTONE 3
19
Appendix 2 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 / elements to identify KPIs
and the process KCs that impact the process output and/or KCs identified by
CCS.
Identify current process performance or output for each process step.
Verify and document that the measurement processes used for all
variable and attribute KPIs & 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:
Assignable causes for verification have been identified, documented, and removed.
Process inputs and KCs are identified, monitored, and controlled.
A minimum of twentyfive (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.
3) Attribute Measured Characteristics
A process is considered certified when:
Assignable causes for variation have been identified, documented and removed.
Process inputs and KCs are identified, monitored and controlled.
A minimum of fortyfive (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 nonconformances
detected.
20
Appendix 3 -- Key Characteristics
On some older CCS drawings / specifications the following symbols may still be used to denote key characteristics.
15. 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: Production Part Approval- Dimensional Test Results*
Attachment 3: Production Part Approval Material Test Results*
Attachment 4: Production Part Approval Performance Test Results*
Attachment 5: Appearance Approval Report (AAR)
Attachment 6: Control Plan*
Attachment 7: Part Approval Check Sheet (PACS)
Attachment 8: Supplier Deviation Request (SDR)
Attachment 9: 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.
Business Unit
Legacy Identification
Methods
Refrigeration X F P
BSS / Carlyle #
EMEA / Montluel ! CTF
RLCS X
RCD ( C )
21
Part Name CCS Part Number
CCS Drawing No. Supplier Part Number
Engineering Change Level Dated
Regulations: Saf ety and/or Government? Purchase Order No. Weight (kg)
SUPPLIERMANUFACTURINGINFO
Supplier Name & Supplier / Vendor Code
Street Address
City State Postal Code
MATERIALS
Product complies with Materials of Concern Requirements
Are polymeric parts identified with proper ISO marking codes ?
REASONFORSUBMITTAL REQUESTEDSUBMITTAL LEVEL (Check one)
Initial Submittal
Change to Raw Material
Supplier Change
To Correct Discrepancy
Tooling Inactive (more than 1 year)
Drawing Revision Change
Tooling Change: New, Transf er, Reburbished
Change in Part Processing
Parts produced at New Factory Location
Other - please specif y
SUBMITTAL RESULTS
The results f or dimensional measurements material & f unctional tests capability appearance
These results meet all drawing and specif ication 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
FORCCS USEONLY
PPAPWarrant Disposition
CCS Signature Date
Print Name Customer Tracking Number (optional)
PARTS WARRANT (PSW)
Level 2 - Warrant with sample parts and supporting data submitted as
def ined by CCS
Level 3 - Warrant with sample parts and complete supporting data
submitted to CCS.
Level 1 - Warrant only submitted to customer.
Level 4 - Warrant and other requirements as def ined by CCS.
Level 5 - Warrant with sample parts and complete supporting data
reviewed at supplier's manufacturing location.
Country
Yes No
Yes NO
Approved Rejected
InterimApproval
Yes No
Yes No n/a
Attachment 1
22
Attachment 2
23
ORGANIZATION: PART NUMBER:
SUPPLIER/ VENDORCODE: PART NAME:
MATERIAL SUPPLIER: DESIGNRECORDCHANGELEVEL:
* Customer Specif ied Supplier / Vendor Code: ENGINEERING CHANGEDOCUMENTS:
* If source approval is req'd, include the Supplier (Source) & Customer assigned code. NAMEof LABORATORY:
Specif ication / 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 3
24
ORGANIZATION: PART NUMBER:
SUPPLIER/ VENDORCODE: PART NAME:
NAMEof LABORATORY: DESIGNRECORDCHANGELEVEL:
* Customer Specif ied Supplier / Vendor Code: ENGINEERINGCHANGEDOCUMENTS:
* If source approval is req'd, include the Supplier (Source) & Customer assigned code.
Specif ication / Test Qty. NOT
Limits Date Tested OK OK
SIGNATURE TITLE DATE
Performance Test Results
Test Specif ication / Rev / Date
Supplier Test Results (Data) /
Test Conditions
Blank statements of conformance are unacceptable for any test results.
Attachment 4
25
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Attachment 6
27
Supplier Information
Supplier Name
Supplier Address
Supplier Contact
Reason for Submission
Initial Submission Change to Optional Construction or Material
Engineering Change Supplier or Material Change
Tooling Modification Change in Processing
Tooling: Transfer / Replacement / Refurbish Part Produced at a New or Additional Location
Correction of Discrepancy Other
Tooling inactive> 1 Year
Key Characteristics
Reference #
Qualification Requirement (all items checked are required)
Design Record Material Test Results
Engineering Change Records Reliability Test Results
Design FMEA Gauge R&R studies
Process Flow Diagram Process Capability Studies
Process FMEA Appearance Approval Report
Control Plan Quality Systems Certificate
# Samples Requested Qualified Laboratory Documentation
Dimensional Results PSW
# parts 100% layout Other
# parts layout Key
Characteristics only
Other
CCS Authorization
Issued By: Date
Supplier Sign-off
I have reviewed and understand
the above requirements Date
Signature of supplier authorized representative
Commodity
Part Number
Part Name
Rev. Level
ECN
Reference #
Part Approval Check Sheet
Specification / Rev. Level Specification / Rev. Level
Attachment 7
28
Supplier Deviation Request Form
Tracking #
A SUPPLIER AND PART INFORMATION
Date Part Number
Supplier Name Part Name
Supplier Location Revision Level
Supplier Contact PO Number
Telephone # Quantity
Fax # Required Date
B DEVIATION INFORMATION
Deviation Request is: Process Related 1
st
Time Permanent
Product Related Material Change Temporary
Current Specification or Process Proposed Deviation
Reason for Deviation/Corrective
Action
C CCS APPROVAL / DISAPPROVAL
Signature
Approve/
Disapprove
Date Comments
Purchasing
Supplier Quality
Engineering
Manufacturing
Other
D DISPOSITION
Document Change Required? Yes No If Yes, PCA #
Comments:
Attachment 8
29
Attachment 9
CCS Global 8D
8D #
30
Copyright 2012 UTC Climate, Controls & Security Systems. All rights reserved.
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