Process Certification Requirements

of 7 TITLE Process Certification Requirements WARNING This document is the property of United Technologies Corporation (UTC). You may not possess, use, copy or disclose this document or any information in it, for any purpose, including without limitation to design, manufacture, or repair parts, or obtain FAA or other government approval to do so, without UTC s express written permission. Neither receipt nor possession of this document alone, from any source, constitutes such permission. Possession, use, copying or disclosure by anyone without UTC s express written permission is not authorized and may result in criminal and/or civil liability. INTRODUCTION This specification defines process certification requirements as agreed upon by the following business entities herein referred to as Member. UTC Aerospace Systems Aircraft Systems UTC Aerospace Systems - Power Control & Sensing Systems Pratt & Whitney Pratt & Whitney Canada Sikorsky Otis Elevator UTC Climate, Controls and Security Systems UTAS - AS UTAS - PCSS PW PWC SIK OE CCS Each UTC member and their suppliers shall integrate to their respective Quality Management Systems, the requirement of this specification, which encompasses SAE Aerospace Standard (AS) 9103, Variation Management of Key Characteristics. Where a conflict arises between AS9103 and UTCQR-09.1, the latter shall take precedence. In an effort to standardize the use and application of the common quality system requirements, the SAE AS 9103 paragraph numbering scheme has been used. For any given section, if the wording No Additional Requirements appears, this means only the requirements of AS9103 apply for that section number or equivalent requirements per AIAG documents for Commercial members. If additional requirements to the AS9103 section are required, those requirements shall be noted in the corresponding paragraph Each Member shall develop procedures which implement the requirements consistent with this specification both internally and within their respective supply base. Members reserve the right to flow down additional requirements to satisfy specific customer and / or business requirements that will apply only to the Member.

REVISION SUMMARY This document has been completely revised. Major changes include: Document reformatted to align with AS9103 requirements. UNITED TECHNOLOGIES CORPORATION Page 2 of 7 Additional requirements added to supplement AS9103 requirements as shown within the document.

of 7 SECTION TABLE OF CONTENTS 1 SCOPE 4 1.1 Purpose 4 1.2 Convention 4 2 APPLICABLE DOCUMENTS 4 2.1 SAE Publications 4 2.2 ISO Publications 4 2.3 Related Publications 4 3 TERMS AND DEFINITIONS 5 4 GENERAL REQUIREMENTS 5 5 PROCESS MODEL 7 6 NOTES 7 FIGURE 1 APPENDIX A PREFERRED MODEL FOR KEY CHARACTERISTIC VARIATION MANAGEMENT GUIDELINES TO MEETING REQUIREMENTS FOR VARIATION MANAGEMENT OF KEY CHARACTERISTICS APPENDIX B PROCESS CONTROL DOCUMENT EXAMPLE 7 PAGE 7 7

of 7 1 SCOPE: All processes inclusive of manufacturing, maintenance, assembly and test are potential candidates for process control and or certification. This requirement applies to any product feature, process, or key process input that influences the ability of Producers to meet or exceed customer variation management requirements. Key Characteristics (KCs) include product features and their associated process elements deemed critical to quality (CTQ) by Members or their suppliers. It is the responsibility of all Producers and their suppliers to identify KCs in addition to those flowed down by Member drawing or specification. 1.1 Purpose: No Additional Requirements 1.2 Convention: No Additional Requirements 2 APPLICABLE DOCUMENTS: Producers may contact their responsible Member for reference material. Member specific specifications that are needed shall be requested from the applicable Member s Procurement department. It is the responsibility of the supplier to obtain copies of non Member documents specified by this UTCQR. SPECIFICATIONS REFERENCED IN THIS DOCUMENT Document SAE AS 9103 SAE J1739 AIAG FMEA Manual ASQR-01 ASQR-20.1 FORMS REFERENCED Form ASQR-01 Form 3 UTCQR Form 2 2.1 SAE Publications: No Additional Requirements 2.2 ISO Publications: No Additional Requirements 2.3 Related Publications: Document AIAG APQP MANUAL AIAG PPAP Manual AIAG SPC Reference Manual AIAG MSA Manual Title Variation Management of Key Characteristics Potential Failure Modes Effects Analysis (FMEA) Potential Failure Modes Effects Analysis Manual Supplier Quality System Requirements Supplier Sampling Requirements Title Supplier Request for Information Process Certification Requirements Assessment Form Title Advanced Product Quality Planning (APQP) Production Part Approval Process (PPAP) Statistical Process Control (SPC) Measurement Systems Analysis (MSA)

3 TERMS AND DEFINITIONS: 3.1 Critical Item(CI): No Additional Requirements 3.2 Customer: No Additional Requirements 3.3 Key Characteristic (KC): No Additional Requirements 3.4 Key Characteristic (KC) Owner: No Additional Requirements 3.5 Key Characteristic (KC) Process Owner: No Additional Requirements 3.6 Process Control Document (PCD): No Additional Requirements 3.7 Producer: No Additional Requirements 3.8 Special Cause: No Additional Requirements UNITED TECHNOLOGIES CORPORATION Page 5 of 7 3.9 Certified Process: A statistically controlled and capable process as defined by this document. 3.10 Key Process Input (KPI): Any process element that has a significant effect on KCs (e.g., upstream process monitoring of locating datum s, process parameters, required for downstream manufacturing processes, measurement variation, set up, tool wear, coolant concentration, preventive maintenance, temperature, humidity, etc.). 4 GENERAL REQUIREMENTS: 4.1 Process Control and Certification General Requirements 4.1.1 The Producer shall develop and document a process control system in compliance with the guidelines in AS9103 Appendix A. Alternate process control systems that satisfy the requirements herein shall be considered acceptable with approval by the Member. 4.1.2 The Producer shall perform and document periodic self audits of the process control system and their compliance to the process control plans. Audits shall be completed at least once every twelve (12) months. More frequent audits may be necessary depending on the ability of the process / KC to consistently meet the requirements of this document. Note: Process Certification, Control Systems, and Control Plans that satisfy this document will be evaluated using UTCQR Form 2 or equivalent. 4.2 KC Variation Management Compliance 4.2.1 Member and supplier - identified KCs used to manufacture or assemble UTC product shall meet the certification requirements per paragraph 4.4. If this requirement cannot be met in a delay agreed with the Member, the Producer shall notify the responsible Member via ASQR-01 Form 3 or equivalent for Commercial Members. 4.3 KC Definition and Process Control Document Compliance 4.3.1 The Producer shall have a methodology for selecting processes and KCs with priority based on their internal requirements (e.g., high risk areas, quality defects and/or escapes, poorly performing process capability, etc.). 4.3.2 On all processes used to manufacture/assemble UTC product, the Producer shall perform a risk assessment to determine the need for KCs and KPIs.

of 7 4.3.3 The Producer shall use an industry recognized risk assessment methodology such as Design and/or Process Failure Modes Effects Analysis to define product KCs (reference SAE J1739, or AIAG FMEA Manual). 4.3.4 All documentation for identified KCs, including Control charts, PCD, MSA, process control and capability data, and UTCQR Form 2 or equivalent audit results, shall be maintained and available to the Member upon request. 4.4 Process Certification 4.4.1 To certify a process, the Producer shall: 1. Identify, monitor, control and document identified KCs and KPIs on a PCD. Note: PCD shall be consistent with AS9103 Appendix B or equivalent method approved by Commercial Member. PCD shall include a reaction plan to define actions for nonconforming conditions or out of control situations (e.g., contact manufacturing engineering, establish containment, notify customer, stop process, etc.) 2. Demonstrate process is stable and in statistical control, using appropriate statistical methods and or appropriate control charts before calculating process capability. 3. Use a recognized industry method to perform a Measurement Systems Analysis (MSA) to ensure adequacy of the measurement systems used to control KCs. 4. Use, for variable characteristics, a minimum of 25 consecutive observations over sufficient time to capture variability associated with piece to piece, set up to set up, time to time, and lot to lot variation; with no nonconformances and a Cpk >1.33 achieved. Member companies may require other measures of process capability other than Cpk (e.g., Cp, Cpu, Cpl, Ppk, Ppl, Ppu). 5. Use, for attribute characteristics, a minimum of 45 consecutive observations over sufficient time to capture variability associated with, piece to piece, set up to set up, time to time, and lot to lot variation with no nonconformances detected. 6. Establish inspection frequency in PCD for all member-defined KCs as per ASQR- 20.1, when ASQR-01 is required by Purchase Order. 4.5 No Additional Requirements 4.6 No Additional Requirements 4.7 No Additional Requirements

of 7 5 PROCESS MODEL: No Additional Requirements 6 NOTES: No Additional Requirements APPENDIX A: No Additional Requirements APPENDIX B: No Additional Requirements FIGURE 1: No Additional Requirements * * * End of Document * * *