UNITED TECHNOLOGIES CORPORATION
QUALITY REQUIREMENTS
Number: UTCQR-09.1
Revision: 4
Effective Date: 08/02/13
Page 1 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.
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This document contains no technical data subject to the EAR or the ITAR
COPIES PRINTED FROM THE ON–LINE SYSTEM ARE CONSIDERED UNCONTROLLED
UNITED TECHNOLOGIES CORPORATION
QUALITY REQUIREMENTS
Number: UTCQR-09.1
Revision: 4
Effective Date: 08/02/13
Page 2 of 7
REVISION SUMMARY
This document has been completely revised. Major changes include:
Document reformatted to align with AS9103 requirements.
Additional requirements added to supplement AS9103 requirements as shown within the
document.
Unpublished Work - © UNITED TECHNOLOGIES CORPORATION 2013
This document contains no technical data subject to the EAR or the ITAR
COPIES PRINTED FROM THE ON–LINE SYSTEM ARE CONSIDERED UNCONTROLLED
UNITED TECHNOLOGIES CORPORATION
QUALITY REQUIREMENTS
Number: UTCQR-09.1
Revision: 4
Effective Date: 08/02/13
Page 3 of 7
TABLE OF CONTENTS
SECTION
1
1.1
1.2
2
2.1
2.2
2.3
3
4
5
6
FIGURE 1
APPENDIX A
APPENDIX B
SCOPE
Purpose
Convention
APPLICABLE DOCUMENTS
SAE Publications
ISO Publications
Related Publications
TERMS AND DEFINITIONS
GENERAL REQUIREMENTS
PROCESS MODEL
NOTES
PREFERRED MODEL FOR KEY CHARACTERISTIC
VARIATION MANAGEMENT
GUIDELINES TO MEETING REQUIREMENTS FOR
VARIATION MANAGEMENT OF KEY CHARACTERISTICS
PROCESS CONTROL DOCUMENT EXAMPLE
PAGE
4
4
4
4
4
4
4
5
5
7
7
7
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7
7
UNITED TECHNOLOGIES CORPORATION
QUALITY REQUIREMENTS
Number: UTCQR-09.1
Revision: 4
Effective Date: 08/02/13
Page 4 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
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
FORMS REFERENCED
2.1
Form
Title
ASQR-01 Form 3
Supplier Request for Information
UTCQR Form 2
Process Certification Requirements Assessment Form
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
Advanced Product Quality Planning (APQP)
Production Part Approval Process (PPAP)
Statistical Process Control (SPC)
Measurement Systems Analysis (MSA)
Unpublished Work - © UNITED TECHNOLOGIES CORPORATION 2013
This document contains no technical data subject to the EAR or the ITAR
COPIES PRINTED FROM THE ON–LINE SYSTEM ARE CONSIDERED UNCONTROLLED
UNITED TECHNOLOGIES CORPORATION
QUALITY REQUIREMENTS
Number: UTCQR-09.1
Revision: 4
Effective Date: 08/02/13
Page 5 of 7
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
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.
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This document contains no technical data subject to the EAR or the ITAR
COPIES PRINTED FROM THE ON–LINE SYSTEM ARE CONSIDERED UNCONTROLLED
UNITED TECHNOLOGIES CORPORATION
QUALITY REQUIREMENTS
Number: UTCQR-09.1
Revision: 4
Effective Date: 08/02/13
Page 6 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 ASQR20.1, when ASQR-01 is required by Purchase Order.
4.5
No Additional Requirements
4.6
No Additional Requirements
4.7
No Additional Requirements
Unpublished Work - © UNITED TECHNOLOGIES CORPORATION 2013
This document contains no technical data subject to the EAR or the ITAR
COPIES PRINTED FROM THE ON–LINE SYSTEM ARE CONSIDERED UNCONTROLLED
UNITED TECHNOLOGIES CORPORATION
QUALITY REQUIREMENTS
Number: UTCQR-09.1
Revision: 4
Effective Date: 08/02/13
Page 7 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 * * *
Unpublished Work - © UNITED TECHNOLOGIES CORPORATION 2013
This document contains no technical data subject to the EAR or the ITAR
COPIES PRINTED FROM THE ON–LINE SYSTEM ARE CONSIDERED UNCONTROLLED