ppap 215 per asqr-09.2 rev b supplier awareness session course i.d. # 996971 four hours copyright ©...
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PPAP 215Per ASQR-09.2 Rev B
Supplier Awareness Session
Course I.D. # 996971 Four HoursCOPYRIGHT © HAMILTON SUNDSTRAND CORPORATION. THIS DOCUMENT IS THE PROPERTY OF HAMILTON SUNDSTRAND CORPORATION (HS). 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 ANY GOVERNMENT APPROVAL TO DO SO, WITHOUT HS’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 HS’S EXPRESS WRITTEN PERMISSION IS NOT AUTHORIZED AND MAY RESULT IN CRIMINAL AND/OR CIVIL LIABILITY.
This document contains no technical data. ECCN:EAR99
INTRODUCTION TO ASQR-09.2, UTC PPAP PPAP 215, Supplier Awareness Training as prepared from PPAP 101 and PPAP 201
Course I.D. #: 996971
Course Length: 4 HOURS
Prepared by : George Bashura SDE
Date: February 29, 2012
Revision: B
Note to Instructors: DOCUMENT ALL TRAINING PER SP0809
PRODUCTION PART APPROVAL PROCESSControl Page
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What PPAP is and what is Hamilton Sundstrand’s vision on PPAP
PPAP key deliverables
Your role in PPAP
Risk mitigation through FMEA
OBJECTIVESBy The End Of This Session You Should Understand:
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What’s PPAP?
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PPAP is a specification used to establish confidence in component suppliers and their production processes, by proving that:
"....all Hamilton Sundstrand’s requirements are met by the supplier and that the process under review has demonstrated, during an actual production run, to have the potential to consistently produce parts meeting these requirements."
INTRODUCTION TO PPAPA Definition (Reference AIAG PPAP Manual)Production Part Approval Process
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HISTORY OF PPAPRoots in AutomotiveIn 1982 the management staff of General Motors, Chrysler and Ford Motors founded AIAG (Automotive Industry Action Group).
The group then created to Advanced Product Quality Planning & Control Plan (APQP), within these standards, the AIAG developed PPAP to advance the parts production approval process of quality planning.
The first manual spelling out the multiple requirement of PPAP was published in 1993. PPAP is part of the auto industry's overall Advance Product Quality Planning initiative, step-by-step procedures designed to ensure production of an end-product that will satisfy consumers.
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7
UTC PPAPDeployment methods to suppliers
How deployed?Automotive (Benchmark) – ISO/TS 16949/PPAP Manual
Commercial – Supplier Quality Manuals
Aerospace – Purchase Order (ASQR-09.2)
Automotive1st Edition - 1993
BENCHMARK UTC COMMERCIAL UTC AEROSPACE
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UTC PPAP Why is UTC Aerospace adopting PPAP?
COMPONENT RELIABILITY BATHTUB CURVE
Fai
lure
Rat
e
Time
Infant Mortality (Unbudgeted Costs)
Useful Life(Warranty Costs)
Wear Out
PPAP would reduce “Infant Mortality” costs incurred on a new program
KEY DRIVER - Escapes due to: * Poor/Changing designs * Poor manufacturing processes * Misunderstanding requirements * Workmanship errors * Supply Chain fluidity * Control of sub-tiers
KEY DRIVER - Inherent Design component reliability based on constant failure rate
$
* Beyond Warranty
* Aftermarket sales of spare parts
B787 TPRs initiated due to key drivers above
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UTC PPAPBenefits to Customers, Plant Sites and Suppliers
Manufacturing process functions that are clearly planned, validated, documented and communicated that result in:
Reduced process variation
Statistically controlled processes
Enhanced customer confidence in supplier’s capabilities
Consistent approach in assuring quality and providing evidence
Reduced COPQ (infant mortality escapes)
Better controlled process changes
Development Production
Prevention through PPAPCurrent state
Time
$$ T
ota
l Co
st o
f Q
ual
ity
RedesignRe-qualifications
Escape Investigations
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UTC PPAP PROCEDURE – ASQR-09.2ASQR-09.2 – AS9102 Comparison Matrix
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COMPARISONHIGHLIGHTS
14 of 19 elements are covered in AS9102
UPPAP per ASQR-09.2 requires both design and process risk identification & mitigation
UPPAP requires more than one part to be 100% dimensionally verified (requires 5) to show process stability
ITEM #CRITICAL PRODUCTION SYSTEM ELEMENT
REQUIRING VALIDATION BY ASQR-09.2 (UTC PPAP)
AS9102 FAI REQUIRED
ELEMENT TO VALIDATE (Yes/ No)
1 Released Production Drawings Yes2 Additional Engineering & Quality Requirements Yes3 Production Purchase Order and Demand Fullfillment Yes4 Design Failure Modes Effects Analysis No5 Process Flow No6 Process Failure Modes Effects Analysis No7 Process Control Plan Yes8 Process Readiness Study No9 Initial Process Capability Studies Yes10 Measurement Systems Analysis Yes11 Engineering Frozen Planning and Source Approval Yes12 Dimensional Report Yes13 Production Verification Testing Yes14 Special Process and Nondestructive Test Approval Yes15 Material Certification Documentation Yes16 Raw Material Approval Yes17 Part Marking Approval Yes
18 Packaging, Preservation & Labeling Approval No
19 Review and Sign-Off Yes
Element not required to be reviewed by AS9102 FAI but is required by ASQR- 09.2 UTC PPAP
Element required to be reviewed by both AS9102 FAI and ASQR- 09.2 UTC PPAP
LEGEND
10
Company Private
ACCESSING ASQR-09.2 ON HS SUPPLIER PORTAL
Click on “Quality”
Click on “Aerospace QualityRequirements
Scroll down to ASQR-09.2
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HS SUPPLIER PORTAL HELP
12
Go to: www.hssupplierportal.com
Click on “Help” tab
Get PPAP related materials concerning:
1) FMEA2) Process Certification3) Capacity Analysis Tool4) Manufacturing Process Review
forms5) Quality Clinic Implementation6) Ito University7) Training Schedule8) Supplier Gold9) Transition Process10) PPAP11) ….and much more!
Emails can be sent to the following address [email protected]
VISIONWhat does HS want to achieve with PPAP?All new HS designed product (components and assemblies), significantly revised product, and/or product transitions are produced, at all times, using formally validated process in order to mitigate the risk of Customer escapes.
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TECHNICAL PROCESS REVIEWS Findings in the production phase
HS Supplier Quality conducted 700+ supply baseTechnical Process Reviews over the last2 years for various programs
Major process weaknesses identified were:
Misinterpretation of drawing requirementsOperator work instructions inadequaciesLittle or no use of PFMEA to identify/mitigate process risksLack of using process controls and mistake-proof methodsInadequate sub-tier supplier flowdown of critical HS requirementsNot enough usage of Gage Capability Studies and SPC
PPAP will address all the short-comings discovered during these reviews
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FORMAL VALIDATIONWhat does this mean? For a Supplier?
Supplier’s will perform formal production reviews, QC-0990.27 on processes used to manufacture HS product with PPAP requirements
Reviews conducted by SQA with functional experts where appropriate (i.e., X-Ray, Heat Treat, etc.)
Supplier’s will prepare the Objective Evidence Package QC-0990.28 and the checklist QC-0990.26 that supports each element selected
HS Supplier Quality will perform a full or partial review of Objective Evidence Package based upon Suppliers PPAP Level
UPPAP Approval Submission Form sign-off bySupplier and HS
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Level Submitted documentationReviewed
at
1 PPAP Approval form only HS
2PPAP Approval form with limited supporting data
HS
3PPAP Approval form with complete supporting data
HS
4PPAP Approval form with complete supporting data
Supplier’s location
Company Private
HSC PPAP Tool KitHamilton Sundstrand has created a “PPAP Kit” for use by internal plant sites and suppliers
Contains all the forms required for submissionIncludes instruction on the use of the formsFully compliant to ASQR-09.2, UTC PPAP specification
The HSC PPAP Tool Kit contains everything required for submission and is available on the HS Supplier Portal at www.hssupplierportal.com
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Process ReadinessStudy Assessment
QC-0990.27PPAP 215
Training Package
HT1000 PPAPImplementation Manual
Form Number: QC-0990.26
Revision: I nitial Release
Date: 6/22/2011
Element UPPAP Element Criteria
Status (N/A, Not
Started, In-Process,
Completed)
Action I tem(s)/ Comments
A) Does producer have access to applicable UTC division drawings & specifications?B) I s top level and sub-level (BOM) drawings and specifications released (i.e. signatures applied)?C) I s producer working to correct drawing revisions, including all detail drawings (e.g. casting, forging, other detail parts) as indicated on the purchase order?
D) Validate if any Critical to Quality (CTQ) features called out.
A) Verify that any supplemental customer requirements (Purchase Order, Quality or Engineering Notes/Documents) are incorporated into producer and subtier manufacturing processes and documents.
B) Verify that the producer is working to the correct released revision of any supplemental customer requirement documents as specified on the Purchase Order (e.g. Quality or Engineering Notes/Documents, other specifications).A) Verify that the producer is working to a production purchase order?B) Verify that the sub-tier PO documents flow down any UTC requirements per ASQR-01, ASQR-09.2 etc.C) Does the UPPAP package have evidence that the producer knows the latest demand schedule and is updating capacity and manufacturing plans accordingly.D) I s there evidence that the producer flows down the latest demand schedule to subtier suppliers and is updating subtier management plans accordingly.
Released Production Drawings
SPD/ SMD and SI SheetsNOTE: See Element Reference Card for UTC
divisional definitions.
Production PO and Demand Fullfillment
UTC PPAP2 ASSESSMENT CHECKLIST
PPAP Checklist QC-0990.26
Objective EvidencePackage & Forms
QC-0990.28Part Number: Part Name :
Familiy Name:
Assessment Date:
Select PRS evaluation level:
P.R.S “Development” level = Planning, up to 1st batch >40%
P.R.S “Production Ready” level = Pre-production; before production component delivery >80%
P.R.S “Continuous Improvement” level = ZNC >90%
Total average score: 33%
Supplier Name: Supplier Code:
Supplier Mfg. Eng’g Rep.:
(Manager or Supervisor) _____________________________________(signature)
Supplier QA/QC Rep.:
(Manager or Supervisor) _____________________________________(signature)
UTC Member Focal Point:
_____________________________________(signature)
MOS 100%
Tooling 0%
Gauging 0%
Mfg. E._ TPM 0%
KPC
Sub-Tier Control
Capacity Planning 0%FOD 0%
Process Readiness Study (Reference Element 8, ASQR-09.2)
Production Ready
100%
0%
0%
0%0%
0%
0%
0%
0%
100%
MOS
Tooling
Gauging
Mfg. E._ TPM
KPC
Sub-Tier Control
Capacity Planning
FOD
Series1
PPAP 215Per ASQR-09.2 Rev B
Supplier Awareness Session
Course I.D. # 996971 Four Hours
COPYRIGHT © HAMILTON SUNDSTRAND CORPORATION. THIS DOCUMENT IS THE PROPERTY OF HAMILTON SUNDSTRANDCORPORATION (HS). YOU MAY NOT POSSESS, USE, COPY OR DISCLOSE THIS DOCUMENT OR ANY INFORMATION IN IT, FOR ANYPURPOSE, INCLUDING WITHOUT LIMITATION, TO DESIGN, MANUFACTURE OR REPAIR PARTS, OR OBTAIN ANY GOVERNMENTAPPROVAL TO DO SO, WITHOUT HS’S EXPRESS WRITTEN PERMISSION. NEITHER RECEIPT NOR POSSESSION OF THIS DOCUMENTALONE, FROM ANY SOURCE, CONSTITUTES SUCH PERMISSION. POSSESSION, USE, COPYING OR DISCLOSURE BY ANYONEWITHOUT HS’S EXPRESS WRITTEN PERMISSION IS NOT AUTHORIZED AND MAY RESULT IN CRIMINAL AND/OR CIVIL LIABILITY.
This document contains no technical data. ECCN:EAR99
PPAP1 Review ChecklistQC-0990.25
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PPAP – PASSPORT RELATIONSHIP
P0 P1 P2 P3 P4 P5
Passport 5Approval to go to serial production
and service
Passport 4Validation & Verification
Passport 3Detailed Design
Passport 0Proposal
Element 1 Released ProductionElement 2 SPD/SMD and SI sheetsElement 3 Production PO and demand fulfillmentElement 4 DFMEAElement 5 Process FlowElement 6 PFMEAElement 7 Process Control PlanElement 8 Process. Readiness Study (PRS)Element 9 Initial Process Capabilities StudyElement 10 Measurement System Analysis
Complete PD by determining PPAP P/Ns, applicable elements and oversight levels; Begin DD working to communicate PPAP requirements, conduct training and complete the PPAP1 Review per HT0990.
4 & 111, 2, 5, 6, 7, 8, 14, 15,16, 17 & 18
3, 9, 10, 12, 13, & 19
Element 11 Eng Frozen Planning and/or Source ApprovalElement 12 Dimensional ReportElement 13 Production Verification TestingElement 14 Special Process Approvals & NDTElement 15 Material Certification DocumentationElement 16 Raw Material ApprovalElement 17 Parts Marking ApprovalElement 18 Pkg, Pres. & Labeling ApprovalElement 19 Review & Sign-Off
PPAP2
Review
PASSPORT GATES
KeyReviews
PPAPElement Number
ExpectedCompletion Time
Key Outcomes
DCAR PDR CDR
Complete DD and starting VV with Producer preparing package. During VV complete PPAP 2 Review per HT0990. Close any gaps with Producer. Complete VV via sign-off of UPPAP Form 1. Enter into Serial Production
Legend
1st Shipment12 months
Months 1-4 Months 5-9 Months 10-12
DCAR Design Concept Architecture Review PDR Preliminary Design Review CDR Critical Design Review
PPAP1 Review: Conducted to teach and prepare a Producer for compliance with ASQR-09.2PPAP2 Review: Conducted to validate a Producer’s compliance to ASQR-09.2
F/N=L:\SQ\SD\PPAP\PPAP-Passport Relationship – August 5, 2011
PPAP1
Review
Passport 1/2HS Awarded
ContractPreliminary Design
METHODWhat are the key elements?
PPAP specifies steps and standards for every phase of the planning and production process.
PPAP documentation, which follows the product from inception to completion, contains 19 separate elements by the time production is completed.
Key documentation requirements are validated on a form called a “UPPAP Approval Submission”
Elements are shown on next page
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PPAP ELEMENTS PER ASQR-09.2Contents for Objective Evidence Package
Released Production Drawings
Specifications
Production PO
Product Definition
11
22
33
Design FMEA
Manufacturing Process Flow
Process FMEA
Process Control Plan
Process Readiness Study
Initial Process Studies
Measurement System Analysis
Dimensional Report
Raw Material Approval
PPAP Core Activities
5555
6666
7777
8888
9999
10101010
12121212
4444
16161616
Frozen Process/Source Approval
Production Verification Testing
Special Process Approvals & NDT
Material Certification Documentation
“If Required” Activities
11111111
13131313
14141414
15151515
1919
1818
1717 Parts Marking Approval
Packaging, Preservation & Labeling Approval
HS Pre-Approved
PPAP Review and Sign-Off
HS Formal Approval
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Process Flow & Process FMEA
GR&R, SPC & Sampling
RPN Calculation (Supplier-selected KPCs
and/or M/P controls)
Process Control Plan & Initial Process
Studies
Work instructions Visual Aids
RCCA(address poor
capability)
Process Planning
PPAP CORE ACTIVITIES SUMMARYHS CTQFeatures
Escapes, QN & COPQ
Interface
20
FAILURE MODE EFFECTS ANALYSIS (FMEA)
FMEA is a tool used to identify product or process risks
Risk mitigation plans are created to reduce probability of failure modes occurring
DFMEA (Design FMEA) is completed on a product design for suppliers with design authority per ASQR-09.2
PFMEA (Process FMEA) is completed on all the process steps of the manufacturing and assembly process per ASQR-09.2
Risk Identification and Mitigation Tool
See Appendix 1 for FMEA Guideline
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FAILURE MODE EFFECTS ANALYSIS (FMEA)Linkages that must be demonstrated
ASQR-09.2 requires Suppliers to demonstrate this chain reaction
DFMEA
PFMEA
Control Plans
Work Instructions
Controls
Focus is on the product design and/or specificationsRequired for suppliers with design authorityLook at similar design, Customer MFA, VOC, major escapes & field issues
Focus is on the part process including its flow; begins with a flowchart of operational stepsRequired for all suppliers to performLook at internal & external escapes, defect data, labor variances, and turnbacksLook linkage to DFMEA where applicable
Focus is on how specific process steps will be controlledRequired for all suppliers to performDefine Key Process Inputs, Control Methods, Gage Capability , SPC chart and reaction planLook linkage to PFMEA
Focus is on the Operator instructions created for each specific process stepRequired for all suppliers to performLook at clarity, user-friendlinessLook linkage to Control Plan and HS requirements
Focus is on the ability to prevent high RPN failure modesRequired for all suppliers to performAssure compliance to UTCQR-09.1 and ASQR-20.1
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RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT.
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New PPAP Workbook
Allow suppliers to understand exactly what needs to be completed and submitted for each of the 19 PPAP elements per ASQR-09.2
Customer: United Technologies Document Created:Part Number:311003X-01 Document Revised:Part Name:Critical widget Part Revision Level:
Please insert copy of layout approval
ACMEPWXXXX
E
Index
Process or Part No: MOS / AFS Rev. Level:
Planning group: Originator: ISSUE DATE:
Key Product Characteristic
KPCD / KPCM / KPCA KEY PROCESS OUTPUT OPER. NUM.SEQ.
NUMBER
CONT. CHART TYPE
SAMP. SIZE
SAMP. FREQ.
BASELINECP
BASELINECPK
TYPE OF GAUGE CAPABILITY (%)PROCESS
PARAMETER SETTING
CONTROL METHOD REACTION PLAN
Pro-Cert analyst approval:
DATE:
KEY PROCESS PARAMETERS
KEY PROCESS OUTPUT
KEY CHARACTERISTIC CONTROL PLAN
KEY PROCESS INPUT
Engine Model:
REVISION LETTER:
MEASURING SYSTEM
Index
PPAP MARKING AND TRACEABILITY APPROVAL (Ref.: CPW010 & CPW920)
This document revision refer to CPW 10 Rev: BA and CPW 920 Rev; (no chg)
As per P&WC drawing (or NFD drawing):
1) Indicate the Part number:
2) Revision letter: (Refer to CPW 920; 5.4 and 4.3.1 for spacing)
3) Indicate the Part Description: If the part description contains: ASSEMBLY, ASSY, ASSY-OF, ASYO or WELDMENT, the part is an assembly.
4) Is the part an assembly part? (Refer to CPW 920; 5.3.1.1b)
5) Indicate the Part type:P&WC drawing part (Refer to CPW 920; 5.1)Coordinate control part (CPW 103, CPW 154) (Refer to CPW 920; 5.1)Source control part (CPW 101, CPW 102, CPW 144) (Refer to CPW 920; 5.3, 5.3.1.1b, 5.6.4.2)
6) Indicate the drawing automation requirement: 2D data matrix UI (packaging) N/A
7) Is drawing indicate a serialization requirement: (Refer to CPW 920; 5.5 for format and TEI)
8) Indicate your supplier code; (Refer to CPW 920; 5.1.1)9) Indicate your supplier prefix; (Refer to CPW 920; 5.1.1e)
10) Indicate your final or DQCR stamp: (Refer to SQOP 09-01)
11) For source control part only; indicate your cage code: 12) For source control part only; indicate your supplier part number and part rev. letter (or equivalent)
Supplier part number: Part revision:
For validation13) 2D data matrix: Indicate the whole 2D encoded data (Show spaces with underscore “_”):
14) Packaging and WEB: Indicate the content of the “SER NO.” or “UI NO.” field of the packaging label
(Note; it will be the same format in the WEB, when required)
On one row as: Or on several rows as:
Approved by:
P&WC XXXXXX (2011-01) QUALITE DES LOGICIELS ET GESTION DE DONNES - SOFTWARE QUALITY & DATA MANAGEMENT (1570)
Pictures (use other page if necessary):
15) Human readable: Indicate the whole human readable as it should be marked on part and/or provide pictures of the whole marking (Show spaces with underscore “_”):
NOTE; All questions below shall be reply in order to obtain a correct evaluation of the mark ing format. The evaluation of the 2D data matrix quality shall be done using a 2D reader.
(Refer to CPW 920; 5.6 for 2D format and TEI and to 5.5.7.1 for Specific Labeling Requirements for DPMS Format or Packaging UI Format)
The part number shall be prefixed by Text Element Identifier (TEI) or P&WC prefix as per the following references: CPW 920; 5.3.1, CPW 920, 5.3.1.1a, CPW 920, 5.3.1.1b.
PPAP PACKAGING, PRESERVATION & LABELLING PER CPW40 APPROVAL P &WC 11187 (2009-10) CONTROLE INVENTAIRE ET AMÉLIORATION CONTINUE - INV.CONTROL&CONT.IMP ROVEMENT (5640)
Reference SQOP-01-10 REV. A paragraph 6.4.4.19.
Part Number ______________ Description ______________
Option number ______________
VENDOR MANUFACTURING INFORMATION
Supplier name ______________ Vendor Code ______________
SUPPLIER INTERACTIVE PACKAGING INSTRUCTION (SIPI)
Part number last revision date: _____________ copy attachment
PRESERVATION METHOD
Check one below
10 31 33 41 AMS2817 Others _______________
conform yes no n/a
PRESERVATION MATERIAL
Check one below
N/A PK520 PK2802 ANTISTATIC UV protection
conform yes no n/a
ENVELOP
Type _________ Dimension ________ Thickness ________ Qty parts per ________
conform yes no n/a
CONTAINER
Unit container type _________ Dimension ________ Qty parts per __________
conform yes no n/a
Intermediate cont. type ______________ Dimension __________
conform yes no n/a
Shipping cont. type ______________ Dimension __________
conform yes no n/a
PACKAGNG MATERIAL
Pilot pads Pads PK2560 PK2612 PK1500 TAPING STRAPPING
Others _____________
conform yes no n/a
For UTC Member: Contact:
Part #: C/L:
Part Name: SPD/SMD #:
Drawing #: C/L:
Purchase Order #: UTC Buyer:
Yes No N/A Yes No N/A
1. Released Production Drawings 10. Measurement System Analysis Studies
2. SPD/SMD and SI sheets (as applicable) 11. Engineering Frozen Planning/Source Approval (if applicable)
3. Production Purchase Order 12. Dimensional Reports, including Visual Appearance
4. Design FMEA (if applicable) 13. Production Verification Testing (PVT)
5. Process Flow 14. Special Process Approvals including NDT
6. Process FMEA 15. Material Certification Documentation (Copies)
7. Process Control Plan 16. Raw Material Approval (if applicable)
8. Process Readiness Study (PRS) 17. Parts Marking Approval
9. Initial Process Studies 18. Packaging, Preservation & Labeling Approval
Co
mm
ents
Approved Interim Approval - Class: _______ Estimated date of full approval: ___________________________ Not approved
Co
mm
ents
Designated MFP
ASQR-09.2 Form 1 (Rev. 01/11)
Supplier name
ELEMENT DESCRIPTION
Phone #
FOR UTC USE ONLY
Title Date
I, the supplier, submit this UPPAP data to give objective evidence that all engineering, design and specification requirements are understood and have been complied w ith, as detailed above. I have also review ed all existing part and process data w hich a
UPPAP APPROVAL
LEVEL REQUESTED (All submissions are made to the MFP - Submission Information required)
SPECIFIED REQUIREMENTS (NOTE: "No" selections require comments and a recovery plan)
LEVEL 1 Submit ASQR-09.2 Form 1 only
LEVEL 2: Submit ASQR-09.2 Form 1 & limited supporting data
SUPPLIER MANUFACTURING INFORMATION
DateFunctionMember Authorization: Clearly Print Name and Sign
Supplier Authorization: Clearly Print Name and Sign
DECLARATION
Supplier Code Unique process number and revision
Street Address Country Post CodeState/Province
LEVEL 4: Reviewed at supplier's mfg location - ASQR-09.2 Form 1 & complete supporting data
LEVEL 3: Submit ASQR-09.2 Form 1 & complete supporting data
ELEMENT DESCRIPTION
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23
New PPAP Checklist
QC-0990.26• Incorporates all 19 PPAP elements required by ASQR-09.2• Spikes out specifically what to look for each PPAP element
Producer Supplier ABC PPAP Level 4
Part Name Widget Part Number 767821-1Engineering Change Level A Reason for Submission New ProgramExpected PPAP Submission Date 15-Nov-11 Production Start Date 12/15/2011
Element PPAP Submission I temsRequired
Documents
UTC Required element for this
Part/ Part Family? (Yes/ No)
Producer required to submit
objective evidence to UTC Division for
this element?(Yes/ No)
Producer'sResponse
UTC Reviewer's Response
R/ Y/ G Status(based on UTC
Response)
Comment and/ orRecovery Plan Action I tem
1) Does producer have access to applicable UTC division drawings & specifications?
Drawings and specifications
Yes Yes Completed Completed
2) I s top level and sub-level (BOM) drawings and specifications released?
Drawings and specifications
Yes Not Completed Not CompletedProduction Drawing not released; Supplier currently working to "X-Drawing". HS Engineering promise date to finalize design is 10/15/2011.
3) I s producer working to correct drawing revision? Applicable drawings Yes Partial Completion Partial Completion Supplier working to development drawing. Note above.
4) I s producer working to correct specification revisions for specifications called out on the drawing/P.O.? Refer to Control Card. Applicable specifications
Yes Completed Completed
5) Validate any CTQ Features called out.Applicable drawings and specifications
Yes Partial Completion Partial Completion HS Engineering has documented 3 CTQCs on unreleased drawing.
6) For any CTQCs/CTSCs called out, validate producer has approved KPC Management Form for lower-level selected KPCs.
KPC Management Form (ref. ProCert Database)
Yes Not Completed Not CompletedSupplier has not performed KPC Self-Selection per HSC16199/HSM17 to support HS Engineering CTQCs flowed down on drawing.
7) For drawings that call out a specific casting/forging drawing, has producer flowed down to the sub-tier the correct revision drawing? Also, refer to Element 16 for drawings that specify a specific casting/forging P/N to be used to ensure proper UTC approval.
Lower-level raw material drawing
Yes Not Applicable Not Applicable
UTC PPAP ASSESSMENT CHECKLIST
Released Production Drawings
1
(NOTE: To be used in tandem with UPPAP Submission Form 1, ASQR-09.2)
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24
New Process Readiness Study – Element 8
Allow suppliers to self-assess the processes building UTC product to ensure production readiness
Originally developed by PWC; added Capacity Planning and FOD
Focus areas include:
Manufacturing Operation SheetsToolingGagingEquipment & TPMControl of Key Product Characteristics (KPCs)Control of Sub-tier SuppliersCapacity PlanningControl of Foreign Object Debris (FOD)
Part Number: Part name :
Familiy Name:
Assessment date:
Select P.R.S evaluation level:
P.R.S “Development” level = Planning, up to 1st batch >40%
P.R.S “Production Ready” level = Pre-production; before production component delivery >80%
P.R.S “Continuous Improvement” level = ZNC >90%
Total average score: 0%
Supplier Name: Supplier Code:
Supplier Mfg. Eng’g Rep.:
(Manager or Supervisor) _____________________________________(signature)
Supplier QA/QC Rep.:
(Manager or Supervisor) _____________________________________(signature)
UTC Member Focal Point:
_____________________________________(signature)
MOS 0%
Tooling 0%
Gauging 0%
Mfg. E._ TPM 0%
KPC
Sub-Tier Control
Capacity Planning 0%
FOD 0%
Production Readiness Study (ASQR-09.2 Form 3)
Production Ready
0%0%
0%
0%0%
0%
0%
0%
0%
100%
MOS
Tooling
Gauging
Mfg. E._ TPM
KPC
Sub-Tier Control
Capacity Planning
FOD
Series1
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25
Company PrivateHAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT.
THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
PROCESS CERTIFICATION• Applied to HS drawings & specifications per HSC16199
• HSM17 now provides specific instructions to DQR relative to Process Certification compliance
• Suppliers must control KPCs using Statistical Process Control (SPC)
• Suppliers must enter compliance data into HS Process Certification Database available on HS Supplier Portal
General Characteristic Information
Key Process Inputs
Gage Capability Information
Initial Process Capability Results
Milestone Tracking
Supplier KPC Requirements• Documented Process Control Plan
• Completed Gage Capability Study
• SPC Data Collection at Operator Workstation
• Control Charts filled out by Operator
• Calculated Process Capability Indexes
• Action Plan to improve KPCs with Low Cpk
99.73%
95.46%
68.26%
X-3S -2S -1S +1S +2S +3S
.0214 .1360 .3413.3413 .1360 .0214
99.73%
95.46%
68.26%
X-3S -2S -1S +1S +2S +3S
.0214 .1360 .3413.3413 .1360 .0214
GOAL: Achieve Milestone IV – “Certified Process”
26
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27
CAPACITY ANALYSIS REVIEW
• Recently developed to support Rate Readiness Reviews• A tool to assess current & future capacity• Conducted to assure ability to meet a ramp-up in schedule• Used to identify potential and existing over-capacity situations• Develop risk mitigation plans to address over-capacity situations
Year QuarterLoad (hrs)
Load(%)
Load (hrs)Load(%)
Q1 58.034 16.5% 102.638 31.1%Q2 84.374 24.0% 148.420 45.0%Q3 79.406 22.6% 139.457 42.3%Q4 94.116 26.7% 164.580 49.9%
Overall 315.930 22.4% 555.095 42.1%Q1 99.534 28.3% 173.714 52.6%Q2 149.060 42.3% 258.803 78.4%Q3 181.680 51.6% 313.888 95.1%Q4 189.123 53.7% 327.369 99.2%
Overall 619.397 44.0% 1073.774 81.3%Q1 174.110 49.5% 302.449 91.7%Q2 154.616 43.9% 269.219 81.6%Q3 112.168 31.9% 195.636 59.3%Q4 92.986 26.4% 162.484 49.2%
Overall 533.880 37.9% 929.789 70.4%
2010
Machine Name
2011
2012
Lathe Grinder
Lathe Grinder Hone Polish
Working days 220 220 220 220Number of machines 1 1 1 3Number of hours per day 8 8 8 8
Hours available 1408 1320 1531.2 4488
Efficiency 80% 75% 87% 85%
Variance to Process Std
Set-up 10% 15% 10% 10%
Experimental /
Downtime 5% 5% 1% 5%
Scrap/rework 5% 5% 2% 0%
Tool proving
Waiting (Quality authonomy)
Operator not availableNon Value Added Labor 20.0% 25.0% 13.0% 15.0%
Resource
No. Open A/I: 0No. Closed A/I: 0
No. Overdue A/I: 0Total A/I: 0
Item No.Machine/
Process StepOver Capacity
Projected Year
Projected Quarter
Action Item(s) to EliminateOver Capacity Situation
Person Responsible
Due Date StatusDate
Closed
1234567891011121314151617181920
Over Capacity Action Plan
CAT Tool training package and spreadsheet available at:
www.hssupplierportal.com
Click on “Help” tab
Click on “Quality MPR”
PPAP Deliverables
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28
Gathered in a specific location, physical (binder) or electronic (e.g., Visual IPI software) to create a "PPAP Objective Evidence Package (OEP)“
PPAP Approval Submission (Form 1) summarizes its 19 elements and which elements apply to the producer and what level of PPAP surveillance is required
PPAP OEP is formally approved by the Producer & HS MFP (Member Focal Point)
A PPAP OEP approval means that:
• The supplier has reviewed and approved the evidence collected and
• HS has not identified any issues that prevent its approval• If issues are identified, interim approval can be granted (there are 5 levels
of interim approval)
WHAT DOES PPAP LOOK LIKE?
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Customer: United Technologies Document Created:Part Number:311003X-01 Document Revised:Part Name:Critical widget Part Revision Level:
Please insert copy of layout approval
ACMEPWXXXX
E
Index
Process or Part No: MOS / AFS Rev. Level:
Planning group: Originator: ISSUE DATE:
Key Product
Characteris tic
KPCD / KPCM / KPCA KEY PROCESS OUTPUT OPER. NUM.SEQ.
NUMBER
CONT. CHART TYPE
SAMP. SIZE
SAMP. FREQ.
BASELINECP
BASELINECPK
TYPE OF GAUGE CAPABILITY (%)PROCESS
PARAMETER SETTING
CONTROL METHOD REACTION PLAN
Pro-Cert analyst
approval:
DATE:
KEY PROCESS PARAMETERS
KEY PROCESS OUTPUT
KEY CHARACTERISTIC CONTROL PLAN
KEY PROCESS INPUT
Engine Model:
REVISION LETTER:
MEASURING SYSTEM
Index
PPAP MARKING AND TRACEABILITY APPROVAL (Ref.: CPW010 & CPW920)
This document revision refer to CPW 10 Rev: BA and CPW 920 Rev; (no chg)
As per P&WC drawing (or NFD drawing):
1) Indicate the Part number:
2) Revision letter: (Refer to CPW 920; 5.4 and 4.3.1 for spacing)
3) Indicate the Part Description: If the part description contains: ASSEMBLY, ASSY, ASSY-OF, ASYO or WELDMENT, the part is an assembly.
4) Is the part an assembly part? (Refer to CPW 920; 5.3.1.1b )
5) Indicate the Part type:P&WC drawing part (Refer to CPW 920; 5.1)
Coordinate control part (CPW 103, CPW 154) (Refer to CPW 920; 5.1)
Source control part (CPW 101, CPW 102, CPW 144) (Refer to CPW 920; 5.3, 5.3.1.1b , 5.6.4.2)
6) Indicate the drawing automation requirement: 2D data matrix UI (packaging) N/A
7) Is drawing indicate a serialization requirement: (Refer to CPW 920; 5.5 for format and TEI)
8) Indicate your supplier code; (Refer to CPW 920; 5.1.1)
9) Indicate your supplier prefix; (Refer to CPW 920; 5.1.1e)
10) Indicate your final or DQCR stamp: (Refer to SQOP 09-01)
11) For source control part only; indicate your cage code: 12) For source control part only; indicate your supplier part number and part rev. letter (or equivalent)
Supplier part number: Part revision:
For validation13) 2D data matrix: Indicate the whole 2D encoded data (Show spaces with underscore “_”):
14) Packaging and WEB: Indicate the content of the “SER NO.” or “UI NO.” field of the packaging label (Note; it will be the same format in the WEB, when required)
On one row as: Or on several rows as:
Approved by:
P&WC XXXXXX (2011-01) QUALITE DES LOGICIELS ET GESTION DE DONNES - SOFTWARE QUALITY & DATA M ANAGEM ENT (1570)
Pictures (use other page if necessary):
15) Human readable: Indicate the whole human readable as it should be marked on part and/or provide pictures of the whole marking (Show spaces with underscore “_”):
NOTE; All questions below shall be reply in order to obtain a correct evaluation of the marking format. The evaluation of the 2D data matrix quality shall be done using a 2D reader.
(Refer to CPW 920; 5.6 for 2D format and TEI and to 5.5.7.1 for Specific Labeling Requirements for DPMS Format or Packaging UI Format)
The part number shall be prefixed by Text Element Identifier (TEI) or P&WC prefix as per the following references: CPW 920; 5.3.1, CPW 920, 5.3.1.1a, CPW 920, 5.3.1.1b.
PPAP PACKAGING, PRESERVATION & LABELLING PER CPW40 APPROVAL P &WC 11187 (2009-10) CONTROLE INVENTAIRE ET AMÉLIORATION CONTINUE - INV.CONTROL&CONT.IMP ROVEMENT (5640)
Reference SQOP-01-10 REV. A paragraph 6.4.4.19.
Part Number ______________ Description ______________
Option number ______________
VENDOR MANUFACTURING INFORMATION
Supplier name ______________ Vendor Code ______________
SUPPLIER INTERACTIVE PACKAGING INSTRUCTION (SIPI)
Part number last revision date: _____________ copy attachment
PRESERVATION METHOD
Check one below
10 31 33 41 AMS2817 Others _______________
conform yes no n/a
PRESERVATION MATERIAL
Check one below
N/A PK520 PK2802 ANTISTATIC UV protection
conform yes no n/a
ENVELOP
Type _________ Dimension ________ Thickness ________ Qty parts per ________
conform yes no n/a
CONTAINER
Unit container type _________ Dimension ________ Qty parts per __________
conform yes no n/a
Intermediate cont. type ______________ Dimension __________
conform yes no n/a
Shipping cont. type ______________ Dimension __________
conform yes no n/a
PACKAGNG MATERIAL
Pilot pads Pads PK2560 PK2612 PK1500 TAPING STRAPPING
Others _____________
conform yes no n/a
For UTC Member: Contact:
Part #: C/L:
Part Name: SPD/SMD #:
Drawing #: C/L:
Purchase Order #: UTC Buyer:
Yes No N/A Yes No N/A
1. Released Production Drawings 10. Measurement System Analysis Studies
2. SPD/SMD and SI sheets (as applicable) 11. Engineering Frozen Planning/Source Approval (if applicable)
3. Production Purchase Order 12. Dimensional Reports, including Visual Appearance
4. Design FMEA (if applicable) 13. Production Verification Testing (PVT)
5. Process Flow 14. Special Process Approvals including NDT
6. Process FMEA 15. Material Certification Documentation (Copies)
7. Process Control Plan 16. Raw Material Approval (if applicable)
8. Process Readiness Study (PRS) 17. Parts Marking Approval
9. Initial Process Studies 18. Packaging, Preservation & Labeling Approval
Co
mm
ents
Approved Interim Approval - Class: _______ Estimated date of full approval: ___________________________ Not approved
Co
mm
ents
Designated MFP
ASQR-09.2 Form 1 (Rev. 01/11)
Supplier name
ELEMENT DESCRIPTION
Phone #
FOR UTC USE ONLY
Title Date
I, the supplier, submit this UPPAP data to give objective evidence that all engineering, design and specif ication requirements are understood and have been complied w ith, as detailed above.
I have also review ed all existing part and process data w hich a
UPPAP APPROVAL
LEVEL REQUESTED (All submissions are made to the MFP - Submission Information required)
SPECIFIED REQUIREMENTS (NOTE: "No" selections require comments and a recovery plan)
LEVEL 1 Submit ASQR-09.2 Form 1 only
LEVEL 2: Submit ASQR-09.2 Form 1 & limited supporting data
SUPPLIER MANUFACTURING INFORMATION
DateFunctionMember Authorization: Clearly Print Name and Sign
Supplier Authorization: Clearly Print Name and Sign
DECLARATION
Supplier Code Unique process number and revision
Street Address Country Post CodeState/Province
LEVEL 4: Reviewed at supplier's mfg location - ASQR-09.2 Form 1 & complete supporting data
LEVEL 3: Submit ASQR-09.2 Form 1 & complete supporting data
ELEMENT DESCRIPTION
Retention of Evidence
29
SUBMISSION LEVELSDetermined based on risk using Decision Tree Tool
Level Submitted documentationReviewed
at
1 PPAP Approval form only HS
2PPAP Approval form with limited supporting data
HS
3PPAP Approval form with complete supporting data
HS
4PPAP Approval form with complete supporting data
Supplier’s location
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30
PPAP Level Decision Tree – New Parts
PPAP Element Exemption Decision Tree
PPAP Required
Member Defined Raw
Material?
Special Process Approvals
(ref HSM17)
No
Supplier Design?
Frozen Requirements?
No No
Element 11
Exemption
Element 13
Exemption
Element 14
Exemption
Element 15b
Exemption
Element 16
Exemption
Material Purchase
Requirements?
Element 15a
Exemption
NoNo
Element4
Exemption
ProductVerification
Testing
RawMaterialSource
DFMEA
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PPAP SUBMISSION STATUS & DISPOSITIONASQR-09.2 Interim Classes Pending Full Approval
Interim class
Characteristics & deviation typeExamples (situations or
missing evidence)
A100% production tooling. Meet all drawing & specificationsNot all production approval requirements are met
Incomplete capability studiesDrawing changes desired
B100% production toolingRequire reprocess / rework to meet all drawing & specifications
Temporary operations duly documented
CMeet all drawing & specificationsProduced using non-production tooling and/or process
Temporary manufacturing operation/detail source
DDo not meet all drawing & specificationsParts can be considered salable
Deviations still existPlan to address deviations in place
EDo not meet all drawing & specificationsParts cannot be considered salable
Any unacceptable situation
Process is kept in the radar until all requirements are metHAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF
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(CAD)
33
PPAP CHANGE NOTIFICATIONASQR-09.2 Form 2 - Criteria for submission
The supplier shall notify the member using the UPPAP Notification, ASQR-09.2 Form 2 when any situation described below occurs.
Ownership changes (of the Supplier).
A change in design.
A change in manufacturing source(s), process(s), inspection method(s), locations of manufacture, tooling or materials.
A change in numerical control program or translation to another media.
A natural or man-made event, which may adversely affect a manufacturing process.
A lapse in production for two years or as specified by the customer. HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF
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34
PPAP SUMMARYKey take away
PPAP being implemented to reduce infant mortality escapes
Upfront validation and verification of critical part processes will enable production readiness
HS Customers in full support of this effort and strongly encouraging its deployment
Our experience with recent new programs suggest implementation of PPAP is warranted and very appropriate
PPAP is flowed out to suppliers by ASQR-09.2 via purchase order
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35
IMPLEMENTATION
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36
HS PPAP1 Review
• Purpose:– To prepare Producer for the PPAP2 Review prior to approval to begin serial production
– Teaches the Producer what to do to prepare a PPAP Objective Evidence Package per ASQR-09.2
• Conducted by:– HS SQE for external suppliers– Operations Quality Engineer for internal plant sites
• Who’s required to attend the PPAP1 Review?– Supplier Designated Quality Representatives– Key QA and Production personnel– Engineering representation for Producers with Design Authority
• Key elements include:– UPPAP Checklist QC-0990.26– Process Readiness Study QC-0990.27– UPPAP Workbook QC-0990.28– UPPAP Submission Form 1– UPPAP Submission Form 2 for subsequent changes
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STANDARD WORK PPAP 215 Training
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT. THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
• PEG OR OQE– Provide the Producer with PPAP 215 Awareness Training
What is PPAP History of PPAP Overview of ASQR-09.2 When PPAP is invoked Producer Deliverables FMEA Overview PPAP Tools (ProCert, Capacity Analysis Tool, etc.)
on the HS Supplier Portal “Help Tab” (www.hssupplierportal.com)
Process ReadinessStudy Assessment
QC-0990.27
PPAP 215Training Package
HT1000 PPAPImplementation Manual
Form Number: QC-0990.26
Revision: I nitial Release
Date: 6/22/2011
Element UPPAP Element Criteria
Status (N/A, Not
Started, In-Process,
Completed)
Action Item(s)/ Comments
A) Does producer have access to applicable UTC division drawings & specifications?B) I s top level and sub-level (BOM) drawings and specifications released (i.e. signatures applied)?C) I s producer working to correct drawing revisions, including all detail drawings (e.g. casting, forging, other detail parts) as indicated on the purchase order?
D) Validate if any Critical to Quality (CTQ) features called out.
A) Verify that any supplemental customer requirements (Purchase Order, Quality or Engineering Notes/Documents) are incorporated into producer and subtier manufacturing processes and documents.
B) Verify that the producer is working to the correct released revision of any supplemental customer requirement documents as specified on the Purchase Order (e.g. Quality or Engineering Notes/Documents, other specifications).A) Verify that the producer is working to a production purchase order?B) Verify that the sub-tier PO documents flow down any UTC requirements per ASQR-01, ASQR-09.2 etc.C) Does the UPPAP package have evidence that the producer knows the latest demand schedule and is updating capacity and manufacturing plans accordingly.D) I s there evidence that the producer flows down the latest demand schedule to subtier suppliers and is updating subtier management plans accordingly.
Released Production Drawings
SPD/ SMD and SI SheetsNOTE: See Element Reference Card for UTC
divisional definitions.
Production PO and Demand Fullfillment
UTC PPAP2 ASSESSMENT CHECKLIST
PPAP Checklist QC-0990.26
Objective EvidencePackage & Forms
QC-0990.28Part Number: Part Name :
Familiy Name:
Assessment Date:
Select PRS evaluation level:
P.R.S “Development” level = Planning, up to 1st batch >40%
P.R.S “Production Ready” level = Pre-production; before production component delivery >80%
P.R.S “Continuous Improvement” level = ZNC >90%
Total average score: 33%
Supplier Name: Supplier Code:
Supplier Mfg. Eng’g Rep.:
(Manager or Supervisor) _____________________________________(signature)
Supplier QA/QC Rep.:
(Manager or Supervisor) _____________________________________(signature)
UTC Member Focal Point:
_____________________________________(signature)
MOS 100%
Tooling 0%
Gauging 0%
Mfg. E._ TPM 0%
KPC
Sub-Tier Control
Capacity Planning 0%
FOD 0%
Process Readiness Study (Reference Element 8, ASQR-09.2)
Production Ready
100%
0%
0%
0%0%
0%
0%
0%
0%
100%
MOS
Tooling
Gauging
Mfg. E._ TPM
KPC
Sub-Tier Control
Capacity Planning
FOD
Series1
PPAP 215Per ASQR-09.2 Rev B
Supplier Awareness SessionCourse I.D. # 996971 Four Hours
COPYRIGHT © HAMILTON SUNDSTRAND CORPORATION. THIS DOCUMENT IS THE PROPERTY OF HAMILTON SUNDSTRANDCORPORATION (HS). YOU MAY NOT POSSESS, USE, COPY OR DISCLOSE THIS DOCUMENT OR ANY INFORMATION IN IT, FOR ANYPURPOSE, INCLUDING WITHOUT LIMITATION, TO DESIGN, MANUFACTURE OR REPAIR PARTS, OR OBTAIN ANY GOVERNMENTAPPROVAL TO DO SO, WITHOUT HS’S EXPRESS WRITTEN PERMISSION. NEITHER RECEIPT NOR POSSESSION OF THIS DOCUMENTALONE, FROM ANY SOURCE, CONSTITUTES SUCH PERMISSION. POSSESSION, USE, COPYING OR DISCLOSURE BY ANYONEWITHOUT HS’S EXPRESS WRITTEN PERMISSION IS NOT AUTHORIZED AND MAY RESULT IN CRIMINAL AND/OR CIVIL LIABILITY.
This document contains no technical data. ECCN:EAR99
PPAP1 Review ChecklistQC-0990.25
38
Conduct PPAP1 Review
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT. THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
• Purpose:– To prepare Producer for the PPAP2 Review prior to approval to begin serial production
– Teaches the Producer what to do to prepare a PPAP Objective Evidence Package per ASQR-09.2
• Conducted by:– HS SQE for external suppliers– Operations Quality Engineer for internal plant sites
• Who’s required to attend the PPAP1 Review?– Supplier Designated Quality Representative– Key Quality Assurance and Production personnel– Engineering representation for Producers with Design Authority
• Key elements include:– QC-0990.25, “PPAP1 Review Checklist”
– QC-0990.26, “PPAP2-FAI Review Checklist”
– QC-0990.27, “Process Readiness Study”– QC-0990.28, “PPAP Objective Evidence Package”
All forms available in Documentum and the HS Supplier Portal “Help” tab
Both PPAP1 and PPAP2-FAI Checklists are loaded in the STAT Tool
PRS Assessment
QC-0990.27PPAP 1 Checklist
QC -0990.25Form Number: QC-0990.26
Revision: Initial ReleaseDate: 6/22/2011
Element UPPAP Element Criteria
Status (N/A, Not
Started, In-Process,
Completed)
Action Item(s)/Comments
A) Does producer have access to applicable UTC division drawings & specifications?
B) Is top level and sub-level (BOM) drawings and specifications released (i.e. signatures applied)?
C) Is producer working to correct drawing revisions, including all detail drawings (e.g. casting, forging, other detail parts) as
indicated on the purchase order?D) Validate if any Critical to Quality (CTQ) features called out.
A) Verify that any supplemental customer requirements (Purchase Order, Quality or Engineering Notes/Documents) are incorporated into producer and subtier manufacturing processes and documents.
B) Verify that the producer is working to the correct released revision of any supplemental customer requirement documents as specified on the Purchase Order (e.g. Quality or Engineering
Notes/Documents, other specifications).A) Verify that the producer is working to a production purchase
order?B) Verify that the sub-tier PO documents flow down any UTC
requirements per ASQR-01, ASQR-09.2 etc.C) Does the UPPAP package have evidence that the producer knows the latest demand schedule and is updating capacity and
manufacturing plans accordingly.D) Is there evidence that the producer flows down the latest demand schedule to subtier suppliers and is updating subtier
management plans accordingly.
Released Production Drawings
SPD/SMD and SI SheetsNOTE: See Element Reference Card for UTC
divisional definitions.
Production PO and Demand Fullfillment
UTC PPAP2
ASSESSMENT CHECKLIST
PPAP 2 –FAI ChecklistQC- 0990.26
Obj. Evidence PackageQC- 0990.28
Part Number: Part Name :
Familiy Name:Assessment Date:
Select PRS evaluation level:
P.R.S “Development” level = Planning, up to 1st batch >40%
P.R.S “Production Ready” level = Pre-production; before production component delivery >80%P.R.S “Continuous Improvement” level = ZNC >90%
Total average score: 33%
Supplier Name: Supplier Code:
Supplier Mfg. Eng’g Rep.:
(Manager or Supervisor) _____________________________________(signature)
Supplier QA/QC Rep.:
(Manager or Supervisor) _____________________________________(signature)
UTC Member Focal Point:
_____________________________________(signature)
MOS 100%
Tooling 0%
Gauging 0%
Mfg. E._ TPM 0%
KPC
Sub-Tier Control
Capacity Planning 0%FOD 0%
Process Readiness Study (Reference Element 8, ASQR-09.2)
Production Ready
100%
0%0%
0%0%0%0%0%
MOS
Tooling
Gauging
Mfg. E._ TPM
KPC
Sub-Tier Control
Capacity Planning
FOD
Series1
39
HS PPAP2 Review• Purpose:
– To formally validate the quality and delivery requirements, based on the applicable elements described in ASQR-09.2, are met for a specific part or part family
• Conducted by:– Initially by the Producer
• Supplier if externally sourced part• Operations QE if internally sourced part
– Reviewed HS SQE for external suppliers– Reviewed by Operations Quality Engineer for internal plant sites
• Approved by:– Operations QE for “make parts”– PEG for “buy parts”– Approval level based on completed element requirements and documented actions to close any
gaps
• What gets submitted?– Completed UPPAP Checklist QC-0990.26– Completed Process Readiness Study QC-0990.27– Completed UPPAP Objective Evidence Workbook for all applicable elements QC-0990.28– Producer signed UPPAP Submission Form 1– Producer signed UPPAP Submission Form 2 for subsequent changes (when applicable)
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT. THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
40
Producer Prepares PPAP Package
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT. THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
PRS AssessmentQC-0990.27
PPAP 101
Per ASQR-09.2
Awareness Session
Course I.D. # 992797 One Hour
COPYRIGHT © 2010 HAMILTON SUNDSTRAND CORPORATION. THIS DOCUMENT IS THE PROPERTY OF HAMILTON SUNDSTRAND CORPORATION (HSC). 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 ANY GOVERNMENT APPROVAL TO DO SO, WITHOUT HSC’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 HSC’S EXPRESS WRITTEN PERMISSION IS NOT AUTHORIZED AND MAY RESULT IN CRIMINAL AND/OR CIVIL LIABILITY. THE INFORMATION SUBJECT TO EXPORT LAWS. EXPORT PERMITTED UNDER NLR. RE-EXPORT IS NOT AUTHORIZED WITHOUT FIRST OBTAINING REQUIRED AUTHORIZATION FROM HAMILTON SUNDSTRAND. DIVERSION CONTRAY TO U.S. LAW IS PROHIBITED. NLR – NO LICENSE REQUIRED.
PPAP 101Training Package
PPAP1 ChecklistQC-0990.25
Form Number: QC-0990.26
Revision: Initial Release
Date: 6/22/2011
Element UPPAP Element Criteria
Status (N/A, Not
Started, In-Process,
Completed)
Action I tem(s)/ Comments
A) Does producer have access to applicable UTC division drawings & specifications?B) I s top level and sub-level (BOM) drawings and specifications released (i.e. signatures applied)?C) I s producer working to correct drawing revisions, including all detail drawings (e.g. casting, forging, other detail parts) as indicated on the purchase order?
D) Validate if any Critical to Quality (CTQ) features called out.
A) Verify that any supplemental customer requirements (Purchase Order, Quality or Engineering Notes/Documents) are incorporated into producer and subtier manufacturing processes and documents.
B) Verify that the producer is working to the correct released revision of any supplemental customer requirement documents as specified on the Purchase Order (e.g. Quality or Engineering Notes/Documents, other specifications).A) Verify that the producer is working to a production purchase order?B) Verify that the sub-tier PO documents flow down any UTC requirements per ASQR-01, ASQR-09.2 etc.C) Does the UPPAP package have evidence that the producer knows the latest demand schedule and is updating capacity and manufacturing plans accordingly.D) I s there evidence that the producer flows down the latest demand schedule to subtier suppliers and is updating subtier management plans accordingly.
Released Production Drawings
SPD/ SMD and SI SheetsNOTE: See Element Reference Card for UTC
divisional definitions.
Production PO and Demand Fullfillment
UTC PPAP2 ASSESSMENT CHECKLI ST
PPAP2 –FAI ChecklistQC-0990.26
Obj. Evidence PackageQC-0990.28
Part Number: Part Name :
Familiy Name:
Assessment Date:
Select PRS evaluation level:
P.R.S “Development” level = Planning, up to 1st batch >40%
P.R.S “Production Ready” level = Pre-production; before production component delivery >80%
P.R.S “Continuous Improvement” level = ZNC >90%
Total average score: 33%
Supplier Name: Supplier Code:
Supplier Mfg. Eng’g Rep.:
(Manager or Supervisor) _____________________________________(signature)
Supplier QA/QC Rep.:
(Manager or Supervisor) _____________________________________(signature)
UTC Member Focal Point:
_____________________________________(signature)
MOS 100%
Tooling 0%
Gauging 0%
Mfg. E._ TPM 0%
KPC
Sub-Tier Control
Capacity Planning 0%
FOD 0%
Process Readiness Study (Reference Element 8, ASQR-09.2)
Production Ready
100%
0%
0%
0%0%
0%
0%
0%
0%
100%
MOS
Tooling
Gauging
Mfg. E._ TPM
KPC
Sub-Tier Control
Capacity Planning
FOD
Series1
• Use Form QC-0990.28• PPAP Objective Evidence Package, QC-0990.28 is
used by the Producer to substantiate justification for allowance to enter serial production
• HS PEG reviews drawings and establishes the PPAP scope of work by filling out the matrix contained in Tab “A-Input Sheet”
– Place “X” if PPAP Element should be reviewed and if MFP wants Producer to provide objective evidence
• PEG forwards to SDE/OQE to use with Supplier or plant site cell
• Producer receives package from HS PEG• For supplier PPAP part, Producer DQR, per
HSM17, required to ensure package is reviewed using PPAP2 Review Checklist, Form QC-0990.26
• For internally made PPAP part, OQE required to ensure package is reviewed using PPAP2 Review Checklist, Form QC-0990.26
• Review includes Element 8, Process Readiness Study
– Form QC-0990.27 is to be used
All forms available in Documentum and the HS Supplier Portal “Help” tab
Both PPAP1 and PPAP2-FAI Checklists are loaded in the STAT Tool
ITEM #
ENTER "X" IF PPAP ELEMENT IS APPLICABLE FOR
THE SUBJ ECT PART
ENTER "X" IF THE HS MFP REQUIRES THE
PRODUCER TO SUBMIT OBJ ECTIVE EVIDENCE
FOR APPLICABLE ELEMENT
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
Raw Material Approval
Part Marking Approval
Packaging, Preservation & Labeling Approval
Review and Sign-Off
Process Readiness Study (PRS)
Initial Process Capability Studies
Measurement Systems Analysis (Gage R&R)
Engineering Frozen Planning/Source Approval (EFP/ESA)
Dimensional Report
Production Verification Testing (PVT)
UPPAP ELEMENT PER ASQR-09.2
Released Production Drawings
SPD/SMD and SI Sheets
Production PO and Demand Fullfillment
Special Process Approval and Nondestructive Test (NDT)
Material Certification Documentation
Design Failure Modes Effects Analysis (DFMEA)
Process Flow
Process Failure Modes Effects Analysis (PFMEA)
Process Control Plan
TAB A, “INPUT SHEET “ FROM QC-0990.28
41
PPAP Objective Evidence Package
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT. THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99 Use Form QC-0990.28 available in Documentum or the HS Supplier Portal
COVER & INDEX SHEET
Click on button for tab you wish to open
When on another tab, click on “Index” button to return to “Cover & Index” control panel
• PRODUCT DEFINITION– Released Engineering drawing that defines design requirements– Specifications called out from the drawing that provide additional definition– PO Notes that specify quality & demand requirements
• UPPAP CORE ELEMENTS– Risk identification & mitigation with D/P FMEA– Process control using SPC on Key Product Characteristics and gage
Capability Studies on measurement systems– FAI dimensional reports that validate feature conformance– PRS that assesses the production process to 8 specific requirements
• UPPAP SPECIAL ELEMENTS– Frozen Process/Flight Safety approval– Acceptance of test procedure for the product being procured
• REQUIRED APPROVALS– HS approval for special processes and adherence to suppliers listed on the
80-85 Report– Part Marking approval utilizing the Part Marking Wizard– Raw Material approval for castings, forgings, etc. that require HS approval
of the supplier’s FAI
• APPENDICES– Useful spreadsheet templates the supplier or internal plant site cell may
use to support a specific PPAP process control element
MAJOR PACKAGE SECTIONS
42
43
The 19 PPAP ElementsPer ASQR-09.2
Elements
43
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT. THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
Element DescriptionElement 1 – Released Production Drawings
HS
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT.
THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
Requirement per ASQR-09.2
44
Element Description Element 1 – Released Production Drawings
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT. THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
NOTE: Any identified action items get transferred to Form 1, UTC Approval Form. This applies to all PPAP Elements under review.
UTC Division:
Part #: Drawing Revision:
Part Name: SPD/SMD # or Rev.#:
Customer Purchasing Representative:
Purchase Order #:
Yes No WIP N/A Yes No WIP N/A
1. Released Production Drawings 10. Measurement System Analysis Studies
2. SPD/SMD and SI sheets (as applicable) 11. Engineering Frozen Planning/Source Approval (if applicable)
3. Production Purchase Order 12. Dimensional Reports, including Visual Appearance
4. Design FMEA (if applicable) 13. Production Verification Testing (PVT) (if applicable)
5. Process Flow 14. Special Process Approvals including NDT (if applicable)
6. Process FMEA 15. Material Certification Documentation
7. Process Control Plan 16. Raw Material Approval (if applicable)
8. Process Readiness Study (PRS) 17. Parts Marking Approval
9. Initial Process Studies 18. Packaging, Preservation & Labeling Approval
No. Target Date
1
2
3
4
5
6
7
8
9
10
Email Address
Approved Interim Approval - Class: _______ Estimated date of full approval: ___________________________ Not Approved
Co
mm
ents
Designated Function
ASQR-09.2 Form 1 (Rev. 06/11)
Supplier Management Authorization: Clearly Print Name and Sign
Customer Use Only (UTC or 1st Tier)
Title Date
Customer Name & UPPAP Focal Point:
SUPPLIER MANUFACTURING INFORMATION
Supplier Name
ELEMENT DESCRIPTION
Address (Street, City, State)
Act
ion
Pla
n
ELEMENT DESCRIPTION
LEVEL 3: Submit ASQR-09.2 Form 1 & complete supporting data
Action Item
Country
I, the supplier, submit this UPPAP Approval form as declaration of having met all applicable requirements of ASQR-09.2, except as noted above, including having implemented the requirements at the sub-tier level where applicable. I further certify that our production process meets all product delivery, engineering and quality requirements. I understand that the approval of this form by the customer does not release me from responsibility or liability for any non-conformances.
Supplier Code
Element #
DECLARATION
Customer Authorization: Clearly Print Name and Sign Date
FORM 1 - UPPAP APPROVAL
LEVEL REQUESTED (All submissions are made to the MFP - Submission Information required)
SPECIFIED REQUIREMENTS (NOTE: "WIP" or "No" selections require Action Plan documented below) (WIP - Work in Process)
LEVEL 1 Submit ASQR-09.2 Form 1 only
LEVEL 2: Submit ASQR-09.2 Form 1 & limited supporting data LEVEL 4: Reviewed at supplier's mfg location - ASQR-09.2 Form 1 & complete supporting data
1st Tier - UTC PO
Sub-Tier - Indirect PO
45
PPAP2-Checklist – Form QC-0990.26
Element Description Element 2 – SPD/SMD and SI Sheets
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT. THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
Element 2 Acceptable Not AcceptableSPD/SMD & SI Sheets (for HS, these are the PO Notes)
PO Quality Notes are reviewed and found include proper references to ASQR-01, HSC16199 in case part is a CTQ Part, FAI requirements per ASQR-01 are specified, etc.
No references made to a required HS and/or UTC specification when required by the HS drawing.
Definition per ASQR-09.2
46
Element Description Element 2 – SPD/SMD and SI Sheets
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT. THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
Element UPPAP Element Criteria
A) Verify that any supplemental customer requirements (Purchase Order, Quality or Engineering Notes/Documents) are incorporated into producer and subtier manufacturing processes and documents.
B) Verify that the producer is working to the correct released revision of any supplemental customer requirement documents as specified on the Purchase Order (e.g. Quality or Engineering Notes/Documents, other specifications).
2SPD/ SMD and SI Sheets
NOTE: See Element Reference Card for UTC divisional definitions.
NOTE: Any identified action items get transferred to Form 1, UTC Approval Form. This applies to all PPAP Elements under review.
UTC Division:
Part #: Drawing Revision:
Part Name: SPD/SMD # or Rev.#:
Customer Purchasing Representative:
Purchase Order #:
Yes No WIP N/A Yes No WIP N/A
1. Released Production Drawings 10. Measurement System Analysis Studies
2. SPD/SMD and SI sheets (as applicable) 11. Engineering Frozen Planning/Source Approval (if applicable)
3. Production Purchase Order 12. Dimensional Reports, including Visual Appearance
4. Design FMEA (if applicable) 13. Production Verification Testing (PVT) (if applicable)
5. Process Flow 14. Special Process Approvals including NDT (if applicable)
6. Process FMEA 15. Material Certification Documentation
7. Process Control Plan 16. Raw Material Approval (if applicable)
8. Process Readiness Study (PRS) 17. Parts Marking Approval
9. Initial Process Studies 18. Packaging, Preservation & Labeling Approval
No. Target Date
1
2
3
4
5
6
7
8
9
10
Email Address
Approved Interim Approval - Class: _______ Estimated date of full approval: ___________________________ Not Approved
Co
mm
ents
Designated Function
ASQR-09.2 Form 1 (Rev. 06/11)
Supplier Management Authorization: Clearly Print Name and Sign
Customer Use Only (UTC or 1st Tier)
Title Date
Customer Name & UPPAP Focal Point:
SUPPLIER MANUFACTURING INFORMATION
Supplier Name
ELEMENT DESCRIPTION
Address (Street, City, State)
Act
ion
Pla
n
ELEMENT DESCRIPTION
LEVEL 3: Submit ASQR-09.2 Form 1 & complete supporting data
Action Item
Country
I, the supplier, submit this UPPAP Approval form as declaration of having met all applicable requirements of ASQR-09.2, except as noted above, including having implemented the requirements at the sub-tier level where applicable. I further certify that our production process meets all product delivery, engineering and quality requirements. I understand that the approval of this form by the customer does not release me from responsibility or liability for any non-conformances.
Supplier Code
Element #
DECLARATION
Customer Authorization: Clearly Print Name and Sign Date
FORM 1 - UPPAP APPROVAL
LEVEL REQUESTED (All submissions are made to the MFP - Submission Information required)
SPECIFIED REQUIREMENTS (NOTE: "WIP" or "No" selections require Action Plan documented below) (WIP - Work in Process)
LEVEL 1 Submit ASQR-09.2 Form 1 only
LEVEL 2: Submit ASQR-09.2 Form 1 & limited supporting data LEVEL 4: Reviewed at supplier's mfg location - ASQR-09.2 Form 1 & complete supporting data
1st Tier - UTC PO
Sub-Tier - Indirect PO
47
PPAP2-Checklist – Form QC-0990.26
Element Description Element 3 – Production PO and Demand Fulfillment
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT. THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
Element 3 Acceptable Not Acceptable
Production PO and Demand Fulfillment
PO is a production order. 1st-tier PO to Sub-tier illustrates flowdown of HS/UTC requirements per ASQR-01.
Experimental or Advanced PO. Sub-tier flowdown of HS/UTC requirements per ASQR-01 not met.
Definition per ASQR-09.2
Requirement per ASQR-09.2
Element UPPAP Element Criteria
A) Verify that the producer is working to a production purchase order?B) Verify that the sub-tier PO documents flow down any UTC requirements per ASQR-01, ASQR-09.2 etc.C) Does the UPPAP package have evidence that the producer knows the latest demand schedule and is updating capacity and manufacturing plans accordingly.D) I s there evidence that the producer flows down the latest demand schedule to subtier suppliers and is updating subtier management plans accordingly.
Production POand
Demand Fullfillment
ABC Company, Inc.240 Charles StreetTorrington, CT 06790United States of America
48
PPAP2-Checklist – Form QC-0990.26
Element Description Element 3 – Production PO and Demand Fulfillment
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT. THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
Element UPPAP Element Criteria
A) Verify that any supplemental customer requirements (Purchase Order, Quality or Engineering Notes/Documents) are incorporated into producer and subtier manufacturing processes and documents.
B) Verify that the producer is working to the correct released revision of any supplemental customer requirement documents as specified on the Purchase Order (e.g. Quality or Engineering Notes/Documents, other specifications).
2SPD/ SMD and SI Sheets
NOTE: See Element Reference Card for UTC divisional definitions.
NOTE: Any identified action items get transferred to Form 1, UTC Approval Form. This applies to all PPAP Elements under review.
UTC Division:
Part #: Drawing Revision:
Part Name: SPD/SMD # or Rev.#:
Customer Purchasing Representative:
Purchase Order #:
Yes No WIP N/A Yes No WIP N/A
1. Released Production Drawings 10. Measurement System Analysis Studies
2. SPD/SMD and SI sheets (as applicable) 11. Engineering Frozen Planning/Source Approval (if applicable)
3. Production Purchase Order 12. Dimensional Reports, including Visual Appearance
4. Design FMEA (if applicable) 13. Production Verification Testing (PVT) (if applicable)
5. Process Flow 14. Special Process Approvals including NDT (if applicable)
6. Process FMEA 15. Material Certification Documentation
7. Process Control Plan 16. Raw Material Approval (if applicable)
8. Process Readiness Study (PRS) 17. Parts Marking Approval
9. Initial Process Studies 18. Packaging, Preservation & Labeling Approval
No. Target Date
1
2
3
4
5
6
7
8
9
10
Email Address
Approved Interim Approval - Class: _______ Estimated date of full approval: ___________________________ Not Approved
Co
mm
ents
Designated Function
ASQR-09.2 Form 1 (Rev. 06/11)
Supplier Management Authorization: Clearly Print Name and Sign
Customer Use Only (UTC or 1st Tier)
Title Date
Customer Name & UPPAP Focal Point:
SUPPLIER MANUFACTURING INFORMATION
Supplier Name
ELEMENT DESCRIPTION
Address (Street, City, State)
Act
ion
Pla
n
ELEMENT DESCRIPTION
LEVEL 3: Submit ASQR-09.2 Form 1 & complete supporting data
Action Item
Country
I, the supplier, submit this UPPAP Approval form as declaration of having met all applicable requirements of ASQR-09.2, except as noted above, including having implemented the requirements at the sub-tier level where applicable. I further certify that our production process meets all product delivery, engineering and quality requirements. I understand that the approval of this form by the customer does not release me from responsibility or liability for any non-conformances.
Supplier Code
Element #
DECLARATION
Customer Authorization: Clearly Print Name and Sign Date
FORM 1 - UPPAP APPROVAL
LEVEL REQUESTED (All submissions are made to the MFP - Submission Information required)
SPECIFIED REQUIREMENTS (NOTE: "WIP" or "No" selections require Action Plan documented below) (WIP - Work in Process)
LEVEL 1 Submit ASQR-09.2 Form 1 only
LEVEL 2: Submit ASQR-09.2 Form 1 & limited supporting data LEVEL 4: Reviewed at supplier's mfg location - ASQR-09.2 Form 1 & complete supporting data
1st Tier - UTC PO
Sub-Tier - Indirect PO
49
PPAP2-Checklist – Form QC-0990.26
Element Description Element 4 – Design Failure Modes Effects Analysis
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT.
THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
Element 4 Acceptable Not Acceptable
DFMEA DFMEA is illustrated by the Producer that meets the SAE J1739 standard. Producer can demonstrate VOC data used.
DFMEA shows risk analysis that addresses design and prior failures from similar designs.
No DFMEA produced by a producer with design authority.
Areas of high risk not addressed with adequate process controls.
Lack of linkage to PFMEA.
No evidence customer data, prior failures & escapes from a similar design used in analysis.
Requirement per ASQR-09.2
Learn the details of conducting a DFMEA in PPAP 301 – “MFP Certification”
50
ASQR-09.2 requires Suppliers to demonstrate this chain reaction
DFMEA
PFMEA
Control Plans
Work Instructions
Controls
Focus is on the product design and/or specificationsRequired for suppliers with design authorityLook at similar design, Customer MFA, VOC, major escapes & field issues
Focus is on the part process including its flow; begins with a flowchart of operational stepsRequired for all suppliers to performLook at internal & external escapes, defect data, labor variances, and turnbacksLook linkage to DFMEA where applicable
Focus is on how specific process steps will be controlledRequired for all suppliers to performDefine Key Process Inputs, Control Methods, Gage Capability , SPC chart and reaction planLook linkage to PFMEA
Focus is on the Operator instructions created for each specific process stepRequired for all suppliers to performLook at clarity, user-friendlinessLook linkage to Control Plan and HS requirements
Focus is on the ability to prevent high RPN failure modesRequired for all suppliers to performAssure compliance to UTCQR-09.1 and ASQR-20.1
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF
INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF
RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT.
THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
Element Description Element 4–DFMEA linkage to PFMEA must be demonstrated!!
51
Element Description Element 4 – Design Failure Modes Effects Analysis
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT. THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
Element UPPAP Element Criteria
A) Validate DFMEA exists for the part number and has established revision level and that DFMEA is a "living document" subject to ongoing revision.B) Validate producer use of standardized format (e.g. SAE J1739 or as agreed to by UTC Member)C) Validate that the producer understands and has incorporated all product design requirements (e.g. performance, producibility, appearance, environmental, any other customer expectations)D) Validate that the producer has received any historical quality and or lessons learned data from the UTC member and has incorporated that learning into their DFMEA.E) Validate that the failure modes are be described in physical, technical and measurable terms. Validate that causes are described in terms of something that can be corrected or controlled.F) Validate recommended actions identified for high RPN and/or high Severity items are completed, or a plan with owners & dates exists.
G) Validate linkage to PFMEA.
H) Identification of CTQ Features (i.e., CTQC, CTSC, FSC, KPC1, KPC2). Ensure lower level key characteristics are defined that support UTC defined critical to quality features.I ) Evidence of the use of risk mitigation strategies in the design (e.g. early warning, control, system redundancies and mistake-proof design features).J ) Evidence of inspection methods, validation and testing aligned with DFMEA identified risks.
4Design FMEA
(for producers with design authority)
52
PPAP2-Checklist – Form QC-0990.26
Element Description Element 4 – Design Failure Modes Effects Analysis
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT. THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR9900
PPAP Objective Evidence Workbook – Form QC-0990.28, Tab 4 - DFMEA
QC-0990.28 contains a DFMEA template on Tab 4 with full instructions for use
Click on upper right hand corner for any column for complete instructions for that given field
This template meets the SAE J1739 standard
53
Element Description Element 5 – Process Flow
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT. THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
Element 5 Acceptable Not Acceptable
Process Flow Process flow map with operation information: Sequence, flow map symbols used, identification of CTQ Features, alternate paths and formal rework loops identified.
Identify if flow map represents a part family.
Process Flow steps clearly correlate with PFMEA and Control Plan.
Route Sheets/Travelers are acceptable if they contain adequate information.
No process flow map exists.
A process flow exists that contains insufficient information in describing the process flow.
Process Flow steps do not correlate with PFMEA and Control Plan.
Process Flow ExamplesRequirement per ASQR-09.2
54
Element Description Element 5 – Process Flow
HAMILTON SUNDSTRAND PROPRIETARY INFORMATION. USE OR DISCLOSURE OF INFORMATION ON THIS PAGE IS SUBJECT TO THE NOTICE OF RESTRICTIONS ON THE FIRST PAGE OF THIS DOCUMENT. THIS DOCUMENT OR FILE CONTAINS NO TECHNICAL DATA. ECCN: EAR99
NOTE: Any identified action items get transferred to Form 1, UTC Approval Form. This applies to all PPAP Elements under review.
UTC Division:
Part #: Drawing Revision:
Part Name: SPD/SMD # or Rev.#:
Customer Purchasing Representative:
Purchase Order #:
Yes No WIP N/A Yes No WIP N/A
1. Released Production Drawings 10. Measurement System Analysis Studies
2. SPD/SMD and SI sheets (as applicable) 11. Engineering Frozen Planning/Source Approval (if applicable)
3. Production Purchase Order 12. Dimensional Reports, including Visual Appearance
4. Design FMEA (if applicable) 13. Production Verification Testing (PVT) (if applicable)
5. Process Flow 14. Special Process Approvals including NDT (if applicable)
6. Process FMEA 15. Material Certification Documentation
7. Process Control Plan 16. Raw Material Approval (if applicable)
8. Process Readiness Study (PRS) 17. Parts Marking Approval
9. Initial Process Studies 18. Packaging, Preservation & Labeling Approval
No. Target Date
1
2
3
4
5
6
7
8
9
10
Email Address
Approved Interim Approval - Class: _______ Estimated date of full approval: ___________________________ Not Approved
Co
mm
ents
Designated Function
ASQR-09.2 Form 1 (Rev. 06/11)
Supplier Management Authorization: Clearly Print Name and Sign
Customer Use Only (UTC or 1st Tier)
Title Date
Customer Name & UPPAP Focal Point:
SUPPLIER MANUFACTURING INFORMATION
Supplier Name
ELEMENT DESCRIPTION
Address (Street, City, State)
Act
ion
Pla
n
ELEMENT DESCRIPTION
LEVEL 3: Submit ASQR-09.2 Form 1 & complete supporting data
Action Item
Country
I, the supplier, submit this UPPAP Approval form as declaration of having met all applicable requirements of ASQR-09.2, except as noted above, including having implemented the requirements at the sub-tier level where applicable. I further certify that our production process meets all product delivery, engineering and quality requirements. I understand that the approval of this form by the customer does not release me from responsibility or liability for any non-conformances.
Supplier Code
Element #
DECLARATION
Customer Authorization: Clearly Print Name and Sign Date
FORM 1 - UPPAP APPROVAL
LEVEL REQUESTED (All submissions are made to the MFP - Submission Information required)
SPECIFIED REQUIREMENTS (NOTE: "WIP" or "No" selections require Action Plan documented below) (WIP - Work in Process)
LEVEL 1 Submit ASQR-09.2 Form 1 only
LEVEL 2: Submit ASQR-09.2 Form 1 & limited supporting data LEVEL 4: Reviewed at supplier's mfg location - ASQR-09.2 Form 1 & complete supporting data
1st Tier - UTC PO
Sub-Tier - Indirect PO
Element UPPAP Element Criteria
A) Validate that the process map exists for the actual production manufacturing process being used, has an established revision level, and that the process map is a "living document" subject to ongoing revision.
B) Validate producer uses standard flow diagram format including standard flowchart symbols, alternate formal and/or rework paths, wip storage, and covering all steps from receiving to inspection/testing and shipping.C) Assure alignment with PFMEA and control plan.D) Assure flowmap accounts for all outside operations and potential sources of variation.E) Assure flowmap steps identify where CTQ features are produced.
5 Process Flow
55
PPAP2-Checklist – Form QC-0990.26
Element Description Element 6 – Process Failure Modes Effects Analysis
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Element 6 Acceptable Not Acceptable
PFMEA Documented evidence of a PFMEA that meets the SAE J1739 standard.
PFMEA illustrates linkage to Process Flow Map.
PFMEA shows risk analysis that addresses process risks and prior internal defects and/or Customer escapes taken into account from similar designs.
Customer CTQ Features (e.g., KPC1, KPC2, etc.) identified on PFMEA.
Producer self-selected KPCs identified on PFMEA where appropriate.
No PFMEA produced by a producer.
Areas of high risk not addressed with adequate process controls.
Lack of linkage to PFMEA.
No evidence customer data, prior failures & escapes from a similar design used in analysis.
No identification of Customer and/or self-selected KPCs where appropriate.
Requirement per ASQR-09.2
Learn the details of conducting a PFMEA in PPAP 301 – “MFP Certification”
56
Element Description Element 6 – Process Failure Modes Effects Analysis
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Element UPPAP Element Criteria
A) Validate PFMEA exists for the part number and has established revision level and that PFMEA is a "living document" subject to ongoing revision.B) Validate producer use of standardized format (e.g. SAE J1739 or as agreed to by UTC Member)C) Where applicable, validate linkage to either the UTC Member or producer DFMEA.D) Validate that the producer has collected any historical quality and/or lessons learned data for the part and/or part family and has incorporated that learning into their PFMEA.
E) Verify that the PFMEA addresses all steps, operations and sources of variation identified in the process flow map. The scope and/or depth of the PFMEA should be adequate to address all significant risks (For a Level 4 on-site review, the UTC division shall ensure the scheduled review takes place while the subject PPAP part is running in production. UTC assessor will witness key PFMEA controls by walking the production/manufacturing process) .
F) Validate that the failure modes are be described in physical, technical and measurable terms. Validate that causes are described in terms of something that can be corrected or controlled.G) Validate recommended actions identified for high RPN and high Severity score items are completed, or a plan with owners & dates exists.
H) Validate linkage to control plan.
I ) Identification of Key Characteristics (i.e., CTQC, CTSC, FSC, KPC1, KPC2, KPCM). Ensure lower level Key Characteristics are defined that support UTC defined critical to quality features.J ) Evidence of the use of risk mitigation strategies in the process (e.g. early warning, control, system redundancies and mistake-proof methods).
K) Evidence of inspection methods, validation and testing aligned with PFMEA identified risks.
6 Process FMEA
57
PPAP2-Checklist – Form QC-0990.26
Element Description Element 6 – Process Failure Modes Effects Analysis
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PPAP Objective Evidence Workbook – Form QC-0990.28, Tab 6 - PFMEA
QC-0990.28 contains a PFMEA template on Tab 6 with full instructions for use
Click on upper right hand corner for any column for complete instructions for that given field
This template meets the SAE J1739 standard
58
Element Description Element 7 – Process Control Plan
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Element 7 Acceptable Not Acceptable
Process Control Plan Documented evidence Process Control Plan meets UTCQR-09.1.
Process Control Plan clearly illustrates linkage to PFMEA.
Electronic Control Plans are properly developed for all HS defined KPCs.
No documented evidence of a Process Control Plan or the one presented does not meet UTCQR-09.1.
Cannot link controls listed on PCP to high risk areas identified on PFMEA.
No and/or impartial evidence Electronic Control Plans are developed for HS defined KPCs in the HS ProCert Database.
Requirement per ASQR-09.2
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99.73%
95.46%
68.26%
X-3S -2S -1S +1S +2S +3S
.0214 .1360 .3413.3413 .1360 .0214
99.73%
95.46%
68.26%
X-3S -2S -1S +1S +2S +3S
.0214 .1360 .3413.3413 .1360 .0214
A control plan describes how we mange and control process risks identified on the PFMEA.
A control plan is a set of written strategies which define the steps to take to maintain statistical control and capability of the process. The format seen below is used by the Producer for describing how the critical steps of the manufacturing and/or assembly process is controlled.
Note that some divisions within UTC may have specific control plan requirements just for KPCs. The next slide illustrates an example of the control plan format utilized by HS for engineering defined Key Product Characteristics.
Element Description Element 7 – Process Control Plan
CONTROL PLAN QUESTIONS
– What do I check?
– How do I check it?
– How often do I check?
– What gage do I use?
– What is the capability of the gage?
– What inputs do I set?
– What setting?
– How are the inputs controlled?
– What preventative maintenance do I do before I run a part?
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Control Plan Requirements – Part 2• Documented Process Control Plan
• Completed Gage Capability Study
• SPC Data Collection at Operator Workstation
• Control Charts filled out by Operator
• Calculated Process Capability Indexes
• Action Plan to improve KPCs with Low Cpk
99.73%
95.46%
68.26%
X-3S -2S -1S +1S +2S +3S
.0214 .1360 .3413.3413 .1360 .0214
99.73%
95.46%
68.26%
X-3S -2S -1S +1S +2S +3S
.0214 .1360 .3413.3413 .1360 .0214
A control plan describes how we mange the KPC
The format seen below is used by the Producer for HS defined KPCs using the Process Certification Database available on the HS home page or the HS Supplier Portal.
Element Description Element 7 – Process Control Plan for KPCs
Each HS defined KPC must be accounted for in the HS Process Certification Database.
An Electronic Control Plan for each KPC must be developed and maintained by the supplier (externally made parts) and/or internal plant site (internally made parts)
The requirements of UTCQR-09.1 (both internally and supplier made parts), HSM17 (supplier made parts) and HT0985 (internally made parts) must be followed and complied with.
Control Plan Requirements – Part 1
61
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Element Description Element 7 – Process Control Plan
Below is a Process Control Plan format that meets the requirements of UTCQR-09.1, “UTC Process Certification Requirements”.
Control Plan Example
62
Element UPPAP Element Criteria
A) Verify requirements of UTCQR-09.1 are followed.
B) Ensure that the Control Plan includes controls for all UTC Member defined KCs and any producer identified KCs from the PFMEA.C) Ensure that the Control Plan includes controls for any high severity and high RPN failure modes identified on the PFMEA (e.g. early warning, control, system redundancies and mistake-proof methods).D)Key Process Inputs, Settings, Control Methods, and SPC chart type are defined for each critical operation.E) Control Plan accounts for outside/sub-tier processes.F) Verify reaction plans exist for nonconforming condition/out of control situations (e.g. containment, customer notification, recovery, communication, stop the process)G) Verify that the listed finish dimensional and tolerances matches the drawing.H) Verify that defined inspection frequencies meet ASQR-20.1 requirements.
7Process Control
Plan
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Element Description Element 7 – Process Control Plan
63
PPAP2-Checklist – Form QC-0990.26
Element Description Element 8 – Process Readiness Study
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Element 8 Acceptable Not Acceptable
Process Readiness Study Documented evidence Process Readiness Study completed by the Producer.
Overall results of the PRS are >/= 80%. If the overall PRS results are less than 80%, action items are in place with responsible persons and expected completion dates for areas scored 3 and below.
No documented evidence of a PRS being conducted by the Producer.
Overall PRS score results in less than 80% and no plan exists to address low scores.
Requirement per ASQR-09.2
64
Allow suppliers to self-assess the processes building UTC product to ensure production readiness
Originally developed by PWC; added Capacity Planning and FOD
Focus areas include:
Manufacturing Operation SheetsToolingGagingEquipment & TPMControl of Key Product Characteristics (KPCs)Control of Sub-tier SuppliersCapacity PlanningControl of Foreign Object Debris (FOD)
Element Description Element 8 – Process Readiness Study
FORM QC-0990.27, Revision - , July 12, 2011
Part Number: Part Name :Heat Exchanger Core
Familiy Name: Large Aluminum H/ X CoresAssessment Date:
Total average score: 67%
Supplier Name: Supplier Code: 123456
Supplier Mfg. Eng’g Rep.:
(Manager or Supervisor) _____________________________________(signature)
Supplier QA/QC Rep.:
(Manager or Supervisor) _____________________________________(signature)
UTC Member Focal Point:
_____________________________________(signature)
Mfg. Work Instructions 75%
Tooling 80%
Gaging 68%
Equipment & TPM 54%
Process Certification 63%
Sub-tier Control 50%
Capacity Planning 54%
FOD 80%
Process Readiness Study (Reference Element 8, ASQR-09.2)
765432-1
Supplier ABC
8/ 15/ 2011
George Bashura
Joe DeFazio
Jamie Cavanaugh
75%
80%
68%
54%
63%
50%
54%
80%
0%
100%
Mfg. Work Instructions
Tooling
Gaging
Equipment & TPM
Process Certification
Sub-tier Control
Capacity Planning
FOD
Series1
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• Capacity analysis one of the eight areas assessed as part of PRS• Capacity Analysis Tool (CAT) developed to assess current & future capacity• Conducted to assure ability to meet a ramp-up in schedule• Used to identify potential and existing over-capacity situations• Develop risk mitigation plans to address over-capacity situations
Year QuarterLoad (hrs)
Load(%)
Load (hrs)Load(%)
Q1 58.034 16.5% 102.638 31.1%Q2 84.374 24.0% 148.420 45.0%Q3 79.406 22.6% 139.457 42.3%Q4 94.116 26.7% 164.580 49.9%
Overall 315.930 22.4% 555.095 42.1%Q1 99.534 28.3% 173.714 52.6%Q2 149.060 42.3% 258.803 78.4%Q3 181.680 51.6% 313.888 95.1%Q4 189.123 53.7% 327.369 99.2%
Overall 619.397 44.0% 1073.774 81.3%Q1 174.110 49.5% 302.449 91.7%Q2 154.616 43.9% 269.219 81.6%Q3 112.168 31.9% 195.636 59.3%Q4 92.986 26.4% 162.484 49.2%
Overall 533.880 37.9% 929.789 70.4%
2010
Machine Name
2011
2012
Lathe Grinder
Lathe Grinder Hone Polish
Working days 220 220 220 220Number of machines 1 1 1 3Number of hours per day 8 8 8 8
Hours available 1408 1320 1531.2 4488
Efficiency 80% 75% 87% 85%
Variance to Process Std
Set-up 10% 15% 10% 10%
Experimental /
Downtime 5% 5% 1% 5%
Scrap/rework 5% 5% 2% 0%
Tool proving
Waiting (Quality authonomy)
Operator not availableNon Value Added Labor 20.0% 25.0% 13.0% 15.0%
Resource
No. Open A/I: 0No. Closed A/I: 0
No. Overdue A/I: 0Total A/I: 0
Item No.Machine/
Process StepOver Capacity
Projected Year
Projected Quarter
Action Item(s) to EliminateOver Capacity Situation
Person Responsible
Due Date StatusDate
Closed
1234567891011121314151617181920
Over Capacity Action Plan
CAT Tool training package and spreadsheet available at:
www.hssupplierportal.com
Click on “Help” tab
Click on “Quality MPR”
Element Description Element 8 – PRS Capacity Analysis Review
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Element Description Element 8 – Process Readiness Study
Element UPPAP Element Criteria
8Process
Readiness Study (PRS)
Verify that the PRS includes the following elements and that the results of the study show that for all elements, the producer is ready for production.A) Production Tooling, fixtures, manufacturing equipmentB) Operation Work InstructionsC) Process Control MethodsD) Gage SuitabilityE) Total Productive Maintenance (TPM) programF) Sub-tier Supplier flowdownG) Capacity AnalysisH) FOD prevention and controls
67
PPAP2-Checklist – Form QC-0990.26
Element Description Element 9 – Initial Process Studies
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Element 9 Acceptable Not Acceptable
Initial Process Studies All HS defined KPCs are identified on the PFMEA, Process Flow Map, Control Plan and work instructions.
In case of SDE suppliers, any HS defined CTSC/CTQC features have lower-level KPCs that were self-selected by the supplier and approved by HS Quality and/or Engineering.
Producer can show evidence that SPC is being implemented for HS defined or self-selected KPCs using control charts.
Evidence that Producer is addressing KPCs with low Cpks (e.g., Cpks< 1.0).
No documented evidence of a Process Control Plan or the one presented does not meet UTCQR-09.1.
Cannot link controls listed on PCP to high risk areas identified on PFMEA.
No and/or impartial evidence Electronic Control Plans are developed for HS defined KPCs in the HS ProCert Database.
Requirement per ASQR-09.2
99.73%
95.46%
68.26%
X-3S -2S -1S +1S +2S +3S
.0214 .1360 .3413.3413 .1360 .0214
99.73%
95.46%
68.26%
X-3S -2S -1S +1S +2S +3S
.0214 .1360 .3413.3413 .1360 .0214
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QC-0990.28, “PPAP Objective Evidence Package” includes Appendix 5, “Capability Calculator” that can be used to perform the following tasks:
• Enter SPC data collected from the process
• Calculate Cp & Cpk• Produce Individuals Control
Chart based utilizing 3-Sigma Limits
• Create Moving Range Control Chart based utilizing 3-Sigma Limits
Element Description Element 9 – Initial Process Studies
Process Capability and Individuals & Moving Range (IX-MR) ChartPart Number:
Part Name:
Number of samples (<= 50) 17 Nominal specification 10.00002 Upper tolerance limit 15.0000
Lower tolerance limit 5.0000Grand Average D3 D4 d2Average Range 0 3.267 1.128
MovingObservation Value LCLx CLx UCLx Range LCLr CLr UCLr Cp 1.67
1 8.50000 7.73629 9.94706 12.15783 Cpl 1.652 7.90000 7.73629 9.94706 12.15783 0.60000 0.00000 0.83125 2.71569 Cpu 1.693 8.80000 7.73629 9.94706 12.15783 0.90000 0.00000 0.83125 2.71569 Cpk 1.654 9.90000 7.73629 9.94706 12.15783 1.10000 0.00000 0.83125 2.715695 10.10000 7.73629 9.94706 12.15783 0.20000 0.00000 0.83125 2.715696 10.00000 7.73629 9.94706 12.15783 0.10000 0.00000 0.83125 2.715697 11.00000 7.73629 9.94706 12.15783 1.00000 0.00000 0.83125 2.715698 10.30000 7.73629 9.94706 12.15783 0.70000 0.00000 0.83125 2.715699 9.80000 7.73629 9.94706 12.15783 0.50000 0.00000 0.83125 2.71569
10 8.90000 7.73629 9.94706 12.15783 0.90000 0.00000 0.83125 2.7156911 11.10000 7.73629 9.94706 12.15783 2.20000 0.00000 0.83125 2.7156912 10.50000 7.73629 9.94706 12.15783 0.60000 0.00000 0.83125 2.7156913 10.10000 7.73629 9.94706 12.15783 0.40000 0.00000 0.83125 2.7156914 10.00000 7.73629 9.94706 12.15783 0.10000 0.00000 0.83125 2.7156915 12.00000 7.73629 9.94706 12.15783 2.00000 0.00000 0.83125 2.7156916 10.20000 7.73629 9.94706 12.15783 1.80000 0.00000 0.83125 2.7156917 10.00000 7.73629 9.94706 12.15783 0.20000 0.00000 0.83125 2.7156918 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156919 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156920 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156921 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156922 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156923 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156924 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156925 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156926 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156927 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156928 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156929 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156930 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156931 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156932 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156933 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156934 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156935 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156936 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156937 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156938 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156939 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156940 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156941 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156942 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156943 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156944 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156945 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156946 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156947 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156948 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156949 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.7156950 7.73629 9.94706 12.15783 #N/A 0.00000 0.83125 2.71569
Drawing Zone:
Enter data ONLY in yellow-shaded cells.This spreadsheet is designed for up to 50 observations and a moving range from 2 to 5.Enter the sample size in cell E10. Then enter your data in the "Value" Column beginning with Cell B17.
Drawing Number:
CTQ Feature:
PROCESS CAPABILITY CALCULATIONS
Sample size for moving range(2 - 5)
9.947060.83125 Average 9.9471
Standard Deviation 0.9976
0.0000
2.0000
4.0000
6.0000
8.0000
10.0000
12.0000
14.0000
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 33 35 37 39 41 43 45 47 49
Va
lue
Observation number
Individuals (X) ChartIndividualsUpper control limitCenter lineLower control limit
0.00000
0.50000
1.00000
1.50000
2.00000
2.50000
3.00000
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 33 35 37 39 41 43 45 47 49
Mo
vin
g r
an
ge
s
Observation number
Moving Range ChartMoving ranges
Lower control limit
Center line
Upper control limit
Index
ProcessCapability
ControlCharts
Raw dataentry
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69
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Element Description Element 9 – Initial Process Studies
Element UPPAP Element Criteria
A) Evidence that SPC Control Charts and process capability indices are completed for 25 pcs, illustrating evidence of variation for all UTC Member and producer identified KCs.
B) Supplier action plan(s) in place to address unacceptable Process Capability results for all UTC defined or producer defined KCs.
C) Verify that the producer has ensured that any UTC member or producer identified KCs manufactured by a subtier supplier meet UTCQR-09.1 requirements.
9Initial Process
Capability Studies
In PPAP Objective Evidence Package, Form QC-0990.28,Producer will provide in Tab 9, “Initial Process Studies”, an example SPC output along with a summary table for the status of all other HS defined or self-selected KPCs.
70
PPAP2-Checklist – Form QC-0990.26
Element Description Element 10 – Measurement Systems Analysis Studies
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Element 10 Acceptable Not Acceptable
Measurement Systems Analysis Studies
Gage Studies (Short Form as a minimum) are conducted on measurement systems involving HS defined and producer self-selected KPCs
Results are entered into the HS ProCert Database.
Action plan exists for gage Study results greater than 20% per HSM17 (supplier made parts) or HT0985 (internally made parts).
10% rule-of-thumb employed for measurement resolution.
No documented evidence of a Gage Capability Studies performed per HSM17/HT0985.
Gage Study results not entered into the HS ProCert Database.
Lack of action plans for Gage Study results greater than 20% of tolerance.
Gages used have inadequate measurement resolution.
Requirement per ASQR-09.2
Gauge R&R Short Form Study
Gauge Name: Part Number: Performed By:Gauge Number: Part Name: Operator A:
Graduations: Operation Number: Operator B:
Zero Equals: Characteristic: Area: Unit of Meas: Specification: Date:
Total Tolerance:Instructions:1) Type in shaded areas only.2) Select 5 parts at random and number them 1 through 5.2) Have two operators measure each part independently. Record results below.4) Analyze the results to determine variability due to both Repeatability and Reproducibility.
Part Operator Operator Range12345
Sum of the Ranges:
Rbarm = (Sum/5) =
R&R = Rbarm * 4.33
R&R = * 4.33 =
% of Tol. Range = (R&R / Tol. Range) * 100% of Tolerance Range =
Evaluation:Gauge R&R must not exceed 20% of the Engineering Tolerance in order for the measurement system to be judged acceptable. If Short Form Study exceeds 20%, conduct Long Form Study. If the Long Form Study exceeds 20%, a change to the measurement system is needed.
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Element Description Element 10 – Measurement Systems Analysis Studies
In PPAP Objective Evidence Package, Form QC-0990.28,Producer will provide in Tab 10, “MSA”, an example Gage Capability Study output along with a summary table for the status of all other HS defined or self-selected KPCs.
Gage R&R Short Form Study
Gage Name: Caliper Part Number: 964C592-1 Performed By: Frank T.
Gage Number: 1c0013 Part Name: Tube, Insulating Operator A: Patti C.
Graduations: 0.0001" Operation Number: N/A Operator B: Nicola S.
Zero Equals: Characteristic: Outside Diameter Area: Aerospace Cell
Unit of Measure: Inches Specification: 1.807-1.817" Date: 6/20/2005
Total Tolerance: 0.01000
Instructions:1) Type in shaded areas only.2) Select 5 parts at random and number them 1 through 5.2) Have two operators measure each part independently. Record results below.4) Analyze the results to determine variability due to both Repeatability and Reproducibility.
Operator Operator RangePart Patti C. Nicola S.
1 1.8125 1.8135 0.001002 1.8100 1.8125 0.002503 1.8110 1.8135 0.002504 1.8100 1.8130 0.003005 1.8105 1.8120 0.00150
Sum of the Ranges: 0.01050Rbarm = (Sum/5) = 0.00210
R&R = Rbarm * 4.33
R&R = 0.00210 * 4.33 = 0.00909
% of Tol. Range = (R&R / Tol. Range) * 100% of Tolerance Range = 90.93000
Evaluation:Variable Gage R&R may be interpreted as a percentage of the Engineering Tolerance. Gage R&R must not exceed 20% of the Engineering Tolerance in order for the measurement system to be judged acceptable. If the Short Form Study exceeds 20%, it is recommended a Long Form Study be conducted. If the Long Form Study exceeds 20%, a change to the measurement system is needed.
Sample Gage Study
Element UPPAP Element Criteria
A) Producer can demonstrate Gage Capability Studies completed for all UTC member and producer identified KC.
B) Gage resolution specified meeting 10:1 rule-of-thumb.
C) Supplier action plan(s) in place to address unacceptable Gage Capability results for UTC defined CTQ Features (i.e., > 20% of tolerance requires corrective action plan).
10
Measurement System Analysis
Studies (i.e., Gage Capability Studies)
72
PPAP2-Checklist – Form QC-0990.26
QC-0990.28, “PPAP Objective Evidence Package” includes the following appendices:
• Appendix 2, “Gage Capability Short Form Study”
• Appendix 3, “Gage Capability Long Form Study”
• Appendix 4, “Gage Capability Attribute Form Study”
• Templates compute Gage Capability
as a % to tolerance and 6-Sigma
• Long Form separates effects of gage
from inspector
Element Description Element 10 – Measurement Systems Analysis Studies
Gage R&R Short Form Study
Gage Name: Part Number: Performed By:Gage Number: Part Name: Operator A:
Graduations: Operation Number: Operator B:Zero Equals: Characteristic: Area:
Unit of Measure: Specification: Date:Total Eng. Tolerance:
Instructions:1) Type in shaded areas only.2) Select 5 parts at random and number them 1 through 5.2) Have two operators measure each part independently. Record results below.4) Analyze the results to determine variability due to both Repeatability and Reproducibility.
Part12345
RA (Range of 5 values) = 0.000000 RB (Range of 5 values) = 0.000000 Sum of 5 ranges 0.000000RbarCV = (R A+R B )/2 = 0.000000 Rbarm = Sum/5 0.000000
NOTE: CV = Combined Variability used to calculate Process Tolerance
Product Sigma = Rbarm/1.19 = 0.000000 Process SigmaCV = RbarCV/d2 = 0.000000
* See special Supplier Note below NOTE: d2 = 2.326 for n=5
Gage R&R for Product Acceptance = Rbarm * 4.33 Process Tolerance = 6 * SigmaCV = 0.000000
0.00000 * 4.33 = 0.000000
1) GAGE CAPABILITY (GC) FOR PRODUCT ACCEPTANCE (% of Engineering Tolerance)
GC as a % of Eng. Tolerance = (Gage R&R / Total Eng. Tolerance Range) * 100 = #DIV/0!
* SPECIAL SUPPLIER NOTE: Supplier needs to enter "Product Sigma" into HS Process Certification Database when creating a new Gage File for any HS defined KPCs/TKCs. Enter the Product Sigma into the database field entitled "Gage RR Std Deviation".
2) GAGE CAPABILITY FOR CONTROL CHART PURPOSES (% of Process Tolerance)
% of Process Tolerance = (R&R / 6 x SigmaCV) * 100 = #DIV/0!
LEGEND ACCEPTABLE MARGINAL UNACCEPTABLE
Operator A Operator B Range0 0
0.0000000.000000
0.000000
0.0000000.000000
Index
Example Gage Capability Short Study Form
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Element Description Element 11 – Eng. Frozen Planning/Source Approval
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Element 11 Acceptable Not Acceptable
Engineering Frozen Planning/Source Approval (EFP/ESA)
Where Flight Safety Parts & Characteristics apply, processes generating FSC features have been approved by the HS Flight Safety Parts Review Board per HSC16199/HS15000.
Producer has annotated their documentation with a unique identifier per HS16199/HS15000.
Flight Safety Audit performed by HS with no findings outstanding.
No documented evidence of a HS Flight Safety Parts Review Board approval for Producer’s processes that generate Flight safety Parts/Characteristics per HSC16199/HS15000.
Flight Safety Parts/Characteristics not identified properly per HSC16199/HS15000.
Findings documented in prior HS Flight Safety Audit are overdue.
Requirement per ASQR-09.2
Element UPPAP Element Criteria
11
Engineering Frozen Planning and/ or Source Approval
(EFP/ ESA)
A) Evidence of EFP/ESA approval where required by drawing or process specification
74
PPAP2-Checklist – Form QC-0990.26
Element Description Element 12 – Dimensional Report
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Element 12 Acceptable Not Acceptable
Dimensional Report A FAIR (per AS9102A) for 1 part, and four supplementary dimensional reports for 4 additional randomly selected parts.
5 total parts must be represented of all unique process streams per ASQR-09.2, Section 5.2.12.C.
All features must meet the drawing requirements.
Note: Reductions in sample size of amount of inspected drawing characteristics shallbe documented and formally agreed to with HS MFP.
First Article Inspection Report(FAIR) only for one part
Features found to be unaccounted for.
Some features checked in an over-inspection found to be out-of-tolerance.
QN acceptednon-conformances
Requirement per ASQR-09.2
Element UPPAP Element Criteria
A) For ballooned print, validate count of dimensions/features checked on current print match those on Dimensional Report.
B) Validate all CTQ features are identified on the report
C) Validate all features recorded are within specification tolerances.
D) Validate full FAI layout (per AS9102) and 4 additional dimensional reports are completed (randomly selected from a significant production run). (For a Level 4 on-site review, the UTC assessor shall randomly witness the inspection of at least 3 pre-selected features (reference E) Validate that the producer accounted for all process streams in the selected samples
12 Dimensional Report
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PPAP2-Checklist – Form QC-0990.26
Element Description Element 13 – Production Verification Testing
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Element 13 Acceptable Not Acceptable
Production Verification Testing ATP tests results based on the test specification called out on the engineering documentation are evident for the prescribed quantity or a minimum of 5 units.
Tests results are all acceptable to the test specification.
Less than five units of data exists.
Nonconformances present in the test results.
Requirement per ASQR-09.2
Element UPPAP Element Criteria
A) Does functional test (i.e., ATP/PAT/PVT) meet UTC division drawing and/or Procurement Specification test requirements?
B) Has functional test been completed for at least 5 units or the minimum required by the UTC division specification?
13Production Verification
Testing (PVT)
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PPAP2-Checklist – Form QC-0990.26
Element Description Element 14 – Special Process Approval and NDT
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HS 80-85 Report
REPORT 80 - Lists all HS suppliers approved to perform a specific special process per an HS specification. These are suppliers that are only special process houses. They do not manufacture product.
REPORT 85 - Lists all suppliers approved by HS to perform internally a specific special process per an HS specification. These suppliers manufacture product and have as part of their operations the ability to perform special processes.
Example of Report 80 as seen from HS Supplier Portal
77
Element Description Element 14 – Special Process Approval and NDT
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Requirement per ASQR-09.2
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Element Description Element 14 – Special Process Approval and NDT
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Element 14 Acceptable Not Acceptable
Special Process Approval and Non-Destructive Test (NDT)
Supplier aware of all special process/NDT requirements called out on HS documents.
Special Process and/or NDT suppliers all have proper approvals for the HS specification called out and appear on the HS 80-85 Report.
Evidence is readily available from 1st-tier supplier for any special testing required by the HS specification.
Supplier did not account for all special process/NDT requirements called out on HS document.
Supplier utilized a special process/NDT supplier not on the HS 80-85 Report.
Supplier cannot produce evidence that special testing called out in the HS specification was completed.
Element UPPAP Element Criteria
A) I s the Special Process supplier listed on a UTC division member Approved Vendor list specifically for the subject specification?
B) Did the product in question require special testing (i.e. grain size, microstructure), and if so is there evidence of completion and approval (i.e., is a control plan included as part of the objective evidence package that reflects any special testing requirements)?
C) I s the certificate of compliance included?
14Special Process Approvals
& Nondestructive Test (NDT)
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PPAP2-Checklist – Form QC-0990.26
Element Description Element 15 – Material Certification Documentation
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Element 15 Acceptable Not Acceptable
Material Certification Documentation When required by HS document, C of C readily available showing material procured from an HS approved source.
For SDE suppliers, C of C available that shows material procured from SDE approved source.
Materials procured from non-approved HS source have supporting test reports from an HS approved test facility.
No evidence of approvals.
Requirement per ASQR-09.2
Element UPPAP Element Criteria
A) Materials were procured from a UTC division approved source when required.B) For Producers with design authority, materials were procured from the Producer's approved source and is stated on the C of C.
C) Materials from a non-approved sources (non LCS supplier) have material test reports from UTC division approved test facility.
15Material Certification
Documentation
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PPAP2-Checklist – Form QC-0990.26
Element Description Element 16 – Raw Material Approval
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Element 16 Acceptable Not Acceptable
Raw Material Approval A HS approved layout report with no non-conformances
No layout report or anapproved layout report withQN accepted nonconformances.
Requirement per ASQR-09.2
Element UPPAP Element Criteria
16Raw Material Approval (i.e.,
casting approved layout)A) Ensure layout report is completed and approved by the UTC member division with zero nonconformances.
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PPAP2-Checklist – Form QC-0990.26
Element Description Element 17 – Part Marking Approval
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Element 17 Acceptable Not Acceptable
Part Marking Approval Photo of Part Markingincluding 2D marking ifapplicable.
Copy of 2D markingapproval by HS.
No photo of marking orno evidence of 2Dmarking approval fromHS.
Requirement per ASQR-09.2
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Element Description Element 17 – Part Marking Approval
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Element UPPAP Element Criteria
A) Documented evidence of UTC division approval of part marking per the invoked part marking specification.
B) A digital photo of part marking on a part or other evidence that demonstrates the part has been marked per the drawing.
17 Parts Marking Approval
Part Marking Wizard available on HS Supplier Portal
Aids a supplier in how to mark an HS part using a four step process
Encompasses part marking specifications from three HS design centers (Windsor Locks, Rockford and San Diego)
Will enable successful completion of PPAP Element 17
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PPAP2-Checklist – Form QC-0990.26
Element Description Element 17 – Part Marking Approval
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Part Marking Wizard – HS Supplier Portal
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Element Description Element 18 – Packaging, Preservation and Labelling Approval
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Requirement per ASQR-09.2(18) Packaging, Preservation and Labeling ApprovalThe UPPAP file shall contain documented evidence of member approval of packaging per the invoked packaging specification.
Element UPPAP Element Criteria
A) Validate PP&L requirements are met per applicable UTC division drawing and/or specification.
B) In the event no UTC division specific PP&L requirements are specified, does packaging plan meet ASQR-15.1?
18Packaging, Preservation &
Labeling Approval
Element 18 Acceptable Not Acceptable
Packaging, Preservation and Labeling (PP&L) Approval
Documented evidence ofHS approved packagingrequirements.
For Raw Material suppliers, email is acceptable.
For all other , evidence is copy of HS packing instructions from HS supplier portal.
No documented evidence of HS PP&L approval.
PPAP2-Checklist – Form QC-0990.26
Element Description Element 19 – Review and Sign-Off
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Requirement per ASQR-09.2
The Producer shall use the PPAP2-Checklist, Form QC-0990.26, to assure package integrity
Element 19 Acceptable Not Acceptable
Review and Sign-Off Form 1 completed and signed by the Producer.
Evidence review conducted using PPAP2-FAI Checklist to assure comprehensive review.
Action items with assigned individuals and expected completion dates for any incomplete elements.
No documented evidence of HS PP&L approval.
No evidence Producer utilized the PPAP2-FAI Checklist in their review.
No plan exists and/or incomplete plan for unfinished PPAP elements.
(19)Review and Sign-OffThe supplier shall:a. Verify all measurement and test results show conformance with member requirements.b. Ensure all required documentation is available within the UPPAP file.c. Review all applicable data for content, accuracy, and process repeatability before submitting for approval.d. Upon a satisfactory internal review, complete a UPPAP Approval, ASQR-09.2 Form 1, (refer to Appendix 1), and submit to the MFP for approval.e. Complete a separate ASQR-09.2 Form 1, for each part number unless otherwise agreed to by the MFP.
UTC Division:
Part #: Drawing Revision:
Part Name: SPD/SMD # or Rev.#:
Customer Purchasing Representative:
Purchase Order #:
Yes No WIP N/A Yes No WIP N/A
1. Released Production Drawings 10. Measurement System Analysis Studies
2. SPD/SMD and SI sheets (as applicable) 11. Engineering Frozen Planning/Source Approval (if applicable)
3. Production Purchase Order 12. Dimensional Reports, including Visual Appearance
4. Design FMEA (if applicable) 13. Production Verification Testing (PVT) (if applicable)
5. Process Flow 14. Special Process Approvals including NDT (if applicable)
6. Process FMEA 15. Material Certification Documentation
7. Process Control Plan 16. Raw Material Approval (if applicable)
8. Process Readiness Study (PRS) 17. Parts Marking Approval
9. Initial Process Studies 18. Packaging, Preservation & Labeling Approval
No. Target Date
1
2
3
4
5
6
7
8
9
10
Email Address
Approved Interim Approval - Class: _______ Estimated date of full approval: ___________________________ Not Approved
Co
mm
ents
Designated Function
ASQR-09.2 Form 1 (Rev. 06/11)
Supplier Management Authorization: Clearly Print Name and Sign
Customer Use Only (UTC or 1st Tier)
Title Date
Customer Name & UPPAP Focal Point:
SUPPLIER MANUFACTURING INFORMATION
Supplier Name
ELEMENT DESCRIPTION
Address (Street, City, State)
Act
ion
Pla
n
ELEMENT DESCRIPTION
LEVEL 3: Submit ASQR-09.2 Form 1 & complete supporting data
Action Item
Country
I, the supplier, submit this UPPAP Approval form as declaration of having met all applicable requirements of ASQR-09.2, except as noted above, including having implemented the requirements at the sub-tier level where applicable. I further certify that our production process meets all product delivery, engineering and quality requirements. I understand that the approval of this form by the customer does not release me from responsibility or liability for any non-conformances.
Supplier Code
Element #
DECLARATION
Customer Authorization: Clearly Print Name and Sign Date
FORM 1 - UPPAP APPROVAL
LEVEL REQUESTED (All submissions are made to the MFP - Submission Information required)
SPECIFIED REQUIREMENTS (NOTE: "WIP" or "No" selections require Action Plan documented below) (WIP - Work in Process)
LEVEL 1 Submit ASQR-09.2 Form 1 only
LEVEL 2: Submit ASQR-09.2 Form 1 & limited supporting data LEVEL 4: Reviewed at supplier's mfg location - ASQR-09.2 Form 1 & complete supporting data
1st Tier - UTC PO
Sub-Tier - Indirect PO
PPAP Validation
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• Producer submits PPAP Package for approval
• Conduct PPAP2 Review. – Level 4 PPAP requires that an on-site validation to be conducted.
Review must witness the actual process at the Producer.
• Determine gaps
• Provide feedback to Producer
• Producer re-submits updated package
87
PPAP Approval
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• Sign UPPAP Form 1
• Update PPAP database
• Forward Form 1 to Producer
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1) PPAP is an acronym for;A. Purchased Part Activity Planning
B. Part Planning Approval Process
C. Production Part Approval Process
D. Part Production Activity Plan
E. Process Planning And Production
F. Part Planning And Procurement
2) PPAP has 13 elements;
A True
B False
3) There are 5 levels of PPAP:A. True
B. False
4) A DFMEA for a level 3 PPAP is required by all producers:A. True
C. False
TRIVIA QUESTIONS
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F/N=L:\Supplier Quality\Supplier Development\Training Materials\Practical Process Control Applications – P. Teti, October 25, 2007.ppt Page 90
QUESTIONS?
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F/N=L:\Supplier Quality\Supplier Development\Training Materials\Practical Process Control Applications – P. Teti, October 25, 2007.ppt Page 91
APPENDIX 1
FMEA Guideline
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FAILURE MODE EFFECTS ANALYSIS (FMEA)
A systematic technique to:
• Identify potential failure modes
• Identify possible causes and effects of potential failure modes
• Evaluate and manage risk by prioritizing failure modes according to:– Occurrence probability– Severity– Detection probability– Identify control methods to eliminate or minimize the effect of potential
failures– Provide a means of evolving organizational knowledge
Definition
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• A prevention tool used to determine possible failures before they happen. – Results of an FMEA lead to the establishment of process controls.
• Can be used on a product.– Tree diagram showing how details flow into assemblies.– Understand what the “Critical-To-Quality (CTQ)” parts are to the
Customer that affect performance, reliability, and safety.– Determine Key Product Characteristics for the CTQ parts
• Can be used on a process (PFMEA)– Flowchart the key process steps (see next two pages).– Identify “what could go wrong” at each process step.– Identify controls needed on Key Process Inputs (KPI’s, i.e., poka-
yoke (timers, sensors, guide pins), control charts, etc.).– Determine Key Product Characteristics to measure output.
FAILURE MODE EFFECTS ANALYSIS (FMEA)
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FAILURE MODE EFFECTS ANALYSIS (FMEA)
Failure Mode and Effects Analysis (FMEA) is a preventive analyticaltechnique utilized by designers (product or process) to methodicallystudy the cause and effects of failures before a design is finalized.
In essence, a 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.
In addition, a review is made of the action being taken (or planned) to minimize the probability of failure or to minimize the effects of failure.
What is FMEA?
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FAILURE MODE EFFECTS ANALYSIS (FMEA)
The FMEA supports the design process in reducing the risk of failure by:
Aiding in the objective evaluation of design requirements and design alternatives.
Increasing the probability that potential failure modes and their effects on system operation have been considered in the design/development process.
Providing additional information to aid in the planning of thorough and efficient design test and development programs.
Developing a list of potential failure modes ranked according to their effect on the “Customer”.
Providing an open issue format for recommending and tracking risk reducing actions.
Providing future reference to aid in analyzing service concerns, evaluating design changes, and developing advanced designs.
What does FMEA do?
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FAILURE MODE EFFECTS ANALYSIS (FMEA)
A cost reduction process, although it may result in cost avoidance.
A way to reduce testing requirements – it may result in additional testing requirements.
A replacement for formal design reviews.
A process we perform at the last minute to satisfy a customer requirement.
More useless paperwork we fill out before we get a new development program signed off.
An opportunity to document all of the ways we think the plant will “mess up” when manufacturing the product.
What an FMEA is not
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FAILURE MODE EFFECTS ANALYSIS (FMEA)Benefits
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Use Product or Process Guide Sheets when facilitating an actual FMEA meeting.
Key questions relevant to each FMEA column are listed and should be asked.
Have a recorder (someone with decent handwriting!) assigned and record Team inputs on a 11" by 17" blank FMEA worksheet.
Permanent recording can be done on a computer spreadsheet.
Develop action plan for RPN's calculated, such as:– KPC implementation using SPC– Create process control plan– Added test procedure– Mistake-Proof solution based on design or process
FMEA GUIDE SHEET
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DESIGN FMEA GUIDE SHEET
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PARTNAME/PARTNUMBER
PRODUCTFUNCTION
POTENTIALFAILUREMODE
POTENTIALEFFECT(S)OFFAILURE
CONTROLCRITICALITEM
POTENTIALCAUSE(S)OFFAILURE
EXISTING CONDITIONS
CURRENTCONTROLS
OC
CU
RA
NC
E
SE
VE
RIT
Y
DE
TE
CT
ION
RISKPRIORITYNUMBER(RPN)
RESULTING
ACTIONTAKEN
OC
CU
RA
NC
E
SE
VE
RIT
Y
DE
TE
CT
ION
RISKPRIORITYNUMBER(RPN)
RECOMMENDEDACTION(S)
RE
SP
ON
SIB
LE
AC
TIV
ITY
From BOMwhat partare weexamining?
What tasksmust partperform?
How canpart fail tomeetfunction?
Use verband noun.
Examples:Retainclip;Preventleaks.
Use physicalor technicalterms.
Examples:Vibration;Leaks.
What willCustomerexperienceif failuremodeoccurs?
Customersare internaland external.
Examples:Inoperative;Poorappearance.
Controlregulated.
Critical/Safety.
Significantproduct.
What is theroot causeof failure -NOT causeof effect?
Use "FiveWhys".
Examples:Lube failure;Fatiguecrack.
What canpreventcausesfromoccurring?
Examples:DOE,Qual. test,SPC KC,Mistake-Proofdevice.
SEE NEXTPAGE.
Provide riskassessmentand prioritizeneed forcorrectiveaction.
Direct correctiveaction at highestRPN and Severity.
What wasactuallyaccomplished?
SEE NEXTPAGE.
Goal is toreduce RPN's forcontinuousimprovement.
Examples:DOE,Design inredundancy,Design change,implement SPCfor selectedKC's, incorporateSupplier controls,Come up withDesign Mistake-Proof strategy,etc.
Should belower thanRPN underexistingconditions.
Who is responsiblefor theseactions?
99
PROCESS FMEA GUIDE SHEETOPERATIONDESCRIPTION
POTENTIALFAILUREMODE
POTENTIALEFFECT(S)OFFAILURE
CONTROLCRITICALITEM
POTENTIALCAUSE(S)OFFAILURE
EXISTING CONDITIONS
CURRENTCONTROLS
OC
CU
RA
NC
E
SE
VE
RIT
Y
DE
TE
CT
ION
RISKPRIORITYNUMBER(RPN)
RESULTING
ACTIONTAKEN
OC
CU
RA
NC
E
SE
VE
RIT
Y
DE
TE
CT
ION
RISKPRIORITYNUMBER(RPN)
RECOMMENDEDACTION(S)
RE
SP
ON
SIB
LE
AC
TIV
ITY
From a flowchart whatoperation are weexamining?
How canpart fail tomeetfunction?
Use physicalor technicalterms.
Examples:Contamin-action; Leaks;Eccentric;Hole miss-ing; Not flat.
What willCustomerexperienceif failuremodeoccurs?
Customeris end useror down-streamOperator.
Examples:Poor fit-up;Can't install;Corrosion;Rework.
Controlregulated.
Critical/Safety.
Significantproduct.
What is theroot causeof failure -NOT causeof effect?
Use "FiveWhys".
Examples:Machine set-up; bad heattreat; Hand-ling damage.
What canpreventcausesfromoccurring?
Examples:DOE,SPC KC,Mistake-Proofdevice,Inspectionstep, etc.
SEE NEXTPAGE.
Provide riskassessmentand prioritizeneed forcorrectiveaction.
Direct correctiveaction at highestRPN and Severity.
What wasactuallyaccomplished?
SEE NEXTPAGE.
Goal is toreduce RPN's forcontinuousimprovement.
Examples:DOE,Redesign fixture,implement SPCfor selectedKC's, incorporateSupplier controls,Come up withMistake-Proofdevice, etc.
Should belower thanRPN underexistingconditions.
Who is responsiblefor theseactions?
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Holding Spot for NEW D/P FMEA
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Severity – SAEJ1739
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Occurrence – SAEJ1739
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Detection – SAEJ1739
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PFMEA EXAMPLE – MAKING RICEProcess Flowchart
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PFMEA EXAMPLE – MAKING RICE
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F/N=L:\Supplier Quality\Supplier Development\Training Materials\Practical Process Control Applications – P. Teti, October 25, 2007.ppt Page 107
QUESTIONS?
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