Company Name: / Date:
Street: / UTC Supplier Code:
City, State, Zip: / Telephone:
Dunn & Bradstreet Number: / Division of:
UTC Member:
CCS / Otis / Pratt & Whitney
Pratt & Whitney Canada / UTAS / UTC Corporate
Assessment Audit / Performed By:

Summary Results

Status: / Compliant / Corrective Actions Required
Categories with Corrective Action Items (check all that apply):
1 General Requirements / 2 Customer Defined KCs / 3 Producer Defined KCs / 4 Process Flowchart
5 Risk Assessment / 6 MSA / 7 Process Control Document / 8 Capability Requirements
9 Self-Audit
Action Item(s) with Close Out Date(s):
Table of Assessment / Audit Categories
1 General Requirements / 6Measurement System Analysis (MSA)
2Customer Defined Key Characteristics (KCs) / 7Process Control Document (PCD)
3Producer Defined Key Characteristics (KCs) / 8Capability Requirements
4Process Flowchart / 9Self-Audit
5Risk Assessment
Category / # / UTCQR 09.1 Ref / AS9103 Ref / Requirement / Yes / No
General Requirements / 1a / 4.1.1 / App A / Has a process control system been developed and documented in compliance with variation management guidelines outlined in AS9103 Appendix A or equivalent requirements per AIAG documents for commercial members ?
1b / 1 / 1 / Are variation management and Process Certification requirements flowed down to suppliers who produce UTC product?
Objective Evidence / Comments / Actions Required
Category / # / UTCQR 09.1 Ref / AS9103 Ref / Requirement / Yes / No
2
Customer Defined KCs / 2a / 4.2.1 / A.1.1 / Have Key Characteristics (KC) been identified by the customer?
2b / 4.3.1 / A.2.2
A.2.4 / Has a methodology been established for selecting processes for variability reduction on customer KCs? (e.g. high risk areas, quality defects and/or escapes, poorly performing process capability, etc.)
2c / 4.3.1 / Have Key Process Inputs (KPIs) been identified on processes selected for variation management?
2d / 4.4.1 / 4.2
A.3.3
A.6.1 / For processes selected for variation management on customer KCs, is stability and statistical control demonstrated using appropriate statistical methods?
2e / 4.3.2 / 4.3
A.1.3 / Is process control documentation available upon request for customer KCs? (e.g. control charts)
Objective Evidence / Comments / Actions Required
Category / # / UTCQR 09.1 Ref / AS9103 Ref / Requirement / Yes / No
3
Producer Defined KCs / 3a / 4.4.1
4.3.1 / A.1.1
A.6.2 / Have Key Characteristics (KC) been identified by the producer?
3b / 4.3.1 / A.2.2
A.2.4 / Has a methodology been established for selecting processes and KCs for variability reduction on producer KCs? (e.g. high risk areas, quality defects and/or escapes, poorly performing process capability, etc.)
3c / 4.3.1 / Have KPIs been identified on processes selected for variation management?
3d / 4.4.1 / 4.2
A.3.3
A.6.1 / For processes selected for variation management on producer KCs, is stability and statistical control demonstrated using appropriate statistical methods?
3e / 4.3.2 / 4.3 / Is process control documentation available upon request for producer KCs? (e.g. control charts)
Objective Evidence / Comments / Actions Required
Category / # / UTCQR 09.1 Ref / AS9103 Ref / Requirement / Yes / No
4
Process Flowchart / 4a / A.2.1 / Has a process flowchart been defined?
4b / A.2.2 / Have elements that influence variation of KCs been identified?
Objective Evidence / Comments / Actions Required
Category / # / UTCQR 09.1 Ref / AS9103 Ref / Requirement / Yes / No
5
Risk Assessment / 5a / 4.3.1 / A.2.4 / Has a risk assessment such as DFMEA and/or PFMEA been performed on all processes used to manufacture/assemble UTC product?
5b / 4.3.1
4.4.1 / A.2.4 / Have controls been established for high risk areas?
5c / 4.3.2 / 4.3 / Is risk assessment documentation available upon request?
Objective Evidence / Comments / Actions Required
Category / # / UTCQR 09.1 Ref / AS9103 Ref / Requirement / Yes / No
6
Measurement
System
Analysis
(MSA) / 6a / 4.4.1 / A.5.9 / Has a recognized industry method been used to perform Measurement System Analysis (MSA) to ensure adequacy of the measurement systems? (e.g. gauge R&R, attribute agreement, linearity, bias, etc.)
6b / 4.3.2 / 4.3 / Is MSA documentation available upon request?
Objective Evidence / Comments / Actions Required
Category / # / UTCQR 09.1 Ref / AS9103 Ref / Requirement / Yes / No
7
Process Control Document (PCD) / 7a / 4.4.1 / A.5.8
App B / Is compliance demonstrated on the following control plan elements:
Processes to be monitored or generic process identification?
KC description and requirement?
KPIs settings and control method?
Expected process capability of defined KCs?
Process step where measurements are taken?
Type of control method to be used to monitor the process and KCs?
Subgroup size used for process control / monitoring (if required)?
Frequency of in-process measurements / monitoring?
Method of measurement or gauging?
Inspectionfrequency?
Actions required when capability levels are not maintained?
Defined actions for nonconforming conditions or out of control situations?
7b / 4.3.2 / 4.3
A.2.5 / Is a current process control plan available upon request? (note: elements may be available in work instructions, operation sheets, operator check lists, tooling reference document, measurement procedures, preventative / productive maintenance, or stand alone controls plans)
Objective Evidence / Comments / Actions Required
Category / # / UTCQR 09.1 Ref / AS9103 Ref / Requirement / Yes / No
8
Capability Requirements / 8a / 4.4.1 / For processes and/or KCs reported as certified that contain variable measurements, do they demonstrate Cpk ≥ 1.33 for a minimum of 25 consecutive pieces over sufficient time with no non-conformances?
8b / 4.4.1 / For processes and/or KCs reported as certified that contain attribute measurements, do they demonstrate no non-conformances for a minimum of 45 consecutive pieces over sufficient time?
8c / 4.3.2 / 4.3 / Is capability data available upon request?
8d / 4.2.1 / Have all process certification requirements been met?
If NO, has the UTC member been notified?
Objective Evidence / Comments / Actions Required
Category / # / UTCQR 09.1 Ref / AS9103 Ref / Requirement / Yes / No
9
Self-Audit / 9a / 4.1.2 / Has a self-audit been performed on the process control system and compliance to the process control plans within the last 12 months?
Objective Evidence / Comments / Actions Required

UTCQR Form 2 (08/22/16) 1 of 5

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