Supplier Q+ Survey and Audit Kit - · PDF fileSupplier Q+ Survey and Audit Kit — Rev. 4...

Supplier Q+ Survey and Audit Kit — Rev. 4� 1999, United Technologies Corporation

Supplier Q+Survey and

Audit Kit

Supplier Q+ Survey and Audit Kit — Rev. 4 Page i� 1999, United Technologies Corporation

Table of ContentsPage

I. Purpose and OverviewPurpose ..................................................................................................... I-1Survey ....................................................................................................... I-1Audit .......................................................................................................... I-1Audit L evels .............................................................................................. I-2Q-Plus Certificat ion .................................................................................. I-2

II. Glossary

III. SurveySurvey Instruct ions ............................................................................... III-1Survey S upplier Profile

Supplier Info rmat ion ....................................................................... III-3Survey Informat ion ......................................................................... III-3Survey Evaluat ion ........................................................................... III-3Areas for Improvement ................................................................... III-4

Survey Criteria ....................................................................................... III-5

IV. Audit Instructions, Report, & EvaluationAudit Instructions ................................................................................. IV-1Audit Report

Supplier Info rmat ion ....................................................................... IV-3Audit Info rmat ion ............................................................................ IV-3Audit Results ................................................................................... IV-3

Summary of Levels Achieved .................................................. IV-4Areas for Improvement ............................................................. IV-6

Audit Evaluation .................................................................................... IV-8

V. Audit Criteria1.0 Management Res ponsibility ....................................................... 1-12.0 Quality System ............................................................................ 2-13.0 Design Control ............................................................................ 3-14.0 Drawing and Change Control ..................................................... 4-15.0 Purchased Material Control ........................................................ 5-16.0 Process Control .......................................................................... 6-17.0 Inspection and Testing ............................................................... 7-18.0 Control of Measur ing and Test Equipment ............................... 8-19.0 Material Control ........................................................................... 9-1

10.0 Corrective and Prevent ing Action ............................................ 10-111.0 Handling, Storage, P ackaging, and Deli very ........................... 11-112.0 Training ..................................................................................... 12-113.0 Environmental, Health, and Safety ........................................... 13-1*14.0 Electronic Component Manufacturing ..................................... 14-1*

VI. Improvement Plan

*Optional sect ions.

Supplier Q+ Survey and Audit Kit — Rev. 4 Page I-1� 1999, United Technologies Corporation

Purpose and OverviewUnited Technologies Corporation (UTC) requires assessments bemade of their suppliers in support of supply chain managementactivities. These assessments are initially conducted by the supplier(through a self-assessment) and later by UTC. Two formats areavailable for these assessments: a survey utilizing a checklist anda more detailed site audit. These activities are part of the UTCQ+ Process.

Purpose

Continuous improvement The self assessment and the survey are intended to help the supplierreach quality goals through the never-ending process of continuousimprovement. Both the self assessment and survey criteria areintended as a guide to the quality system and process control, ratherthan an absolute description of what is required to assure quality inproducts and services.

Provide decision-makinginformation.

United Technologies’ policy is to establish supplier partnerships utilizinglong term contracts whenever possible. In order to make properdecisions in this regard it is important that UTC know the strengths andweaknesses of potential suppliers. Information from the Q+ Process isalso used in making factory decisions such as incoming inspectionrequirements and inventory stockage.

Identify areas for improvement andassist UTC supplier developmentprocess

Through both the surveys and the audits, the strengths and areas forimprovement of a supplier are identified. The supplier develops animprovement plan based on the results of these assessments, thusimproving the overall quality, reliability, and total cost of componentssupplied to UTC. UTC has an active Supplier Development programwhereby UTC assists suppliers in improving the quality of theirproduct/system. These improvements are mutually beneficial to thesupplier and to UTC.

Q+ CriteriaThe UTC Q+ Process is based on12 categories and with 24 specificcriteria. There are additionalcategories, which apply in specialcases.

The Q+ Process uses a module approach with 12 categories based onISO 9000 sections. These categories are broken down further to 24criteria, which address specific aspects of a supplier’s quality system.There are additional criteria that may be applied to specificcommodities or suppliers with special needs.

Each criterion has four possible levels of compliance. Each UTCSupplier will be assessed, overall, at the lowest compliance levelobtained in any of the Q+ Criteria.

PURPOSE AND OVERVIEW

Page I-2 Supplier Q+ Survey and Audit Kit — Rev. 4

� 1999, United Technologies Corporation

AuditThe Q+ Audit is an on-siteinspection of a supplier’s facilitiesutilizing the Q+ Criteria.

An audit team, normally from UTC but possibly from a third-party whohas attended the appropriate training, performs an onsite evaluation ofthe supplier, and from the available evidence, assesses the supplier’scompliance at one of four Levels for each of the Q+ Criteria. The auditis designed to provide a fair appraisal of the supplier’s quality system,process controls, and commitment to quality initiatives at the time ofthe visit. Once the audit has been completed, all non-aerospacedivisions of UTC adhere to the results.

To become a candidate for Q-Plus Certification, the supplier mustachieve Level 3 compliance or better for all criteria.

SurveyThe Q+ Survey is a combinationquestionnaire and checklist andwhich cover all the Q+ Criteria.

The Q+ Survey consists of a checklist and a limited questionnaire,which provide guidelines for evaluating a supplier’s quality system andprocess control without the need for an on-site audit. This form isnormally completed before a site audit is scheduled. In most cases thesupplier will complete this form but for some basic commodities anddistributors UTC may complete it. The answers to the survey will bebased on the details listed on the Q+ Audit.

Self- AssessmentPrior to an on-site audit by a UTCteam, the supplier will normally beasked to complete a self-assessment.

The supplier will normally conduct a self-assessment using the Q+Survey form. Occasionally a supplier will attend detailed trainingon our audit process and will then be able to conduct a self-assessment using the Q+ Audit form. In either case the self-assessmentwill be based on the specific criteria listed on the Q+ Audit. Normally,on-site audits by UTC teams will not be conducted until a self-assessment indicates a quality system compliant to Level 2 of Q+.

Q+ LevelsThe Q+ compliance levels are defined below. The definitions arecumulative; each level includes the characteristics listed, and thecharacteristics of all previous levels.

Level 1 Non-compliance (requires improvement)

No procedure; no historical documentation; no measures; fragmentedinstructions; no corrective action activity

Level 2 Compliance (meets minimum requirements for qualified supplier)

Documented procedures; defined instructions; published results,shared throughout the organization; corrective action evident;documented training

Level 3 Q-Plus compliance (candidate for Q-Plus Certification )

Measureable results that are based on statistics, with a solid feedbackand improvement program

Level 4 Quality-enhanced system

System maintenance evident; internal audits conducted; objectiveevidence of proactive continuous improvement


Supplier Q+ Survey and Audit Kit — Rev. 4 Page I-3� 1999, United Technologies Corporation

Q-Plus Certification

To attain Q-PlusCertification

The supplier must meet the following requirements to attain Q-PlusCertification:

� Achieve Level 3 or better compliance on all Q+ Criteria items,and maintain or improve that Level subject to a periodicre-assessment.

� Maintain the following PPM levels (rolling 12 months measuredat UTC):

– Castings � 2000 ppm

– PC mounted components � 50 ppm

– Raw material and all other commodities � 500 ppm

� A candidate Supplier (plant) must have no currently existingmaterials or components with epidemic failure as defined by UTCcommodity managers (e.g. percent failure, financial impact,product recall, safety, etc.) in the previous 12 months prior to thedate of certification or have any unresolved issues with any priorepidemic failure(s).

Changing assessmentlevelsIn the event of un-acceptableperformance or re-audits, thecompliance level of a supplier maybe changed.

Action for unacceptable performance by a certified supplier will betaken as follows:

� Step one: Notification (corrective action notice)

– UTC will send a corrective action notice to any supplier withunacceptable PPM levels or with lots rejected at receivinginspection or in process or with unacceptable re-assessments.

– The supplier will submit an acceptable plan to improveperformance within 90 days, on the improvement plan form inthe last section of this kit. For unacceptable reassessments,the supplier will have a chance to explain any errors resultingfrom changes in an individual auditor’s perspective.

� Step two: Probation

– Monthly PPM levels must return to required levels and/orreceiving inspection/in-process rejections must not recur within60 days of issuance of the corrective action notice.

– Suppliers not meeting this requirement will be placed oncertification probation.

� Step three: De-certification

– Certified suppliers must achieve acceptable monthly PPMlevels and/or have no receiving inspection/in-processrejections within 30 days of being placed on probation.Suppliers not meeting this requirement will bede-certified.

– Any supplier with an unsatisfactory PPM level, who regains anacceptable level through corrective action, but returns to anunsatisfactory level within 12 months, will be de-certified.

– Any current Certified Suppliers (plants) having material orcomponents with epidemic failure as defined by UTC


Page I-4 Supplier Q+ Survey and Audit Kit — Rev. 4


(e.g. percent failure, financial impact, product recall, safety,etc.) must satisfactorily support UTC in problem resolution(e.g. containment, financial support, technical support,effective and timely corrective action, etc.). Failure toimplement timely corrective action and provide appropriatefinancial support by a Certified Supplier, in the event on anepidemic failure, will result in De-certification and potential lossof future business.

Note: Suppliers certified under previous surveys must achieve Level 3(minimum) at time of re-survey. Suppliers not achieving this level willreceive notification and must reach Level 3 within the timeframestated, or they will be de-certified. Suppliers that are de-certifiedmust meet all certification requirements to become candidates forre-certification.

“ACE”United Technologies has adopteda corporate wide quality program:“Achieving CompetitiveExcellence” or “ACE”.

While United Technologies does not require its suppliers to adopt itsquality system it does recognize the fact that supplier partnershipsrequire a mutual understanding and compatibility of quality systems inorder to achieve the synergy necessary to excel. For this reason allsuppliers are invited to participate in awareness training on our ACEprogram. Supplier-Partners are encouraged to attend more detailedtraining on ACE.

Questions/CommentsUTC wants this program to stayfocused on its purpose.

This program exists to help UTC obtain partnerships with its suppliers.For this reason any comments on the Q+ Process’ applicability to aspecific commodity or industry will be welcomed. Although thisprogram aims for accurate assessments, time constraints may result inan occasional inaccurate statement of fact in the assessment. Thesupplier should not hesitate to bring any such questions to theattention of the UTC contact person for resolution.

Supplier Q+ Survey and Audit Kit — Rev. 4 Page II-1� 1999, United Technologies Corporation

Glossary

Advanced quality planning Planning ahead of time for quality control through the completecycle of a new process, production activity, contract, or project.

AOQ Average outgoing quality. Average quality of outgoing product fromall accepted lots and from all rejected lots which have beenscreened.

AOQL Average outgoing quality limit. Upper limit of average quality ofoutgoing product from accepted lots and from rejected lots whichhave been screened.

Approved Supplier List Record of suppliers which have been rated by a company’s supplierappraisal system and found to be acceptable.

Attribute data Data based upon inspection and test methods which permit only twooutcomes, such as pass/fail/; accept/reject; go/no-go. Eitherdefectives (units) or defects (characteristics) are counted and plottedin defective or fraction defective charts, and defects (count) ordefects-per-unit (count-per-unit) charts.

Audit Qualitative physical evaluation of elements and requirements withinthe quality management system, performed to determine adherenceto the documented objectives, process, procedures, methods, andinstructions. The quality management system audit is intended toprovide objective evidence to reduce, prevent, and eliminatenonconformances as well as assist in the continuous improvementprocess.

Benchmarking Improvement process in which a company measures itsperformance against that of best-in-class companies, determineshow those companies achieve their performance levels, and usesthe information to improve its own performance. Subjects that canbe benchmarked include strategies, operations, processes, andprocedures.

Calibration Comparison of observed measurement values and the true value ofthe characteristic being measured, the difference of which is theaccuracy of the measurement system.

Capable process A process which is in a state of statistical control and meets requiredtolerances and/or customer expectations.

Continued on the next page.

GLOSSARY

Page II-2 Supplier Q+ Survey and Audit Kit — Rev. 4


Capability index Numerical reciprocal of Capability ratio. A comparison of theavailable tolerance to the portion of the tolerance consumed by aprocess in a state of statistical control, expressed as a decimalfraction.

Short-term or machine capability index (Cp)

A measurement of short-term potential capability in a singleproduction run where all sources of common cause variationexpected in materials, tools, operator-to-operator environmentalconditions, etc. have been minimized.

Centered or centerable:

TOLCp = 6�

� = R ÷ d2

Non-centered or one-sided tolerance:

AVAIL TOLCpk = 3�

� = R ÷ d2

Long-term or process capab ility index (Pp)

A measurement of long-term performance capability where all ormost sources of common cause variation are included.Centered or centerable:

TOLPp = 6�

� = � (Xi – X)2

n-1


AVAIL TOLPpk = 3�

� = � (Xi – X)2

n-1

Note: All formulas assume the characteristic being measured is inthe form of a normal distribution.

Continued on the next page.

GLOSSARY


Capability ratio A measurement of the amount of available tolerance consumed by aprocess in a state of statistical control, expressed as a decimalfraction or percent of tolerance.Short-term (CR) or machine capability ratio (MCR)A measurement of short-term potential capability in a singleproduction run where all sources of common cause variationexpected in materials, tools, operator-to-operator environmentalconditions, etc. have been minimized.Centered or centerable:

6� CR = MCR =TOL

� = R ÷ d2


3� CR = MCR =AVAIL TOL

� = R ÷ d2

Long-term (PR) or process capab ility ratio (PCR)A measurement of long-term performance capability where all ormost sources of common cause variation are included.Centered or centerable:

6� PR = PCR =TOL

� = � (Xi – X)2

n-1


3� PR = PCR =AVAIL TOL

� = � (Xi – X)2

n-1

Note: All formulas assume the characteristic being measured is inthe form of a normal distribution.

Cause and effect diagram Tool for systematically reviewing all process inputs to determine theroot cause of a problem.

Change Cycle Time Duration of process for modifying a component or part.

Conformance Meeting customer needs and freedom from deficiencies.

Continuous improvement Ongoing improvement of products, services, or processes.

Control chart Graphical display of statistics taken from subgroup data, with centrallines and appropriate control limits. The chart is used to detectchanges - favorable or unfavorable - in a process.

GLOSSARY



Control plans The control plan is a detailed, step-by-step listing by which the part,component, etc., is to be manufactured, inspected, and tested. Ineffect, the plan describes the actions that are required at each phaseof the process including receiving, in-process, out-going, and periodicrequirements to assure that all process outputs will be in a state ofcontrol. During regular production runs, the control plan provides theprocess monitoring and control methods that will be used to controlcharacteristics.

Corrective action Implementation of a solution resulting in the reduction or eliminationof an identified problem.

Cost of quality Four categories of costs associated with providing poor-qualityproducts or services:� Internal failure costs: costs associated with defects found before

the customer receives the product or service.� External failure costs: costs associated with defects found after

the customer receives the product or service.� Appraisal costs: costs incurred to determine the degree of

conformance to quality requirements� Prevention costs: costs incurred to keep failure and appraisal

costs to a minimum.

Cpk See Capability ratio.

CR See Capability ratio.

Cycle time reduction Proactive measures taken to reduce production time, typically byelimination of non-value-added activity.

Defect Non-fulfillment by a product or service of a requirement orreasonable expectation for use.

Design of experiments (DOE) Branch of applied statistics dealing with planning, conducting,analyzing, and interpreting controlled tests, by permittingsimultaneous varying of input factors to evaluate factors that controlthe value of a parameter or group of parameters.

Deviation/substitution Written authorization, prior to production or before provision of aservice, to depart from specified requirements for a specified quantityor for a specified time.

ESD Electrostatic discharge (ESD) is defined as the transfer of chargebetween bodies at different electrical potentials. Electrostaticdischarge can change the electrical characteristics of asemiconductor device, degrading or destroying it. Electrostaticdischarge also may upset the normal operation of an electronicsystem, causing equipment malfunction or failure. Electrostaticdamage to electronic devices can occur at any point frommanufacture to field service. Damage results from handling thedevices in uncontrolled surroundings or when poor ESD controlpractices are used.

EH&S Environment, Health, and Safety

GLOSSARY


Environmental Stress Test conducted at lower levels of the product to identify early failuresScreening (ESS) due to weak parts, workmanship defects, and other reasons for

nonconformance. ESS tests can also be combined with life testing tohelp identify weak points in new designs.

Failure Mode Effect Analysis A systematic technique to: (FMEA) � 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 ofpotential failures

� Provide a means of systematically adding to organizationalknowledge

First article approval Detailed inspection under actual operating conditions of a new partfrom a supplier, or of a part made using a new tool, fixture,or die.

First pass yield The parts or product that go through the entire manufacturingprocess without being rejected or reworked

First Sample Inspection Certification that the first item produced from a newly set-up machine(or re-adjusted) machine or process is acceptable.

Flowchart Graphical representation of the steps in a process, used to betterunderstand processes.

FMECA Failure mode, effect, and critically analysis. Procedure in which eachpotential failure mode in every sub-item of an item is analyzed todetermine its effect on other sub-items and on the required functionof the item.

Gauge Control General system for insuring that gauges are correct. This includescalibration, usage, storage, and gauge R&R.

Gauge repeatability and Gauge repeatability & reproducibility. Variation in measurements reproducib ility (G R&R) contributed by the gauge, specifically:

Repeatability: variation in a measurement system caused by thecombined sources of measurement variation of a gauge or testequipment when used by one operator or under one set ofenvironmental conditions

Reproducib ility: variation in measurement averages when morethan one operator or set of environmental conditions are imposed onthe gauge or piece of test equipment.

HALT Highly Accelerated Life Test. Life testing under acceleratedconditions.

HAST Highly Accelerated Stress Testing. Stress testing under acceleratedconditions.

Histogram Graphic summary of the slope, central tendencies (mean, median,and mode) and capability in a set of data.

GLOSSARY



In-control process A process in which variation can be attributed to a constant systemof common or chance causes. The mean and standard deviation ofthe system are essentially constant over time. Variation is predictableand stable over time. See also Out-of-control process.

Industrial Average What is normal for a given industry. This may be defined by thesupplier with justification.

Inspection Measuring, examining, testing, or gauging one or morecharacteristics of a product or service and comparing the results withspecified requirements to determine whether conformity is achievedfor each characteristic.

JIT Optimal material requirement planning system for a manufacturing(just in time) manufacturing process in which there is little or no manufacturing material inventory

on hand at the manufacturing site and little or no incominginspection.

Kaizen Japanese term for continuous improvement.

Kanban Method for managing parts provided just in time.

Key characteristic Characteristic for which quality planning actions must be included inthe control plan.

Key component Any component necessary for proper function of a system; acomponent that cannot be replaced without re-design and producttesting due to function or safety; a component obtained from a “sole”qualified supplier.

Life Testing A program used to determine how long a product will last under givencircumstances.

LCL Lower control limit. In conjunction with the upper control limit (UCL),establishes boundaries for subgroup statistical plotting to determine ifthe variation in data being plotted is due to common (chance) orspecial (assignable) causes.

Lot traceab ility Ability to trace the history, application, or location of an entity (itemsor activity) by means of recorded identification.

Material Review Board Group that reviews material that does not conform to standards,determines its disposition, and drives development of effectivecorrective action to prevent recurrence.

MCR Machine capability ratio. See Capability ratio.

Mistake proofing Simple ideas and methods in product and process design toeliminate both human and mechanical error.

Nonconformance Non-fulfillment of a specified requirement

Out-of-control process A process in which variation cannot be attributed to common orchance causes. Special or assignable causes act upon the system,resulting in unpredictable behavior. The mean and/or standarddeviation are not constant over time. See also In-control process

Pareto Chart A Pareto chart is a method of analyzing and displaying information. Itis used to identify the most important causes or effects so thatcorrective action can be directed where it will do the most good.

GLOSSARY


Pilot Application The use of a product, process, or tool under limited, controlledconditions prior to full implementation.

Ppk See Capability index.

PPM Parts Per Million. PPM is a method of stating the performance of aproduct in terms of actual nonconforming material

Prevention vs detection Two types of quality activities: those designed to preventnonconformances in products and services, and those designed todetect non-conformances already in products and services.

Preventive maintenance Periodic maintenance provided to prevent machine breakdown.

Problem solving Performance improvement process involving:� Problem definition� Root cause analysis� Planning and implementing short- and long-term actions� Verifying results

Process capability index See Capability index.

Process control Systematic evaluation of performance of a process, taking correctiveaction if performance does not meet standards, and applying thefeedback to maintain process stability.

Process improvement Systematic, management-lead approach to the continuousimprovement of processes through the elimination of non-value-added activity.

Process simplification Technique used during development of a process to eliminateprocess error.

Quality Clinic Process QCPC is a structured process to identify problems and provideChart (QCPC) visibility for identified problems and the status of problem resolution.

Quality information system System to gather, organize, analyze, and communicate quality data

Quality manual Document that describes the quality philosophy, policy, objectives,processes, and practices of the company.

Quality plan Document setting out the quality control requirements for a particularproduct, process, service, contract, or project. The plan detailsspecific practices, resources, and activities to be carried out toensure specifications are met.

Quality planning Activities that establish the objectives and requirements for qualityand for the application of quality system elements.

Quality policy Overall direction of an organization with regard to quality, as formallyexpressed by top management.

Quality system System by which business is conducted and through which thequality policies and strategies are implemented.

Reliability Probability an item will perform its intended function satisfactorily fora specified interval under specified conditions, assuming the item iscapable of performing satisfactorily.

GLOSSARY



Run Chart A method of graphically presenting data which allows the data to beanalyzed for trends or patterns over a specified period of time.

Sampling Plan A plan that details the process of evaluating a portion of a product forthe purpose of accepting or rejecting an entire lot as witherconforming or nonconforming to a quality specification.

Scrap Labor, material, and overhead on defective product that cannot berepaired economically.

Skill Matrix A method of tracking the skills and training accomplishments ofemployees.

Specification Document that states the requirements to which a given product orservice must conform.

Statistical process control Application of statistical techniques to measure and analyze the(SPC) variation in processes. Part of statistical quality control.

Statistical quality control Application of statistical techniques to measure and improve the(SQC) quality of processes. Includes SPC, diagnostic tools, sampling plans,

and other statistical techniques.

Taguchi methods Engineering and statistical methods named after their developer,Genichi Taguchi. These methods optimize product design andmanufacturing processes, for rapid improvements in cost and quality.

Teamwork Full participation of all workers in joint efforts to produce productsand services and achieve continuous improvement.

Total quality management A management approach to long-term success through customersatisfaction, based on the participation of all members of anorganization in improving processes, products, services, and theculture they work in.

UCL Upper control limit. See LCL (Lower control limit).

Variable data Data on a product or process characteristic, recorded in units whichare being measured, for example, mm, Kg, PSI, amps.

Variation Change in data, a characteristic, or a function that is caused by oneof four factors: special causes, common causes, tampering, orstructural variation.

Value Analysis A method for analyzing a product or process in order to reduce costs.The method uses a systematic format for eliminating nonessentialfunctions (those not adding value) thus reducing overall cost. Whenthis method is used during the early design and development phasesit is generally referred to as value engineering.

Value Engineering A planned, clean sheet approach to problem solving, focusing onspecific product design and process characteristics. It is employed tomaximize value prior to expenditures of facilities and tooling money.

Visual Factory The use of visual indicators, signals, and controls to direct andsupport activities in the workplace.

5-S A process to build and sustain a quality work environment. The fiveprinciples are: sort, straighten, shine, standardize and sustain.

SURVEY INSTRUCTIONS

Supplier Q+ Survey — Rev. 4 Page III-1� 1999, United Technologies Corporation

Survey InstructionsPlease follow these instructions for completing the Supplier Survey. If you have any questionsduring the survey, please do not hesitate to ask for clarification from your UTC plant contacts.

Team 1. Form a team to conduct the survey.The team should include a cross section of functions and levels thatreflects the scope and diversity of the operation supplying componentsto UTC.

Evidence 2. Assemble the evidence for each item of the survey.Include copies of all systems documentation, procedures, forms,graphs and charts, and other materials you refer to in responding tothe survey items. You will be expected to have this material availableat the site audit when it takes place.

Response 3. Read each survey item before beginning your response.– For additional information about what to include in your response,

you can refer to the Audit Criteria in sections III and V of theSupplier Q+ Survey and Audit Kit.

– You must show evidence of at least Level 2 compliance to receivea site audit, so you should at a minimum show how your operationcomplies with the requirements of each Level 2 question (A, B,etc.) for each audit item (1.1, 1.2, etc.).

– The UTC plant leading the audit will specify pertinent material andobjective evidence required to be submitted with the survey(if any).

Profile 4. Fill in the Survey Supplier Profile:

� Supplier Information

� Survey Information

� Survey Evaluation

� Areas for Improvement

Improvement Plan 5. All areas that do not have system documentation and implementa-tion must be listed on the areas for improvement form and have animprovement plan developed for them. All areas marked in thefollowing columns fall into this category:

� No System or Informal System

� Informal System

� Partially Documented/Partially Implemented System

Submission 6. Assemble and submit the survey.

� Make a copy of the survey including the profile and improvementplan.

� Return the completed survey, with the profile and improvementplan, to the audit team leader.

SURVEY INSTRUCTIONS

Page III-2 Supplier Q+ Survey — Rev. 4� 1999, United Technologies Corporation

SURVEY INSTRUCTIONS

Supplier Q+ Survey — Rev. 4 Page III-3� 1999, United Technologies Corporation

Q+ Supplier Survey: Supplier ProfileSupplier Information

Supplier: Street:

City: State: Country: Zip

Phone: Fax:

Products manufactured:

Union contract: Y N Union: Contract expires:

Plant area: Shifts: Percent capacity:

Total employment: Direct labor: QA employees:

QA Manager: Reports to: Title:

UTC plants as customers:

Certified by other companies? Y N If yes, by whom?

Survey InformationUTC Division: Date of Survey:

Name Position Phone Fax

UTC Survey Contact(s)

Name Position Phone Fax

Survey Evaluation

Please provide any comments you may have on how to improve the survey process.

Turn the page to list the areas for improvement you found during the survey.

SURVEY INSTRUCTIONS

Page III-4 Supplier Q+ Survey — Rev. 4� 1999, United Technologies Corporation

Areas for Improvement

Supplier: Location:

Please Note: List below all the “areas to address” that are not addressed by your system. You must develop andsubmit an improvement plan for each area your system does not address. The plan must be submitted with theSurvey on the improvement plan form found in the last section of this kit.

SurveyItem(s) Areas Not Addressed

Supplier Q+ Survey — Rev. 4 Page 1� 1999, United Technologies Corporation

Q-Plus Supplier Survey

L-1 L-2 L-3 L-4No

Systemor

InformalSystem*

PartiallyDocu-

mented/PartiallyImple-

mentedSystem*

Docu-mentedSystem,

FullyImple-

mented

D’cmntdSystem,Imple-

mented& Mea-sured

Results

D’cmntdSystem,

Implm’td,Meas’rd

& Contin-uous Im-provemt

List SupportingProcedures/Documents

1.0 MANAGEMENT RESPONSIBILITY

1.1 Quality policyQuality objectives w/ measurement system

1.2 Defined organizational structureSupport of quality system throughout org.

1.3 Quality improvement plansMeasured continuous improvement

2.0 QUALITY SYSTEM

2.1 Quality manual2.2 Quality planning2.3 Quality measurement system

System for evaluating internal andexternal failure costs

3.0 DESIGN CONTROL

3.1 Product introduction systemFirst article approvalReliability analysisInternal and external (customers andsuppliers) cross functional participationDesign verification/validation

4.0 DOCUMENT AND CONTRACT CONTROL

4.1 Drawing & specification change procedureControl of marked-up & obsolete drawings

4.2 Contract review procedures

5.0 PURCHASED MATERIAL CONTROL

5.1 Purchase material control procedureSource selectionIncoming material controlSupplier measurement (rating) systemSupplier results reporting (to suppliers)Supplier evaluation system (survey/audit)

* Improvement plans are required for all areas marked in these columns. A documentedsystem, fully implemented must be accomplished prior to a site audit.

Q+ SUPPLIER SURVEY

Page 2 Supplier Q+ Survey — Rev. 4

© 1999, United Technologies Corporation


L-1 L-2 L-3 L-4No

Systemor

InformalSystem*

PartiallyDocu-


mentedSystem*

Docu-mentedSystem, FullyImple-

mented

DcmntdSystem,Imple-

mented& Mea-sured

Results

D’cmntdSystem,Implm’td,Meas’rd& Contin-uous Im-provemt


6.0 PROCESS CONTROL

6.1 Control plans and flow charts6.2 Operator instructions6.3 Process capability studies

First pass yields6.4 Preventive maintenance

7.0 INSPECTION AND TESTING

7.1 Tester, inspector, and technician trainingTesting procedures with parameters andfrequencies

7.2 Final inspection procedures

8.0 CONTROL OF MEASURING AND TEST EQUIPMENT

8.1 Calibration systemCalibration status and traceabilityGauge storage and handlingGauge repeatability and reproducibility

9.0 MATERIAL CONTROL

9.1 Handling and disposition of non-conformingmaterial

9.2 Material identification systemMaterial traceability

10.0 CORRECTIVE AND PREVENTIVE ACTION

10.1 Root cause analysisCorrective action processCustomer complaints/field failures

10.2 Use of mistakeproofing techniquesProduct and process FMEAs

11.0 HANDLING, STORAGE, PACKAGING, AND DELIVERY

11.1 Special customer handling, storage,and delivery requirementsHandling and storage methodsPackaging development approval systemInventory control system


Q+ SUPPLIER SURVEY



L-1 L-2 L-3 L-4No

Systemor

InformalSystem*

PartiallyDocu-


mentedSystem*

Docu-mentedSystem,

FullyImple-

mented


mented& Mea-sured

Results

D’cmntdSystem,




12.0 TRAINING

12.1 Training programTraining recordsCertification for key processesTraining effectiveness measurements

12.2 Quality-related training and education


Issues CommentsWhat are the short-term machine capabilities(Cpk’s) of key processes?

What are the first pass yields percentages infinal assembly?

What percents of lots inspected at receivinginspection are rejected?

What percent of material used (not included inoff-al) is scrapped?

What is the gauge repeatability andreproducibility (Gauge R&R) of gauges used tomeasure key characteristicsHow many CAR’s (corrective action requests)were issued to your plant by all UTC plants inthe last 12 months?How many lots from your plant were rejected byall UTC plants in the last 12 months?

What critical components and/or processes areoutsourced?

How many hours training does each employeereceive annually?

List other UTC plants that are your customersand PPM’s at those plants for the last 12months

Plant

Plant

Plant

------------------------------

-------------------------------

-------------------------

PPM

PPM

PPM

----------------------------

-----------------------------

-----------------------------

Q+ SUPPLIER SURVEY




Other Comments

Q+ SUPPLIER SURVEY


Q-Plus Supplier Survey — Environment, Health, and Safety Module

L-1 L-2 L-3 L-4No

Systemor

InformalSystem*

PartiallyDocu-


mentedSystem*

Docu-mentedSystem,

FullyImple-

mented


mented& Mea-sured

Results

D’cmntdSystem,




13.0 Environmental, Health and Safety13.1 Personal Protection

Equipment Process Hazard Program

Certification for key processes

Metrics Used

Other Comments

Q+ SUPPLIER SURVEY



Q-Plus Supplier Survey — Electronic Assemblies Module L-1 L-2 L-3 L-4

NoSystem

orInformalSystem*

PartiallyDocu-


mentedSystem*

Docu-mentedSystem,

FullyImple-

mented


mented& Mea-sured

Results

D’cmntdSystem,




14.1 ELECTROSTATIC DISCHARGE PROTECTIONTraining programRedundant ESD GroundingESD Improvement Plan

FACTORY FLOOR CLEANLINESS & ORDERLINESSTraining programAudit checklistSustainingManagement commitmentVisual controls

14.2 CONTROL OF WAVESOLDER MACHINESWavesolder machines are process capableSolder waves are routinely monitored

HANDLING & STORAGE OF COMPONENTS/WIPNo solderable areas touched by bare handsHumidity controlled & documented to <50%Dust containmentComponents and PCB boards exposed to the atmosphere < 72 hours prior to solder wave.Component leads firmly held when formedReplacement components at repair stations are under lot control and ESD controlSoldering irons at repair stations are calibrated

INFORMATION FROM DATAProduct failure data is collectedProcess failure data is collectedTotal preventive maintenance program in place

14.3 ENVIRONMENTAL STRESS SCREENING OF ELECTRONIC ASSEMBLIESTemperature ramped high/low appliedPressure appliedHumidity appliedPower on/bias test appliedHALT capabilityHAST capability

FAILURE ANALYSIS AND ROOT CAUSE CORRECTIVE ACTIONAt the electronic assembly levelAt the printed circuit board levelAt the electronic component levelPrinted circuit board qualification capabilityCustomer/field return failure analysis capability

* Improvement plans are re quired for all areas marked in these c olumns. A documented system, f ullyimplemented must be accom plished prior to a site su rvey.

Supplier Q+ Audit — Rev. 4 Page IV-1� 1999, United Technologies Corporation

Audit InstructionsDate

Typical agenda1. When UTC evaluates your Survey at Level 2 compliance or better,

your audit team leader will contact you to schedule a site audit. You willmutually agree on a date.A site audit typically requires 1-2 days.The typical sequence of activities during a site audit is as follows:– Introductions– Audit examination and verification– Facility tour– Additional audit examination and verification– Wrap-up meeting; summary of areas for improvement

Preparation 2. Prepare for the site audit:� Review your audit responses, improvement plan and

implementation to date, and any discussions you have had withUTC about your survey.

� Assemble the materials used as evidence in the survey and toshow progress on the improvement plan, including:– Documentation, procedures, and forms– Graphs and charts– Any other materials

� Review the audit criteria items and be sure you are ready torespond to each one.

� Involve the survey team and other members of your organizationin preparation as appropriate to your process.

� If you have any questions as you prepare for the site audit, pleasedo not hesitate to contact your audit team leader.

Site Audit 3. Have the General Manager, Plant Manager, Quality Manager, andothers as appropriate participate in each phase of the site audit:audit examination and verification, facility tour, additional examinationand verification, and wrap-up meeting.� Expect UTC to:

– Begin with an opening conference– Adhere to the site audit schedule– Provide a thorough and complete evaluation of your quality

system and processes for every audit item– Present for discussion all categories where the quality system or

process controls are found to be lacking or inadequate– Establish your level of compliance on each audit criteria item– Seek consensus on these finding with your management team– Note these findings on the areas for improvement form in the

Audit Report

AUDIT INSTRUCTIONS

Page IV-2 Supplier Q+ Audit — Rev. 4


� Be sure you fully state your concerns related to any findingsregarding systems or processes found to be lacking or inadequate.

� Be sure you fully understand any findings and conclusions and theUTC justification.

Report 4. Within two weeks of the audit, UTC will send a completedAudit Report to you.A copy will also be sent to the Corporate Supplier Quality Assuranceoffice, and the survey team will enter the results into the computerizedtracking system.

Improvement plan 5. Prepare a written improvement plan that addresses the findings listedon the areas for improvement form in the Audit Report.� Submit the plan on the improvement plan form in the last section of

this kit.� Forward the plan to the survey team leader within 30 days of

receiving the Audit Report.

Evaluation 6. Send a copy of the Audit Evaluation to the Corporate Supplier QualityAssurance office as soon as possible after the site audit.

Implementation 7. Implement the improvement plan and review performance.

Compliance 8. Continue to work with your audit team until you achieve compliance.As required:� Submit objective evidence and measurements to UTC.� Provide opportunities for the audit team to visit the plant again.� Go through the re-audit process if applicable.

_______________________________________________________________________

Supplier Q+ Audit — Rev. 4 Page 1� 1999, United Technologies Corporation

Q-Plus Supplier Audit Report

Prepared by: Posit ion: Date:

Supplier Info rmation

Supplier: St reet:

City: State Country: Zip:

Phone: Fax:

Products Manufactured:

Union Cont ract: Y N Union: Cont ract Expires:

Plant Area: Shifts: Percent Capacity:

Total Employment: Direct Labor: QA Em ployees:

QA Manager: Reports to: Title:

UTC Plants as Customers:

Certifie d/Other Companies: Y N By whom?

ISO 9000 Registered: N 9001 9002 9003Audit Info rmation

UTC Division: Self Audit? Date of Audit:

Audit Team

Name Position /Location Phone

Supplier Contacts Name Position Phone

Q-PLUS SUPPLIER AUDIT REPORT

Page 2 Supplier Q+ Audit — Rev. 4


Audit Results

Reason For A udit: Initial Follow up audit Re-audit

Results of Audit: L-1 L-2 L-3 L-4

No. of Questions at: L-1 L-2 L-3 L-4

Estimated date to reach Q+ com pliance: Sections: 1-12 13 14 15



Summary of Levels Achieved

Supplier: Location: Date:

Mark an X in the box corres ponding to the L evel achieved for each item.

Cat. Audit item L-1 L-2 L-3 L-41.0 1.1 Management defines and documents its quality policy,

objectives, and commitment.

1.2 Management defines the organizational structure thatsupports the quality policy, objectives, and system.

1.3 A documented system is in place to measure andimprove the following: internal and external failurecosts; failure rate percentage; first pass yield; reducedchangeover and setup times; productivity(output/input); customer rejections; field failure rates

2.0 2.1 The quality system is documented, maintained, andcommunicated throughout the organization.

2.2 Quality planning is conducted as the essentialfoundation for quality system development andimplementation.

2.3 Failure costs are evaluated as a means of measuringquality system performance.

3.0 3.1 A new product design control system for new productsand value engineering exists to ensure designobjectives are met.

4.0 4.1 A system exists to support change and revisioncontrol of all drawings, specifications, procedures, andwork instructions, and to ensure only the latestrevision is available at the point of use.

4.2 A system exists to ensure that initial contracts, andchanges to contracts, are carried out as desired bythe customer.

5.0 5.1 A purchased material control system ensuresconformance to requirements.

6.0 6.1 The supplier uses control plans and flow charts thatdetail the quality planning activities required to ensureconformance to quality requirements.

6.2 The supplier has documented operator instructions,implemented for all operations involving keycharacteristics.

6.3 The supplier applies appropriate techniques to certifyand control process and to verify adequacy of thesetechniques to drive and increase processimprovement to increase first pass yields.

6.4 An effective preventive maintenance system isdocumented and implemented.




Summary of Levels Achieved

Supplier: Location: Date:

Mark an X in the box corres ponding to the L evel achieved for each item.

Cat. Audit item L-1 L-2 L-3 L-47.0 7.1 Inspection and testing systems are developed and

implemented to support product integrity.

7.2. Final inspection and audits are performed to verify thatthe product is acceptable for release.

8.0 8.1 A documented system is in place for the identification,control, and calibration of all test and inspectionequipment.

9.0 9.1 At all stages of production, non-conforming product issegregated, identified, and evaluated, and dispositionis made.

9.2 Production material and product are identified as toquality status throughout manufacturing operations.

10.0 10.1 There is an effective corrective action system forinvestigating the root cause of non-conformingmaterial at all stages of use.

10.2 The supplier identifies and uses measures, includingstatistical techniques, as a basis for prevention ofnon-conformance and control of quality.

11.0 11.1 The supplier provides a method and means forhandling, storage, packaging, and delivery thatpreserves product quality throughout the process.

12.0 12.1 The supplier has a training process that is effectiveand meets the needs of the supplier's organization.

12.2 Quality and related education and training address theknowledge and skills employees need to meet theirobjectives as part of the company's quality andoperational performance improvement plans.

13.0* 13.1 The Supplier shows concern for the welfare of hisworkers and society by maintaining a basicenvironmental, health and safety system.

14.1 Adequate Electrostatic Discharge and EnvironmentalControls exist to ensure protection of the product orcomponents during receipt, storage, picking,assembly and finished goods storage.

14.2 Effective procedures and controls are in place toensure all manufacturing processes, includingsoldering, are sufficient and produce defect freeproducts.

14.0*

14.3 Electronic assemblies have been subjected to properenvironmental stress screening and/or functionalitytesting if specified on the routing sheet.

* Additional sections to be used as necessary.



Areas for Improvement Page of

Supplier: Location:

Please note : The supplier must develop and submit an improvement plan that addresses each finding. Theplan must be submitted on the improvement plan form found in the last section of this kit, within 30 days ofreceiving the survey report.

Audit item(s) Finding





Supplier: Location:



Supplier Q+ Audit — Rev. 4 Page 1-1� 1999, United Technologies Corporation


1.1 Management defines and documents its quality policy, objectives andcommitment.

Level Survey Comments

L-1 A. The supplier's quality policy is not fullydocumented, communicated, understood,and implemented at all levels of theorganization.

L-2 A. The supplier's quality policy isdocumented, signed, and dated.

B. The quality policy is communicated,understood, and implemented at all levelsof the organization.

L-3 A. Individual department objectives arewritten to support the quality policy.

B. A measurement system is in place toverify that objectives supporting thequality policy are attained.

C. Management verifies the organization'scompliance with the policy.

L-4 A. Compliance with the quality policy at alllevels of the organization is evaluatedthrough the internal audit system.

_____________________________________________________________

Survey level --item 1.1

(Mark an X in the box corresponding to the level achieved.)

L-1 L-2 L-3 L-4


Page 1-2 Supplier Q+ Audit — Rev. 4


1.1 Management defines and documents its quality policy, objectives and commitment.

Justification for level:



1.2 Management defines the organizational structure that supports thequality policy, quality objectives, and quality system.


L-1 A. There is no documented organizationstructure.

L-2 A. The organization chart reflects thecurrent reporting structure.

B. Management objectives includeassigned responsibilities for supportingthe quality policy, quality objectives,and quality system.

L-3 A. There is evidence of freedom withinthe organization to exercise authorityand responsibility as follows:

� Prevent recurrence of non-conformance’s

� Identify and record quality problems

� Initiate and verify corrective action

� Control the process in the future

L-4 A. Management reviews theorganizational structure for qualityeffectiveness.




1.2 Management defines the organizational structure that supports the quality policy,quality objectives, and quality system.

_________________________________________________________________



L-1 L-2 L-3 L-4




1.3 A documented system is in place to measure and improve the following:• Internal and external failure costs• Failure rate percentage• First pass yield• Reduced changeover and setup times

• Productivity (output/input) • Customer rejections • Field failure rates

Level Survey CommentsL-1 A. There is no plan for continuous

improvement.

B. There are no measures.

C. Measures are not analyzed as a basis forcontinuous improvement.

L-2 A. Detailed improvement plans areimplemented, identifying and reducingdefect rates using tools such as:• Failure mode effect analysis (FMEA)• Mistake proofing• Advanced quality planning• Root cause analysis• Cause and effect diagrams (fishbone diagrams)• Statistical methods:

- Control charts- Histograms- Pareto charts- Run charts- Scatter diagrams- QCPC

L-3 A. Statistical techniques are used to trackcontinuous improvement from settingannual objectives through attainingresults.

B. Continuous improvement results arepublished and shared throughout theorganization.




1.3 A documented system is in place to measure and improve the following:• Internal and external failure costs• Failure rate percentage• First pass yield• Reduced changeover and setup times

• Productivity (output/input) • Customer rejections • Field failure rates


L-4 A. Field failure rates are analyzed and thisanalysis drives continuous improvement.



L-1 L-2 L-3 L-4


________________________________________________________________________


2.0 QUALITY SYSTEM

2.1 The quality system is documented, maintained, and communicatedthroughout the organization.

Level Surve y CommentsL-1 A. Quality manuals, procedures, and control

plans do not exist, or are incomplete,fragmented, and outdated, or improperlydocumented.

B. The link is vague between the qualitymanual and procedures.

L-2 A. The Quality Manual and supportingquality systems fully address produceacceptability at all stages.

B. The Quality Manual has controlled copieswith revision levels.

C. The Quality Manual is a workingdocument and communicated to allemployees when applicable.

D. The supplier's facility is perceived as anenvironment of high quality as evidencedby good housing-keeping and materialpractices.

E. A deviation and substitution procedure orprocedures are documented.

L-3 A. System effectiveness is verified byevaluating statistical trends of key qualityindicators as identified on the qualityplan.

B. Key items of information needed for theday to day operation of the organizationare visually evident through posting ofinformation, labeling of storage bins, etc.

2.0 QUALITY SYSTEM



2.1 The quality system is documented, maintained, and communicatedthroughout the organization.


L-4 A. The Quality system is reviewed regularlyby management. Revisions are made forcontinuous improvement andcommunicated throughout theorganization.

B. Each segment of the quality system issubjected to an internal documentationaudit at least once annually.

C. Management has a process implementedwith metrics for reviewing theimplementation of good housing keeping(such as 5-S) or visual display ofinformation (such as 'visual factory')

_____________________________________________________________



L-1 L-2 L-3 L-4


2.0 QUALITY SYSTEM


2.2 Quality Planning is conducted as the essential foundation for qualitysystem development and implementation.


L-1 A. There is little or no evidence of qualityplanning.

L-2 A. Quality planning addresses, and setsgoals for, the following:

� Verification of conformance toengineering and customerrequirements.

� Internal failure rates and costs.

� External failure rates and costs.

� Customer complaints.

� Quality Information System.

� Customer satisfaction indices.

� Root cause analysis of failures

B. Sufficient resources have beenidentified to support the quality plan.

L-3 A. Continuous improvement in qualitymeasurements is part of managementobjectives.

B. Feasibility reviews are conducted toconfirm the compatibility of design withthe manufacturing process.

C. Quality planning supports strategicbusiness goals.

2.0 QUALITY SYSTEM



2.2 Management defines the organizational structure that supports the quality policy,quality objectives, and quality system.


L-4 A. There is documented evidence thatmanagement reviews quality-planningactivities.

B. Long term plans are reviewed annuallyfor inclusion of continuousimprovement.

C. The quality planning process issubjected to internal audits.

_________________________________________________________________



L-1 L-2 L-3 L-4


2.0 QUALITY SYSTEM


2.3 Failure costs are evaluated as a means of measuring quality systemperformance.


L-1 A. Failure cost records are incomplete or notreported throughout the organization.

B. Scrap and rework are recorded, butconsidered a 'cost of doing business'.

C. Some scrap and rework are recorded,without annual goals for improvement.

L-2 A. An effective system is in place to track andreport the following throughout theorganization.

� Internal scrap and rework

� External scrap and rework

� Warranty cost

B. Scrap is tracked as a percentage.

L-3 A. Proactive initiatives to reduce internal andexternal failure costs are documented andannual goals established with managementcommitment.

B. Objectives are set and data tracked tolowering internal and external failure costson an organizational and departmentalbasis.

C. Scrap and rework (not including normalprocess scrap such as edge trim,knockouts, etc) are at or below the averagefor that particular industry.

2.0 QUALITY SYSTEM



2.3 Failure costs are evaluated as a means of measuring quality system performance.


L-4 A. Field failure rates are analyzed and thisanalysis drives continuous improvement.

B. Failure costs are available for use in shortterm planning purposes.

C. Objectives are being met and dataindicates continual improvement ininternal and external failure costs

D. Scrap and rework is 25% or better ofindustry average.



L-1 L-2 L-3 L-4


________________________________________________________________________


3.0 DESIGN CONTROL

3.1 A design control system for new products and value engineering ofexisting products exists to ensure design objectives are met.


L-1 A. Design engineering works independently ofother disciplines.� No formal design review system exists� Product change system is fragmented

L-2 A. Product introduction procedures exist thatinclude:

� Cross functional teams

� Formal design reviews, with minutes,conducted according to the design plan.Cross functional participation is required atall design reviews

� Design control plans address customer-identified key characteristics

� Written approval from the customer isobtained prior to design or process changesby the supplier.

B. First article approval is required for all new orrevised products or processes.

L-3 A. Customers and suppliers are actively involvedin the design process.

B. Product introduction methodology, such asFMEA and design validation, is conductedprior to the introduction of a new process orproduct.

C. Product qualification is verified against designobjectives, with appropriate documentationusing appropriate processes such as lifetesting.

3.0 DESIGN CONTROL



3.1 A new product design control system exists to ensure design objectives are met.


L-3 D. Reliability, availability and maintainabilityanalysis is conducted.

L-4 A. Internal audits are conducted to verify designcompliance with established procedures andpractices.

B. Design process improvement activities aredocumented and measured.

C. Advanced technologies such as design forexperiment (DOE) are used where appropriate.

_________________________________________________________________



L-1 L-2 L-3 L-4


________________________________________________________________________


4.0 DRAWING, CONTRACT AND CHANGE CONTROL

4.1 A system exists to support change and revision control of all drawings,specifications, procedures, and work instructions, and to ensure onlythe latest revision is available at the point of use.


L-1 A. No documented drawing controlprocedures exist.

B. No drawing and specification history fileexists.

C. Instructions are fragmented.

D. "Marked up" drawings are used inmanufacturing of products.

L-2 A. Documented procedures have beendeveloped and implemented to governdrawing and specification changes. Theseprocedures address:

� Authorization requirements and routingprocess

� Drawing and specification history fileretention

B. There is no evidence of "marked up" orobsolete drawings in the manufacturingprocess.

L-3 A. There is a centralized drawing revisionhistory and control system, maintained byrevision authority.

B. The customer is notified of theimplementation date on all changes andthey meet customer introductionschedules.


Page 4- 2 Supplier Q+ Audit — Rev. 4


4.1 A system exists to support change and revision control of all drawings,specifications, procedures, and work instructions, and to ensure only the latestrevision is available at the point of use.


L-4 A. Product introduction and change cycletimes are monitored for continuousimprovement.

B. Audits are conducted to assurecompliance with drawing and specificationrevision at point and time of use.

________________________________________________________________ Survey level --item 4.1


L-1 L-2 L-3 L-4




4.2 A system exists to ensure that initial contracts and changes to contractsare carried out as desired by the customer.


L-1 A. No documented contract controlprocedures exist.

B. No contract review history file exists.

L-2 A. Written procedures detail the contractreview process.

B. Records exist to show results of contractreviews.

L-3 A. All contracts undergo review and areverified as to supplier's ability to meetdelivery date, quantity and any specialfeatures.

B. Supplier tracks and reviews cases whereerrors in contracts fulfillment have beendiscovered.

L-4 A. Processes are adjusted in response tocontract review findings.

B. The contract review process is audited forcompliance and adequacy.




4.2 A system exists to ensure that initial contracts and changes to contracts arecarried out as desired by the customer.



L-1 L-2 L-3 L-4


________________________________________________________________________



5.1 A purchased material control system ensures conformance torequirements.


L-1 A. The supplier's purchased materialmanagement process lacks focus.

B. No purchased material control procedureexists.

C. The approved supplier list is incomplete ornon-existent

L-2 A. There is a purchased material controlprocedure that includes as a minimum:

� Formal purchase order policy defined.

� Source selection needs documented.

� First sample inspection procedure is inplace.

� Current drawings/specifications kept.

� Incoming material control systemexists.

� Records of supplier performance,including quality, delivery, and pricing.

� Supplier corrective action system isdocumented and in place.

� Approved supplier list exists.

L-3 A. There is a documented supplierevaluation program, such as supplieraudits.

B. A documented system exists for jointplanning with suppliers.




5.1 A purchased material control system ensures conformance to requirements.


L-3 C. A periodic review of supplier performanceis conducted and results are publishedand reported to the supplier.

L-4 A. Proactive supplier and customerrelationships are evident (examples:workshops, training, symposiums, designprocess improvement, and continuousimprovement.

B. The purchased material control system isaudited for compliance to standards.



L-1 L-2 L-3 L-4


________________________________________________________________________

Supplier Q+ Audit — Rev. 4 Page 6-11999, United Technologies Corporation

6.0 PROCESS CONTROL

6.1 The supplier uses control plans and flow charts that detail the qualityplanning activities required to ensure conformance to qualityrequirements.


L-1 A. Control plans are not documented orare incomplete.

L-2 A. Control plans have been developedfor all controlled, critical, andsignificant items and are mutuallyagreed upon, with sign off by thecustomer.

B. Operator instructions agree withcontrol plans and flow charts.

C. Control plans are controlleddocuments.

L-3 A. The supplier uses their control plansfor quality planning activities on newor changed processes.

B. Control plans refer to gaugerepeatability and reproducibilitystudies and process capability of keycharacteristics.

C. Control plans are reviewed routinelyfor effectiveness and updated in atimely manner.

L-4 A. Internal audits are conducted to seethat control plans are up-to-date andbeing followed.

B. FMEAs are updated at all design andprocess changes and validated withstatistics.

6.0 PROCESS CONTROL


1999, United Technologies Corporation

6.1 The supplier uses control plans and flow charts that detail the quality planningactivities required to ensure conformance to quality requirements.

________________________________________________________________



L-1 L-2 L-3 L-4


6.0 PROCESS CONTROL


6.2 The supplier has documented operator instructions, implemented forall operations involving key characteristics.


L-1 A. Some written operator instructionsexist, but generally these instructionslack sufficient detail.

L-2 A. Documented instructions are availableat all key operations and/or for all keycharacteristics, and contain thefollowing information:

� Revision, approval, and dates� Part name, part number, operation

name, and operation number� Applicable specifications with latest

revision� Tools and gauging requirements

B. Instructions are accessible atworkstations and communicaterequirements in an easilyunderstandable way.

C. Instructions document the identificationand handling of non-conformingmaterials.

D. Employees are performing functionsaccording to the instructions.

L-3 A. Instructions include visual details, forexample, illustrations, pictures,component parts.

B. Key characteristics are listed with auditsample size and frequencyrequirements.

C. Instructions specify application ofstatistical methods required by themutually agreed to control plan.

6.0 PROCESS CONTROL



6.2 The supplier has documented operator instructions, implemented for alloperations involving key characteristics.


L-4 A. Documented evidence shows thatcross-functional teams evaluate andimprove the effectiveness of operatorinstructions and are responsible forrecommending changes forimprovement.

________________________________________________________________



L-1 L-2 L-3 L-4


6.0 PROCESS CONTROL


6.3 The supplier applies appropriate techniques to certify and controlprocess and to verify adequacy of these techniques to drive andincrease process improvement to increase first pass yields.


L-1 A. The supplier is in the initial phases ofimplementing statistical techniques.Pilot applications exist withinmanufacturing operations.

B. Statistical methods are used withinmanufacturing operations by qualitycontrol personnel only.

L-2 A. All key processes and equipmenthave been evaluated as to theappropriate control methodologydefined in the control plan.

B. The supplier knows first pass yields,and has plans for improvement.

C. Process capability studies areconducted on all new and modifiedkey processes/equipment.

L-3 A. The supplier maintains records thatdemonstrate short-term machinecapability (Cpk) of >1.67 and long-term process capability (Ppk) of>1.33 on all key characteristics.

B. Special causes of variation areinvestigated and appropriatecorrective actions are taken anddocumented.

D. The supplier's first pass yields in finalassembly are 95% or greater.

6.0 PROCESS CONTROL



6.3 The supplier applies appropriate statistical techniques to certify and controlprocess and to verify adequacy of these techniques to drive and increaseprocess improvement to increase first pass yields.


L-4 A. Management reviews statisticaltrends and documented evidenceexists showing continuousimprovement.

B. The supplier's first pass yields are98% or greater.

C. The supplier maintains records thatdemonstrate short-term machinecapability (Cpk) of �2.0 and long-termprocess capability (Ppk) of �1.67.

D. Periodic, formal reviews of each keyprocess are held and the processes'ability to produce to requirementscertified.

________________________________________________________________



L-1 L-2 L-3 L-4


6.0 PROCESS CONTROL


6.4 An effective preventive maintenance system is documented andimplemented.


L-1 A. Process equipment is repaired on anas-needed basis.

L-2 A. Documented preventive maintenanceprocedures are implemented.

B. There is objective evidence thatpreventive maintenance is performedfollowing the documented procedure.

C. Complete maintenance records areavailable for all machines andprocess equipment.

L-3 A. Unscheduled downtime is monitoredand appropriate corrective actiontaken.

B. Critical spare parts are identified andreadily available.

C. Operator checklist, including dailywalkabout is developed and used.

L-4 A. The preventive maintenance systemis reviewed on a routine basis toaddress the effects of processchanges.

6.0 PROCESS CONTROL



6.4 An effective preventive maintenance system is documented and implemented.

________________________________________________________________



L-1 L-2 L-3 L-4


_______________________________________________________________________



7.1 Inspection and testing systems are developed and implemented tosupport product integrity.


L-1 A. There is no inspection and testingprocedure.

B. Instructions are verbal and/or incomplete.

C. Equipment and test parameters are notcontrolled.

L-2 A. Written procedures detail inspection andtest parameters.

B. All personnel conducting inspections,including operators performing self-inspections, are trained with the definedparameters and methods.

C. Inspection test results are known andpublished.

D. It is possible to trace the individualresponsible for testing.

E. Records are maintained.

L-3 A. Statistical analysis is used to evaluatechanges in trends where applicable.

B. Sampling Plans are developed in supportof the quality plan and are based onstandard sampling plans and tables.




7.1 Inspection and testing systems are developed and implemented to support productintegrity.


C. Formally structured tester, inspector, andtechnician training programs areimplemented.

L-4 A. Test parameters complement or duplicatethe customer's application.

B. Internal audits are conducted foreffectiveness and conformance toestablished procedures.

C. Objective evidence exists to supportcontinuous improvement activity.

D. Testers, inspectors, and technicians arecertified to specific requirements with adefined re-certification period.

_________________________________________________________________



L-1 L-2 L-3 L-4




7.2 Final inspection and audits are performed to verify that the product isacceptable for release.


L-1 A. There are no formal final inspectionprocedures.

B. Instructions are verbal or incomplete.

L-2 A. Written final inspection procedures existthat include:

� Audit frequency

� Audit characteristics check list

� Responsible individuals (independent ofoperator)

� Product description (acceptance orrejection)

� Customer notification and recall

� Records retention policy

� Training requirement

B. Audits are conducted according toprocedure.

L-3 A. Final Inspection and audit results areanalyzed and published.

B. The supplier documents and maintains anindex and trends for outgoing quality.

C. Plans for continuous improvement aredocumented.




7.2 Final inspection and pack audits are performed to verify that the product isacceptable for release.


L-4 A. Outgoing quality data is analyzed andused to improve procedures.

B. Objective evidence exists to showcontinuous improvement activity iseffective.

_________________________________________________________________



L-1 L-2 L-3 L-4



8.0 CONTROL OF TEST AND MEASURING EQUIPMENT

8.1 A documented system is in place for the identification, control, andcalibration of all test and inspection equipment.


L-1 A. Gauge control and calibration areconducted on an informal basis.

B. Not all gauges are included in the controland calibration process.

L-2 A. There is a documented and recordedcalibration procedure, verifying that eachpiece of test and inspection equipment iscalibrated at prescribed intervals and inthe correct environment.

B. All gauges and test equipment arecalibrated against measuring standardstraceable to their respective nationalstandard and records and documents areretained on file.

C. All equipment is individually traceablethroughout the system and each piecehas visual indication of calibration status.

D. Records are maintained showingequipment calibration and repair.

E. Out-of-calibration &/or certificationequipment is segregated and controlled topreclude use.

F. There is appropriate action taken,including notification of customers, fornon-conforming products and processes.(E.I. Out of calibration)

G. Gauges are stored in a manner thatprevents damage.

L-3 A. Pro-active gauge control and calibrationis in place and operational.

B. Calibration results are evaluated forcalibration frequency.

8.0 CONTROL OF MEASURING AND TEST EQUIPMENT



8.1 A documented system is in place for the identification, control, and calibration ofall test and inspection equipment.


L-3 C. Procedures are in use that requirerepeatability and reproducibility studies onall gauges and test equipment used tocontrol key characteristics. Proceduresspecify:

� Performance requirement� Frequency� Responsibility� Action for non-conforming gauge

� Gauge repeatability studies areperformed as called for by FMEAs, orthe control plan or flow chart

D. A detailed procedure is in place thatcovers operator responsibility for out-of-calibration gauges.

L-4 A. Internal audits are conducted to evaluateconformance to procedures.

B. Key characteristic gauges and testequipment have less than 20% R&R errorand a plan is in place for continuous errorreduction.

C. Management periodically reviews thecalibration process for continuousimprovement opportunities.

________________________________________________________________



L-1 L-2 L-3 L-4


________________________________________________________________________



9.1 At all stages of production, non-conforming product is segregated,identified, and evaluated and disposition is made.


L-1 A. There is no non-conforming materialsystem in place.

L-2 A. A well-identified area is used for all non-conforming material.

B. Material is properly identified, segregated,evaluated, and disposition is madeaccording to a documented procedure.

L-3 A. Training for handling of non-conformingmaterial has been conducted forpersonnel affected.

B. Repaired and reworked product is re-inspected against the same testrequirements it failed.

C. Prior to shipment, non-conformingproducts are reported to the customer forapproval of the deviation. Deviations haveexpirations dates and quantitiesauthorized, with lot traceability.

D. The non-conforming material procedurerequires review and disposition.

L-4 A. Internal audits are conducted to verifyconformance to the system.

B. All non-conforming product has beendispositioned and removed fromsegregation area within one week.




9.1 At all stages of production, non-conforming product is segregated, identified, andevaluated and disposition is made.

_____________________________________________________________



L-1 L-2 L-3 L-4




9.2 Production material and product are identified as to quality statusthroughout manufacturing operations.


L-1 A. Identification for quality status isinconsistent, incomplete, or nottraceable.

B. No written quality status proceduresare available.

L-2 A. Product and material inspection statusare identified as to verification ofacceptance or rejection, and traceableto inspection and test location.Sufficient resources have beenidentified to support the quality plan.

B. Procedures provide the followingcontrols:

� Verification of material according toquality plan.

� Establishment of productconformance.

� Holding of non-conforming product.

� Identification and segregation.

� Material traceablity with informationeasily obtained.

L-3 A. The procedure for releasing in-processmaterial prior to verification activities isdocumented and followed.

B. Material traceabilty is maintained andreadily obtainable in conformance withcontrol requirements.

L-4 A. Internal audits check for conformanceto the system.




9.2 Production material and product are identified as to quality status throughoutmanufacturing operations.

_________________________________________________________________



L-1 L-2 L-3 L-4


_______________________________________________________________________



10.1 There is an effective corrective action system for investigating the rootcause of non-conforming material at all stages of use.


L-1 A. Written corrective action procedures areinadequate, out-of-date, or non-existent.

B. Tracking, documenting & reporting isinformal.

C. Corrective action is reactive and isusually a temporary fix.

L-2 A. Corrective action procedures exist in thequality system and a form is issued forout-of-control processes and includes thefollowing:

� Determining & documenting root cause� Establishing corrective action steps� Assigning responsible individuals� Establishing implementation dates

� Quarantine and disposition ofdefective inventory

B. Customer complaints and field failures areaddressed under the corrective actionsystem.

C. Preliminary short-term actions areimplemented in � 24 hours for allinstances of non-conformance.

D. Corrective actions are verified foreffectiveness.

L-3 A. Corrective actions are measuredstatistically and reviewed bymanagement.




10.1 There is an effective corrective action system for investigating the root cause ofnon-conforming material at all stages of use.


L-3 B. Tools are used to continuously analyzekey processes in order to identify andprioritize process problems andinefficiencies.

C. Continuous improvement goals are set toaccelerate implementation of correctiveaction and improve system effectiveness.

L-4 A. Root cause analysis and preventiveprocedures are reviewed periodically foreffectiveness and improvement.

B. The system provides a closed loop forcustomer satisfaction with objectiveevidence.

C. Internal audits of the system are part ofthe quality plan.

__________________________________________________________



L-1 L-2 L-3 L-4




10.2 The supplier identifies and uses measures, including statisticaltechniques, as a basis for prevention of non-conformance andcontrol of quality.


L-1 A. Limited understanding and usage ofpreventive techniques are evident.

L-2 A. Mistake proofing techniques anddevices such as asymmetricaldesigns, wiring templates, locator orguide pins, etc., are used to preventdefects.

L-3 A. Product and process FMEAs addressall customer-identified keycharacteristics.

B. All key processes are regularlyanalyzed for opportunities toimplement mistake proofingtechniques and devices such asasymmetrical designs, wiringtemplates, locator or guide pins, etc.,in order to prevent defects

L-4 A. An aggressive, pro-active program isin place to encourage identification ofmistake proofing techniques anddevices. Successful results arepublicized.

B. Advanced statistical techniques, suchas design of experiments (DOE) andTaguchi methods, are used withinmanufacturing and engineeringoperations.

________________________________________________________________



L-1 L-2 L-3 L-4




10.2 The supplier identifies and uses measures, including statistical techniques, asa basis for prevention of non-conformance and control of quality.


_______________________________________________________________________



11.1 The supplier provides a method and means for handling, storage,packaging, and delivery that preserves product quality throughout theprocess.


L-1 A. Procedures to control the quality ofproduct during packaging andwarehousing are informal or non-existent.

B. There are incomplete guidelines forpackaging and warehousing.

L-2 A. The supplier reviews and has proceduresfor satisfying customer specificationspertaining to handling, packaging,labeling, bar-coding, and delivery.

B. The supplier's procedure also coversspecial customer requirements, such asthose for replacement components.

C. The supplier's material handling andstorage methods prevent product damageor deterioration.

D. Bulk containers holding multiple itemshave a label that clearly identifies thecontents.

E. Any changes to packaging, labeling, bar-coding, or shipment routing are approvedby the customer prior to implementation.

L-3 A. Scheduled audits are conducted onpackaging and labeling (includingelectronic verification of bar-codes) priorto shipment.

L-4 A. Internal audits are conducted to trackconformance to procedure.




11.1 The supplier provides a method and means for handling, storage, packaging, anddelivery that preserves both in-process and final product quality.


B. The supplier uses techniques to improvehis performance such as Kanban or otherJIT techniques.

C. Packaging is periodically analyzed foradequacy in preventing damage anddeterioration.

D. The supplier uses Kanban or other JITtechniques to reduce handling and in-process inventories.

E. The supplier is using returnablecontainers where applicable.

_________________________________________________________________ Survey level --item 11.1


L-1 L-2 L-3 L-4


________________________________________________________________________


12.0 TRAINING

12.1 The supplier has a training process that is effective and meets theneeds of the supplier's organization.


L-1 A. No formalized training process exists.

� Training is sporadic

� Training is vague.

L-2 A. The supplier has documented trainingprogram consisting of the following:

� Needs assessment

� Documented achievement andrequired level

� Basic training package

� Visual and written instructions

� Measurement of results.

B. Training records are maintained.

L-3 A. The program allows for certification ofspecial process operators (forexample, brazing, welding, andtesting.)

B. The program includes specializedtraining for cross functional teamparticipation (for example, valueanalysis, continuous improvement)

C. Structured measurement indices areused in evaluating trainingeffectiveness.

12.0 TRAINING



12.1 The supplier has a training process that is effective and meets the needs of thesupplier's organization.


L-4 A. Internal audits are performed foreffectiveness of the training processand conformance to establishedprocedures.

B. Management reviews trainingeffectiveness for continuousimprovement.

C. Recognition processes are in place.

D. Operator skill matrixes aredocumented for all key processes.

________________________________________________________________



L-1 L-2 L-3 L-4


12.0 TRAINING


12.2 Quality and related education and training address the knowledgeand skills employees need to meet their objectives as part of thecompany's quality and operational performance improvement plans.


L-1 A. No formal quality and relatededucation program exists.

L-2 A. Training in quality and relatededucation programs are offered by thesupplier.

L-3 A. The supplier makes training availablein areas such as the following:

� Teamwork

� Problems solving

� Process control

� EH&S

� Process improvement

� Waste reduction

� Cycle time reduction.

B. Employees receive a minimum of 20hours of quality or product skill relatedtraining each year.

L-4 A. Measurable goals are established andfollowed for training, as a part of theemployee's objectives.

B. Training needs are planned yearly withemployee's participation.

C. Employees participate in quality andrelated education programs which areavailable throughout the area colleges,universities, professional organizationsor government agencies.

12.0 TRAINING



12.2 Quality and related education and training address the knowledge and skillsemployees need to meet their objectives as part of the company's quality andoperational performance improvement plans.


L-4 C. Employees receive a minimum of 40hours of quality or product skill relatedtraining each year.

_______________________________________________________________



L-1 L-2 L-3 L-4


_____________________________________________________________________

Supply Q+ Audit — Rev. 4 Page 13-1� 1999, United Technologies Corporation

13.0 ENVIRONMENTAL, HEALTH AND SAFETY

13.1 The supplier shows concern for the welfare of his workers and societyby maintaining a basic environmental, health and safety system.


L-1 A. Limited recognition of EH&Srequirements. Procedures, policies andplans do not exist or exist in a partiallydeployed or partially implementedsystem.

L-2 A. There is a documented, fullyimplemented EH&S ManagementSystem which addresses most criticalhazards and risks

B. Personal protection (e.g. eye protection,safety shoes, welding curtains) areevident and in use

C. Some equipment process hazards areaddressed.

L-3 A. Fully documented and implementedEH&S Management System in place toproactively identify and address hazardsand risks before they impact workers, theenvironment or the general public.

B. Equipment and process hazards aresystematically identified and addressed.

C. Metrics are established, reviewedperiodically and a plan is developed forcontinuous improvement.

L-4 A. Comprehensive EH&S ManagementSystem in place with metrics indicatingcontinuos improvement.

13.0 ENVIRONMENTAL, HEALTH AND SAFETY

Page 13-2 Supply Q+ Audit —Rev. 4 � 1999, United Technologies Corporation

13.1 The supplier shows concern for the safety of his workers and society bymaintaining a basic environmental, health and safety system.


L-4 B. Preventive measures are reviewedperiodically for effectiveness andimprovement.

C. Root cause analysis is performed for allEH&S incident including near misses.Corrective actions are established,implemented and effectivenessevaluated.

________________________________________________________________



L-1 L-2 L-3 L-4



14.0 ELECTRONIC COMPONENT MANUFACTURING

14.1 Adequate Electrostatic Discharge and Environmental Controls exist toensure protection of the product or componenets during receipt,storage, picking, assembly and finished goods storage.


L-1 A. Procedures, policies and plans for ESDcontrol do not exist or exist in a partiallydeployed or partially implementedsystem.

B. Procedures, policies and plans forenvironmental (e.g. dust and humidity)control do not exist or exist in a partiallydeployed or partially implementedsystem.

L-2 A. There is a documented, fullyimplemented ESD control system inplace that provides for:

� Redundant ESD grounding

� Training for Employees

� Grounding of tables, mats, chairs,etc.

B. There is a documented, fullyimplemented environmental controlsystem, addressing dust, humidity and 5-S in place.

L-3 A. The ESD Program includes collection andanalysis of data and provides for animprovement plan.

B. The Environmental Control Plan includescollection and analysis of data andprovides for an improvement plan.Humidity is <50%

L-4 A. The dust containment program includesthe use of overpressure.




14.1 Adequate Electrostatic Discharge and Environmental Controls exist to ensureprotection of the product or componenets during receipt, storage, picking,assembly and finished goods storage.

________________________________________________________________



L-1 L-2 L-3 L-4




14.2 Effective procedures and controls are in place to ensure allmanufacturing processes, including soldering are sufficient andproduce defect free products.


L-1 A. Partially documented or partiallyimplemented systems are in place forcontrolling manufacturing processes.

B. Partially documented or partiallyimplemented systems are in place forcontrolling component testing processes.

C. Soldering is done manually with no specialcontrols in place.

L-2 A. The monitoring of solder waves is fullydocumented and implemented.

B. Procedures are documented andimplemented to ensure solderable areasare not touched by hand.

C. Replacement components are afforded thefull measure of ESD protection

D. Soldering Irons at all stations arecalibrated

L-3 A. Process Capability studies are undertakenfor all wave solder machines.

B. Process results are measured, collectedand analyzed.




14.2 Effective procedures and controls are in place to ensure all manufacturingprocesses, including soldering are sufficient and produce defect free products.


L-4 A. The manufacturing process has aneffective continuous improvementprogram in place.

________________________________________________________________



L-1 L-2 L-3 L-4




14.3 Electronic assemblies have been subjected to proper environmentalstress screening and/or functionality testing if specified on the routingsheet.


L-1 A. Testing of components is notdocumented, not implemented fully or notdone.

L-2 A. Failure analysis is undertaken at the PCB,electronic assembly and electroniccomponent levels.

B. A documented and fully implementedsystem is in place to conductenvironmental stress screening using theapplication of pressure and humidity aswell as power on/off basis testing.

L-3 A. The environmental stress-screeningprogram includes measurement andanalysis of results.

B. HALT (Highly Accelerated Life Test)testing is implemented and resultsmeasured.

C. HAST (Highly Accelerated StressTesting) testing is implemented andresults measured.

L-4 A. The Environmental Stress Screening(ESS) program results in continuousimprovement of the process and product.




14.3 Electronic assemblies have been subjected to proper environmental stressscreening and/or functionality testing if specified on the routing sheet.

________________________________________________________________



L-1 L-2 L-3 L-4


Q+ SURVEY AND AUDIT EVALUATION


Q+ Process EvaluationPlease take a moment to evaluate the UTC Q+ process.

Mark an X in the box corresponding to your opinion �� Poor Avg HighItem Issue 1 2 3 4 5 N/O*

1 Please rate the clarity of the notification to your companyof the Q+ process?

2 To what degree do the Q+ Survey and Audit materialsmeet your expectations?

3 How well did the instructions in the Q+ Survey and Auditkit meet your needs?

4 To what degree, (within 30 days?), did UTC respond toyour survey?

5 How efficiently was the site audit scheduled to your’s andUTC’s mutual needs and satisfaction?

6 To what degree did UTC adhere to the site surveyschedule and Q+ Criteria?

7 What was your impression of the audit’s openingorientation and conference conducted by UTC?

8 How well did the UTC team provide a complete evaluationof your Quality system vs. Audit Criteria?

9 Please rate the opportunity that you were given by theteam to fully state your concerns of the findings?

10 How well were you satisfied with the justification of theconclusions and how your concerns were handled?

11 What level of professionalism was demonstrated by theteam throughout the Q+ process?

Please provide any comments you have which will help improve the Q+ Pro cess.

Please return this evaluation to the appropriate address: *N/O no Opinion

Carrier OtisCarrier Corporation Mr. Mike ShawCorporate Supplier Quality Otis Elevator CompanyPO Box 4808 5 Farm Springs RdCarrier Parkway, TR18S Farmington, CT 06013Syracuse, NY 13221 Fax: 860-676-6922

Fax: 315-432-6972

Supplier:

__________________________Auditor(s):

__________________________

IMPROVEMENT PLAN

Supplier Q+ Survey and Audit Kit — Rev. 4 Page 1� 1999, United Technologies Corporation

IMPROVEMENT PLANSupplier Name: Page: of

Issue Champion (owner): Date:

Problem statement: (developed from areas not addressed on the survey or fromfindings on the survey; one sheet for each problem):

Ideal state:

Item Number: Dates actually reviewed (Note after eachreview):

Actions Responsible Date Due DateCompleted

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