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United Technologies Corporation Fire and Security Quality Manual

Rev No: Issue Date: Issued to: Effective Date:

N/C October 3, 2008 All UTCFS Business Units and World Headquarters October 3, 2008

Quality Manual

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SCOPE ..................................................................................................................... 5 ABOUT UTCFSs QUALITY MANUAL...................................................................... 5 2.1 Normative References ................................................................................... 5 2.1.1 Elements of ACE..................................................................................... 5 2.1.2 ACE Operating System........................................................................... 6 Figure 1 ACE ...................................................................................................... 6 2.1.3 ACE Tools -- Three Categories............................................................... 6 2.2 DISTRIBUTION AND CONTROL................................................................... 7 2.3 RESPONSIBILITY AND APPROVALS .......................................................... 7 TERMS and DEFINITIONS ...................................................................................... 8 QUALITY MANAGEMENT SYSTEM ........................................................................ 9 4.1 GENERAL REQUIREMENTS ........................................................................ 9 Figure 2 Heirarchy .............................................................................................. 10 4.2 DOCUMENTATION REQUIREMENTS........................................................ 10 4.2.1 General ................................................................................................. 10 4.2.2 Quality Manual...................................................................................... 10 4.2.3 Control of Documents ........................................................................... 11 4.2.4 Control of Records ................................................................................ 11 MANAGEMENT RESPONSIBILITY........................................................................ 12 5.1 MANAGEMENT COMMITMENT.................................................................. 12 5.2 CUSTOMER FOCUS ................................................................................... 12 5.3 QUALITY POLICY ....................................................................................... 12 5.4 PLANNING................................................................................................... 13 5.4.1 Quality Objectives ................................................................................. 13 5.4.2 Quality Management System Planning................................................. 13 5.5 RESPONSIBILITY, AUTHORITY AND COMMUNICATION ........................ 13 5.5.1 Responsibility, Authority........................................................................ 13 5.5.2 Management Representative................................................................ 13 5.5.3 Internal Communication........................................................................ 14 5.6 MANAGEMENT REVIEW ............................................................................ 14 5.6.1 A General.............................................................................................. 14 5.6.2 Review Input ......................................................................................... 14 5.6.3 Review Output ...................................................................................... 15 RESOURCE MANAGEMENT................................................................................. 15 6.1 PROVISION OF RESOURCES ................................................................... 15 6.2 HUMAN RESOURCES ................................................................................ 15 6.2.1 General ................................................................................................. 15 6.2.2 Competence, Awareness and Training................................................. 15 6.3 INFRASTRUCTURE .................................................................................... 16
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6.4 WORK ENVIRONMENT .............................................................................. 16 PRODUCT REALIZATION ..................................................................................... 17 7.1 PLANNING OF PRODUCT REALIZATION.................................................. 17 7.2 CUSTOMER-RELATED PROCESSES........................................................ 17 7.2.1 Determination of Requirements Related to the Product........................ 17 7.2.2 Review of Requirements Related to the Product .................................. 18 7.2.3 Customer Communication .................................................................... 18 7.3 DESIGN AND DEVELOPMENT................................................................... 19 7.3.1 Design and Development Planning....................................................... 19 7.3.2 Design and Development Inputs........................................................... 19 7.3.3 Design and Development Outputs ........................................................ 20 7.3.4 Design and Development Review......................................................... 20 7.3.5 Design and Development Verification................................................... 20 7.3.6 Design and Development Validation..................................................... 20 7.3.7 Control of Design and Development Changes...................................... 20 7.4 PURCHASING..21 7.4.1 Purchasing Process .............................................................................. 21 7.4.2 Purchasing Information......................................................................... 21 7.4.3 Verification of Purchased Product......................................................... 21 7.5 PRODUCTION AND SERVICE PROVISION..22 7.5.1 Control of Production and Service Provision......................................... 22 7.5.2 Validation of Processes for Production and Service Provision.............. 22 7.5.3 Identification and Traceability ............................................................... 23 7.5.4 Customer Property................................................................................ 23 7.5.5 Preservation of Product ........................................................................ 23 7.5.6 Control of Monitoring and Measuring Devices ...................................... 24 MEASUREMENT, ANALYSIS AND IMPROVEMENT ............................................ 24 8.1 GENERAL.................................................................................................... 24 8.2 MONITORING AND MEASUREMENT ........................................................ 25 8.2.1 Customer Satisfaction........................................................................... 25 8.2.2 Internal Audit......................................................................................... 25 8.2.3 Monitoring and Measurement of Processes.......................................... 25 8.5.1 Continual Improvement......................................................................... 27 Figure 3 Problem Solving................................................................................... 28 8.5.2 Corrective Action................................................................................... 28 8.5.3 Preventive Action.................................................................................. 29 Appendices............................................................................................................. 30

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QUALITY MANAGEMENT SYSTEM MANUAL APPROVAL PAGE

Tom Hoffman Director of Quality

Raquel Rivera Vice President Operations and Quality

William Brown President

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1.0 SCOPE
The Quality Management System (QMS) of UTC Fire & Security is designed to meet the requirements of ISO 9001:2000 and internal business requirements. This manual applies to all UTC Fire & Security employees, unless tailored by contract or in the absence of a contract, by customer directive. Here-in-after, the company name UTC Fire & Security is abbreviated as UTCFS.

2.0 ABOUT UTCFSS QUALITY MANUAL


PURPOSE The purpose of the manual is to describe the quality system that embraces all functions, business units and branches of UTCFS. It communicates UTCFSs commitment to providing quality products and services at competitive prices to ensure customer satisfaction and delight that will allow us to maintain our world leadership position in the fire and security industry.

2.1

Normative References
UTCFSs Quality Manual conforms to ISO 9001:2000. Our QMS Manual references Achieving Competitive Excellence (ACE), which is the UTC company-wide operating system. ACE fosters a philosophy of continuous improvement, with a relentless focus on increasing efficiency, prevention of quality escapes, and the reduction of variation and waste. ACE contains UTCs continuous improvement philosophy. It is an approach to relentlessly improve the value that we deliver to our customers and investors. ACE involves all employees and affects all manufacturing, business, and supporting processes that create and deliver customer value. ACE solicits feedback from customers on what we must do to strengthen our value to them and to increase their satisfaction with us. ACE is the way that we run our business.

2.1.1 Elements of ACE


ACE is built on three main elements: A philosophy An operating system that helps the organization identify and solve problems, improve processes, and assist with strategic thinking.

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The competence, commitment and involvement of the entire organization

2.1.2 ACE Operating System


The ACE operating system consists of a set of tools that help an organization to identify and solve problems, improve its processes, and make strategic decisions. A business consists of a set of connected processes. Examples include product development, supply chains, production control, sales and installation, and service and aftermarket. An ideal business uses an operating system to manage these processes. The operating system is a mechanism for controlling and improving processes to achieve desired business goals, starting with customer value and satisfaction (see Figure 1).

RESULTS

BUSINESS GOALS

BUSINESS STRATEGY

DISCREPANCIES PROCESSES Results vs. Goals Waste CORRECTIVE ACTIONS CUSTOMER AND EMPLOYEE FEEDBACK DECISION MAKING

QUALITY AND FLOW CLINICS

PROBLEM SOLVING PROCESS IMPROVEMENT WASTE ELIMINATION

Figure 1 2.1.3 ACE Tools -- Three Categories

Process Improvement And Waste Elimination Tools 1. 5S (visual workplace) 2. Value Stream (Process) Management (VSM)

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3. Standard Work (SW) 4. Process Certification and Robustness 5. Setup Reduction 6. Total Productive Maintenance (TPM) 7. Production Preparation Process (3P) Decision Making Tools Passport Process Problem Solving Tools 1. Market Feedback Analysis (MFA) 2. Quality Clinic Process Charts (QCPC) 3. Relentless Root Cause Analysis (RRCA) 4. Mistake Proofing (MP)

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2.2

DISTRIBUTION AND CONTROL


UTCFS considers the electronic revision of this Quality Manual the only controlled version. Printed copies of the Quality Manual may be distributed upon request. Printed copies are not controlled and should be validated against the electronic revision prior to use.

2.3

RESPONSIBILITY AND APPROVALS


The UTCFS World Headquarters (WHQ) Vice President of Quality controls and maintains this Quality Manual. All changes must be communicated and approved by the Vice President of Quality and are recorded in the revision record of this document. The manual is reviewed at least annually to ensure suitability, adequacy and effectiveness. UTCFS President, Vice President, and Director of Quality will approve revisions to this quality manual. a) The WHQ Quality Organization will guide and support quality improvement within UTCFS and set quality policy and standards. b) The UTCFS Quality Council will integrate their aims and actions with those of the business as a whole. c) All UTCFS business units shall appoint a designee responsible for supporting implementation of this manual and top level corporate procedures into their respective quality systems. d) UTCFS business unit management is responsible for implementing and administering quality management systems and this quality manual within their respective organizations, with guidance and support from the WHQ Quality Organization and their individual quality functions.

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e) Senior management must take a leading and visible role in defining, implementing, and administering the quality system, with the goal being to meet all customer requirements.

3.0 TERMS AND DEFINITIONS


ISO 9000: is a set of international standards on quality management and quality assurance developed by the International Organization for Standardization (ISO) to help companies effectively document the quality system elements to be implemented to maintain an efficient quality system. The standards, initially published in 1987, are not specific to any particular industry, product or service. The standards underwent major revision in 2000 and now include ISO 9000:2000 (definitions), ISO 9001:2000 (requirements) and ISO 9004:2000 (continual improvement) Roadmap: A business/quality objectives charter which starts at organization level and then broken up to align with individuals groups/cells. It defines the targets for Financial, Customer, and Quality & Delivery metrics targets. Control Panel: A metrics tracking dashboard which can be at a group/cell level consisting of high level important matrices for the group. All metrics have a baseline, target for the year and individual owners. These matrices are derived from Quality objectives in form of a Roadmap. Control Plan: is a written description of the system for controlling parts and processes. The Control Plan describes the actions that are required at each phase of the process, from receiving to shipping, to assure that all process outputs remain in a state of control. The Control Plan reflects a strategy that is responsive to changing process conditions, and is maintained and used throughout the product life cycle ACE Board: A dashboard and process improvement display board posted at prominent place in every UTCFS group/cells which is accessible to each individual. It is owned by an employee or group of employees and updated on minimum monthly basis Non-conforming product: a products or services non-fulfillment of an intended requirement for reasonable expectation for use, including safety considerations.

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4.0 QUALITY MANAGEMENT SYSTEM


4.1 GENERAL REQUIREMENTS
UTCFS has established, documented, implemented and maintained a quality management system and it continually improves its effectiveness in accordance with the requirements of ISO-9001:2000. UTCFS: a) Identifies the processes needed for the quality management system and their application throughout UTCFS b) Determines the sequence and interaction of these processes c) Determines criteria and methods needed to ensure that both the operation and control of these processes are effective d) Ensures the availability of resources and information necessary to support the operation and monitoring of these processes e) Monitors, measures and analyzes these processes, f) Implements as necessary to achieve planned results and continual improvement of these processes UTCFS shall manage the organization in accordance the requirements of ISO-9001:2000. Where UTCFS chooses to outsource any process that affects product conformity with requirements, UTCFS shall assure control over such processes. Control of such outsourced processes is identified within the quality management system. These may include processes for management activities, provision of resources, product realization and measurement.

UTCFS Quality Management System is documented in a 4 tiered pyramid (see Figure 2):

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Policy Statements

Standard Procedures Work Instructions/Guidelines Forms and Records

Figure 2 4.2 DOCUMENTATION REQUIREMENTS

4.2.1 General
The quality management system documentation includes: a) Documented statements of UTCFS quality policy and quality objectives b) UTCFS quality manual [this document] c) Documented required by ISO-9001:2000 d) Documents needed by UTCFS to ensure the effective planning, operation and control of its processes, and Records required by ISO9001:2000 e) Inspection Records f) Guidelines g) Checklists h) Work Instructions/Process Flow Maps which are generally referred to as Standard Work Documents

4.2.2 Quality Manual


UTCFS has established and maintains this quality manual which includes: a) The scope of the quality management system
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b) The documented procedures established for the quality management system or reference to them c) A description of the interaction between the processes of the quality management system

4.2.3 Control of Documents


Documents required by the quality management system are controlled. Records are a special type of document and are controlled according to the requirements given in 4.2.4 Documented procedures have been established to define the controls needed to: a) Approve documents for adequacy prior to issue b) Review and update as necessary and re-approve documents c) Ensure that changes and the current revision status of documents are identified d) To ensure that relevant versions of applicable documents are available at points of use e) Ensure that documents remain legible and readily identifiable f) Ensure that documents of external origin are identified and their distribution controlled g) Prevent the unintended use of obsolete documents, and to apply suitable identification to them if they are retained for any purpose

4.2.4 Control of Records


Records are established and maintained to provide evidence of conformity to requirements and of the effective operation of the quality management system. Records are constructed to remain legible, readily identifiable and retrievable. A corporate documented procedure has been established to define the controls needed for the identification, storage protection, retrieval, retention time and disposition of records. Records required by ISO 9001:2000 will be amended to table in Appendix III.

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5.0 MANAGEMENT RESPONSIBILITY


5.1 MANAGEMENT COMMITMENT
Senior Management of UTCFS provides evidence of its commitment to the development and implementation of the quality management system and continually improving its effectiveness by: a) Communicating to UTCFS employees the importance of meeting customers, as well as statutory and regulatory requirements b) Establishing the quality policy c) Ensuring that quality objectives are established d) Conducting management reviews e) Ensuring the availability of resources

5.2

CUSTOMER FOCUS
Senior Management of UTCFS ensures that customer requirements are determined and are met with the aim of enhancing customer satisfaction. Customer Satisfaction is one of the key metrics in the ACE philosophy which determines the ACE level of an Organization. Customers are given utmost importance when assessing the organization for ACE certification. Customers are categorized as Internal and External and a continuous focus is given to delight the customers. Customer data is collected using Market Feedback Analysis (MFA).

5.3

QUALITY POLICY
Senior Management of UTCFS ensures the quality policy:
a) Is appropriate to the purpose of UTCFS b) Includes a commitment to comply with requirements and continually improve the effectiveness of the quality management system c) Provides a framework for establishing and reviewing quality objectives d) Is communicated and understood within UTCFS e) Is reviewed for continuing suitability

See the Quality Policy statement [POL 001] under separate cover.
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Quality Manual 5.4 PLANNING

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5.4.1 Quality Objectives


Senior Management of UTCFS ensures that quality objectives, including those needed to meet requirements for product are established at relevant functions and levels within UTCFS. Quality objectives are measurable and consistent with the quality policy. Quality Objectives are defined at a business unit and work group level and are made available to employees through a Roadmap. Overall performance is documented in the form of Control Panel.

5.4.2 Quality Management System Planning


Senior Management of UTCFS ensures that: a) Planning of the quality management system is carried out in order to meet the requirements given in 4.1 as well as the quality objectives in 5.4.1 b) Integrity of the quality management system is maintained when changes to the quality management system are planned and implemented.

5.5

RESPONSIBILITY, AUTHORITY AND COMMUNICATION

5.5.1 Responsibility, Authority


Top Management of UTCFS ensures that responsibilities and authorities are defined and communicated within their respective organizations.

5.5.2 Management Representative


Senior Management of UTCFS has appointed the VP-Quality and/or Director of Quality. Regardless of other responsibilities, they have the responsibility and authority that includes: a) Ensuring that processes needed for the quality management system are established, implemented and maintained b) Reporting to Senior Management of UTCFS [as in 5.5.1] on the performance of the quality management system and any need for improvement c) Ensuring the promotion of awareness of customer requirements throughout UTCFS

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d) Liaising with external parties on matters relating to the Quality management system

5.5.3 Internal Communication


Senior Management of UTCFS ensures that appropriate communication processes are established within UTCFS and that communication takes place regarding the effectiveness of the quality management system. Internal communication of the effectiveness of the quality management system is accomplished via the following methods: Senior Staff meetings (President and Senior Management of UTCFS) Functional group staff meetings Management Reviews Functional Group ACE boards using tools such as Periodic Intranet news items

5.6

MANAGEMENT REVIEW
UTCFS uses a Passport review protocol to evaluate and mitigate risks inherent in the design, production, and acquisition processes.

5.6.1 A General
Senior Management of UTCFS reviews their quality management system at planned intervals to ensure its continuing suitability, adequacy, and effectiveness. This review includes assessing opportunities for improvement and the need for changes to the quality management system, including the quality policy and quality objectives. Records from management reviews are maintained.

5.6.2 Review Input


The input to management review includes information on: a) Result of audits b) Customer feedback c) Process performance and product conformity d) Status of preventive and corrective actions e) Follow-up actions from previous management reviews f) Changes that could affect the quality management system g) Recommendations for improvement

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The output from the management review includes any decisions and actions related to: a) Improvement of the effectiveness of the quality management system and its processes b) Improvement of product related to customer requirements c) Resource needs

6.0 RESOURCE MANAGEMENT


6.1 PROVISION OF RESOURCES
UTCFS has determined and provided the resources needed to: a) Implement and maintain the quality management system and continually improve its effectiveness b) Enhance customer satisfaction by meeting customer requirements.

6.2

HUMAN RESOURCES

6.2.1 General
Personnel performing work affecting product quality shall be competent on the basis of appropriate education, training, skills and experience.

6.2.2 Competence, Awareness and Training


UTCFS senior management shall: a) Determine the necessary competence for personnel performing work affecting product quality b) Provide training or take other actions to satisfy competence, awareness, and training needs c) Evaluate the effectiveness of the actions taken d) Ensure that its personnel are aware of the relevance and importance of their activities and how they contribute to the achievement of the quality objectives e) Maintain appropriate records of education, training, skills and experience

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Quality Manual 6.3 INFRASTRUCTURE


a)

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UTCFS determines, provides and maintains the infrastructure needed to achieve conformity to product requirements. Infrastructure includes, as applicable: Buildings, workspace and associated utilities Process equipment (both hardware and software) Supporting services (such as transport or communication) Management provides adequate infrastructural facilities like space, computer hardware, critical computer needs and software to carry out the activities of the organization, test equipment and tools etc., to meet customer requirements and business objectives. Management shall ensure that adequate attention is also bestowed on factors that affect the conformity of the products such as: Temperature Humidity Cleanliness Electrostatic current Support services such as System administration for maintenance of hardware systems and virus control Management shall provide funds for continual improvement projects and all quality related initiatives towards customer satisfaction and business goal achievement Management ensures that there are an adequate number of trained internal quality auditors to carry out the internal quality audits periodically. Funds shall be reserved for their refresher trainings. Management utilizes the applicable Passport process when performing Due Diligence related to acquisitions.

b)

c)

d)

e)

f)

6.4

WORK ENVIRONMENT
UTCFS determines and manages the work environment needed to achieve conformity to product requirements.

Environmental, Health & Safety

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UTCFS is committed to providing a healthy work place for all associates and conducting business in compliance with environmental and safety regulations. Our environmental, health and safety objectives include preventing incidents that harm the environment, injure our associates or cause property loss or business interruption. Environmental Health & Safety stewardship is a core element of all business processes including design, production and maintenance of our products.

7.0 PRODUCT REALIZATION


7.1 PLANNING OF PRODUCT REALIZATION
Product realization at UTCFS is achieved through Passport controlled processes. a) UTCFS shall have a documented Passport process consistent with the requirements of the other processes of the quality management system. In planning product realization, UTCFS will determine the following, as appropriate: Quality objectives and requirements for the product The need to establish processes, documents, and provide resources specific to the product Required verification, validation, monitoring, inspection and test activities specific to the product and the criteria for product acceptance Records needed to provide evidence that the realization processes and resulting product meet requirements The output of this planning is in forms suitable for UTCFS's method of operations.

b)

7.2

CUSTOMER-RELATED PROCESSES

7.2.1 Determination of Requirements Related to the Product


UTCFS determines: a) Requirements specified by the customer, including the requirements for delivery and post-delivery activities b) Requirements not stated by the customer but necessary for specified or intended use, where known c) Statutory and regulatory requirements related to the product
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d) Any additional requirements determined by UTCFS

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7.2.2 Review of Requirements Related to the Product


UTCFS reviews the requirements related to the product. These reviews are conducted prior to UTCFS's commitment to supply a product to the customer (e.g. submission of tenders, acceptance of contracts or orders, acceptance of changes to contracts or orders) and ensure that: a) product requirements are defined b) contract or order requirements differing from those previously expressed are resolved c) UTCFS has the ability to meet the defined requirements Records of the results of these reviews and actions arising from them are maintained. Where the customer provides no documented statement of requirements, the customer requirements are confirmed by UTCFS before acceptance. Where product requirements are changed, UTCFS ensures that relevant documents are amended and that relevant personnel are made aware of the changed requirements.

7.2.3 Customer Communication


a) UTCFS determines and implements effective arrangements for communicating with customers in relation to: Product information Enquiries, contracts or order handling, including amendments Customer feedback, including customer complaints Examples of these arrangements include: Latest press releases from UTCFS Includes any updates or news on product enhancements Sales & marketing product information Product brochures Datasheets Project profiles E-mail blasts Advertising

b)

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c)

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More detailed product information can then be acquired through product data guides, installation manuals, maintenance manuals, etc.

7.3

DESIGN AND DEVELOPMENT


The Product and Services Safety (PASS) Policy requires that our products are safe for both their intended and foreseeable uses. Design and Development processes ensure that products including their transportation, installation, operation, service and disposal procedures provide full consideration of applicable standards and available technology to minimize risk of injury to persons or property.

7.3.1 Design and Development Planning


UTCFS plans and controls the design and development of product using as applicable Passport process. During design and development planning, UTCFS determines: a) The design and development stages b) The review, verification and validation that is appropriate to each design and development stage c) The responsibilities and authorities for design and development UTCFS manages the interfaces between different groups involved in design and development to ensure effective communication and clear assignment of responsibility. Planning outputs are updated, as appropriate, as the design and development progresses

7.3.2 Design and Development Inputs


Design and development Inputs relating to product requirements are determined and records maintained. These inputs include: a) Functional and performance requirements b) Applicable statutory and regulatory requirements c) Where applicable, information derived from previous similar designs d) Other requirements essential for design and development These inputs shall be reviewed for adequacy. Requirements shall be complete, unambiguous and not in conflict with each other.

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Quality Manual 7.3.3 Design and Development Outputs

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The outputs of design and development are provided in a form that enables verification against the design and development input and are approved prior to release. Design and development outputs shall: a) Meet the input requirements for design and development b) Provide appropriate information for purchasing, production and for service provision c) Contain or reference product acceptance criteria d) Specify the characteristics of the product that are essential for its safe and proper use

7.3.4 Design and Development Review


At suitable stages, systematic reviews of design and development are performed in accordance with planned arrangements in order to: a) Evaluate the ability of the results of design and development programs to meet requirements b) Identify any problems and propose necessary actions Participants in such reviews include representatives of functions concerned with the design and development stage(s) being reviewed. Records of the results of the reviews and any necessary actions are maintained.

7.3.5 Design and Development Verification


Verifications are performed in accordance with planned arrangements to ensure that the design and development outputs have met the design and development input requirements. Records of the results of the verifications and any necessary actions are maintained.

7.3.6 Design and Development Validation


Design and development validations are performed in accordance with planned arrangements to ensure that the resulting product is capable of meeting the requirements for the specified application or intended use, where known. Wherever practicable, validations are completed prior to the delivery or implementation of the product. Records of the results of validation and any necessary actions are maintained.

7.3.7 Control of Design and Development Changes


Design and development changes are identified and records maintained. The changes are reviewed, verified and validated, as appropriate, and approved
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before implementation. The review of design and development changes includes evaluation of the effect of the changes on constituent parts and on product already delivered. Records of the results of the review of changes and any necessary actions are maintained.

7.4

PURCHASING
UTCFS ensures that purchased product conforms to specified purchase requirements. The type and extent of control applied to the supplier and the purchased product are dependent upon the effect of the purchased product on subsequent product realization or on the final product. UTCFS evaluates and selects suppliers based on their ability to supply product in accordance with UTCFS's requirements. Criteria for selection, evaluation and re-evaluation are established. Records of the results of evaluations and any necessary actions arising from the evaluation are maintained. Transitions of purchased product between producers utilize Transition Standard Work as documented via the applicable Passport process.

7.4.1 Purchasing Process

7.4.2 Purchasing Information


Purchasing information describes the product to be purchased, including where appropriate: a) Requirements for approval of product, procedures, processes and equipment b) Requirements for qualification of personnel c) Quality management system requirements UTCFS ensures the adequacy of specified purchase requirements prior to their communication to the supplier

7.4.3 Verification of Purchased Product


UTCFS establishes and implements the inspection or other activities necessary for ensuring that purchased product meets specified purchase requirements.
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Where UTCFS or its customer intends to perform verification at the supplier's premises, UTCFS states the intended verification arrangements and method of product release in the purchasing information.

7.5

PRODUCTION AND SERVICE PROVISION


UTCFS plans and carries out production and service provision under controlled conditions. Controlled conditions include as applicable: a) The availability of information that describes the characteristics of the product b) The availability of work instructions as necessary c) The use of suitable equipment d) The availability and use of monitoring and measuring devices e) The implementation of monitoring and measurement activities f) The implementation of release, delivery and post-delivery activities Product and Services Safety (PASS) Policy requires that provisions be made for protection of persons, property and the environment in production and service operations. Together with design and development processes, production and services processes ensure that products, including their transportation, installation, operation, service and disposal procedures, provide full consideration of applicable standards and available technology to minimize risk of injury to persons, property or damage to the environment.

7.5.1 Control of Production and Service Provision

7.5.2 Validation of Processes for Production and Service Provision


UTCFS validates any processes for production and service provision where the resulting output cannot be verified by subsequent monitoring or measurement. This includes any processes where deficiencies become apparent only after the product is in use or the service has been delivered. Validation demonstrates the ability of these processes to achieve planned results. UTCFS establishes arrangements for these processes including, as applicable: a) Defined criteria for review and approval of the processes b) Approval of equipment and qualification of personnel c) Use of specific methods and procedures d) Requirements for records
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e) Revalidation

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7.5.3 Identification and Traceability


Where appropriate, UTCFS identifies the product by suitable means throughout product realization. UTCFS identifies the product status with respect to monitoring and measurement requirements. Where traceability is a requirement, UTCFS controls and records the unique identification of the product.

7.5.4 Customer Property


UTCFS exercises care with customer property, including intellectual property, while it is under UTCFS's control or being used by UTCFS. UTCFS identifies, verifies, protects and safeguards customer property provided for use or incorporation into the product. If any customer property is lost, damaged or otherwise found to be unsuitable for use, this is reported to the customer and corresponding records are maintained.

7.5.5 Preservation of Product


UTCFS preserves the conformity of product during internal processing and delivery to the intended destination. This preservation includes identification, handling, packaging, storage and protection. Preservation also applies to the constituent parts of a product. Corporation-wide, UTC is committed to bringing a Sustainability mindset to our businesses. UTCFS is engaged in Sustainability activities in all functional areas that contribute to the design, building and maintenance of our products. We seek to make business decisions from a balanced perspective, rather than solely focusing on financial metrics. Our strategic and product development approach incorporates, in equal measures, the following factors: a) Economic b) Environmental c) Social equity considerations

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7.5.6 Control of Monitoring and Measuring Devices


UTCFS determines the monitoring and measurement to be undertaken and the monitoring and measuring devices needed to provide evidence of conformity of product to determined requirements. UTCFS establishes processes to ensure that monitoring and measurement can be carried out and are carried out in a manner that is consistent with the monitoring and measurement requirements. Where necessary to ensure valid results, measuring equipment is: a) Calibrated or verified at specified intervals, or prior to use, against measurement standards traceable to international or national measurement standards; where no such standards exist, the basis used for calibration or verification is recorded b) Adjusted or re-adjusted as necessary c) Identified to enable the calibration status to be determined d) Safeguarded from adjustments that would invalidate the measurement result e) Protected from damage and deterioration during handling, maintenance and storage In addition, UTCFS assesses and records the validity of the previous measuring results when the equipment is found not to conform to requirements. When such conditions are detected UTCFS takes appropriate action on the equipment and any product affected. Records of the results of calibration and verification are maintained. When used in the monitoring and measurement of specified requirements, the ability of computer software to satisfy the intended application is confirmed. This is undertaken prior to initial use and reconfirmed as necessary.

8.0 MEASUREMENT, ANALYSIS AND IMPROVEMENT


8.1 GENERAL
UTCFS plans and implements the monitoring, measurement, analysis and improvement processes needed to: a) Demonstrate conformity of the product b) Ensure conformity of the quality management system, and
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c) Continually improve the effectiveness of the quality management system This includes determination of applicable methods, including statistical techniques, and the extent of their use.

8.2

MONITORING AND MEASUREMENT

8.2.1 Customer Satisfaction


As one of the measurements of the performance of the quality management system, UTCFS monitors information relating to customer perception as to whether UTCFS has met customer requirements. The methods for obtaining and using this information are determined.

8.2.2 Internal Audit


UTCFS conducts internal audits at planned intervals to determine that the quality management system: a) Conforms to planned arrangements, to the requirements of ISO Standard and to the quality management system requirements established by UTCFS b) Is effectively implemented and maintained An audit program is planned, taking into consideration the status and importance of the processes and areas to be audited, as well as the results of previous audits. The audit criteria, scope, frequency and methods are defined. Selection of auditors and conduct of audits ensure objectivity and impartiality of the audit process. Auditors do not audit their own work. The responsibilities and requirements for planning and conducting audits and for reporting results and maintaining records are defined in a documented procedure. The management responsible for the area being audited ensures that actions are taken without undue delay to eliminate detected nonconformities and their causes. Follow-up activities include the verification of the actions taken and the reporting of verification results.

8.2.3 Monitoring and Measurement of Processes


UTCFS applies suitable methods for monitoring and, where applicable, measurement of the quality management system processes. These methods
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demonstrate the ability of the processes to achieve planned results. When planned results are not achieved, corrective and preventative action is taken, as appropriate, to ensure conformity of the product

8.2.4 Monitoring and Measurement of Product


UTCFS monitors and measures the characteristics of the product to verify that product requirements have been met. These are carried out at appropriate stages of the product realization process in accordance with the planned arrangements. Evidence of conformity with the acceptance criteria is maintained. Records indicate the person(s) authorizing release of product. Product release and service delivery do not proceed until the planned arrangements have been satisfactorily completed, unless otherwise approved by a relevant authority and, where applicable, by the customer.

8.3

CONTROL OF NONCONFORMING PRODUCT


UTCFS ensures that product which does not conform to product requirements is identified and controlled to prevent its unintended use or delivery. The controls and related responsibilities and authorities for dealing with nonconforming product are defined in a documented procedure. UTCFS deals with nonconforming product by one or more of the following ways: a) By taking action to eliminate the detected nonconformity b) By authorizing its use, release or acceptance under concession by a relevant authority and, where applicable, by the customer c) By taking action to preclude its original intended use or application Records of the nature of nonconformities and any subsequent actions taken, including concessions obtained, are maintained. When nonconforming product is corrected it is subject to re-verification to demonstrate conformity to the requirements. When nonconforming product is detected after delivery or use has started, UTCFS takes action appropriate to the effects, or potential effects, of the nonconformity

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Quality Manual 8.4 ANALYSIS OF DATA

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The analysis of data provides information relating to: a) Customer satisfaction b) Conformity to product requirements c) Characteristics and trends of processes and products including opportunities for preventative action d) Suppliers

8.5

IMPROVEMENT
UTCFS continually improves the effectiveness of the quality management system through the use of the quality policy, quality objectives, audit results, analyses of data, corrective and preventive actions and management reviews. Quality Clinic for Continuous Process Improvement The UTCFS has a defined process for addressing turnbacks and escapes. This process ensures continuous improvement in the processes and products of UTCFS. Data on turnbacks and escapes are gathered from all areas of the business, evaluated and prioritized based upon their impact on the business. The highest impact problems are admitted to the Quality Clinic for solution by a multi-disciplinary team using Root Cause Analysis tools. Problems of lesser impact are addressed at a local level, still employing the same toolset for finding root causes. See Figure 3.

8.5.1 Continual Improvement

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Figure 3 8.5.2 Corrective Action


UTCFS takes action to eliminate the cause of nonconformities in order to prevent recurrence. Corrective actions are appropriate to the effects of the nonconformities encountered. Documented procedures are established to define requirements for: a) Reviewing nonconformities (including customer complaints) b) Determining the causes of nonconformities c) Evaluating the need for action to ensure that nonconformities do not reoccur d) Determining and implementing action needed e) Records of the results of action taken f) Reviewing corrective action taken

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Quality Manual 8.5.3 Preventive Action

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UTCFS determines actions to eliminate the causes of potential nonconformities in order to prevent their occurrence. Preventive actions are appropriate to the effects of the potential problems. Documented procedures are established to define requirements for: a) Determining potential nonconformities and their causes b) Evaluating the need for action to prevent occurrence of nonconformities, c) Determining and implementing action needed d) Records of results of action taken e) Reviewing preventive action taken

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9.0 APPENDICES
Appendix I: UTCFS Quality Policy

At UTCFS we strive to exceed our customers expectations and be the bestin-class in the markets in which we participate through continuously improving product quality, product reliability, and service & delivery performance. ACE is our operating system which consistently improves the efficiency of our processes to help us meet our business objectives. All UTCFS associates are accountable for high quality results in compliance with the Quality Policy. It is the responsibility of all management to lead the implementation of UTCFS Quality Management System and ACE, including the Quality policy. All executives and managers have quality objectives in their PFTs and translate these objectives to their employees where appropriate. All business plans have clearly defined quality goals and objectives We believe that:

Ethics is the basis of good business performance and we conduct business in compliance with the UTC Code of Ethics. The voices of our customers and employees and the data from our processes and business activities are critical and their measurement is the basis for improvement.

All associates within the UTCFS organization are accountable for implementing the critical processes and continuous improvement initiatives outlined in this policy.