1. Description of the Implementation Strategy for Process
Certification (Six Sigma) at Hamilton Sundstrand, United
Technologies Corporation
Mark Milward & Pete Teti, Hamilton Sundstrand, UTC
November 14, 2008
Background
The quality and continuous improvement strategy of United Technologies Corporation is referred to as the
Achieving Competitive Excellence (ACE) Operating system. The objectives of ACE are to add value to
customers, investors, businesses and communities. Within this systems arsenal of tactical and strategic
applications is the tool called Process Certification, which is the variability reduction and control arm of
ACE. Process Certification is a system unto itself and parallels the Six Sigma compendium of statistical
tools and techniques. The two variability reduction systems differ primarily in terms of definitions and
project designs. The methods used to obtain the quality and productivity objectives are identical and uses
the familiar Six Sigma tools, (i.e. SPC, MSA, DOE, DMAIC, etc.). Likewise, the financial objective is
aimed at achieving significant cost reductions that will impact the organizations’ bottom-line.
At Hamilton Sundstrand, a division of UTC, the journey to develop a state-of the-art Six Sigma type
program evolved from many years of applications using statistical process control (SPC) methods and
other quality related tools. This paper is a description of that systems design and can be used as a guide
for development and structuring of a variation reduction program within any organization.
In October 2006, Hamilton Sundstrand, held a weeklong Process Certification kaizen event on the
Windsor Locks campus. This event brought together SPC, Process Certification, and Six Sigma experts
from across Hamilton Sundstrand (HS) and other UTC plant sites. The objective was to implement a
program that would enable a consistency in practices and procedures throughout the various enterprises.
Outlining the Challenge
Planning of the Process Certification kaizen event was an important step towards establishing a program
that could be replicated throughout all of Hamilton Sundstrand. The participation of key individuals
representing the various sites accelerated implementation activity and improved communication avenues
for a uniformed approach. Identification of key system components (Figure 1.0) was essential and
particularly useful in guiding the team’s efforts to examine the fundamental requirements for developing a
successful program.
The Production, Planning, Preparation (3P) formula was applied and teams developed standard work,
established criteria for evaluation and selection of key characteristics, and determined requirements for
statistical process control data collection and reporting systems. The formation of these teams and the
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2. results of their efforts represent the foundation upon which the Process Certification program was
established and is now driven.
Process Certification
Procedures
Standard Work
INTERNAL HS SUPPLIERS
Data Collection &
Reporting Systems
Training
Figure 1.0 - Key System Components for Process Certification Implementation
UTCQR-09.1 Process Certification
The procedural requirements for variation reduction and control were developed by the UTC Process
Certification Council. The council is represented by key contributors from the divisions of UTC; Pratt &
Whitney, Hamilton Sundstrand (HS), Sikorsky Aircraft, Otis Elevator, Carrier, UTC Power and UTC
Research Center. Specifications and requirements are detailed in the procedure UTCQR-09.1. This
procedure says that all UTC members, producers, and their sub-tier suppliers that provide goods, services,
and key characteristics or processes identified for certification by the UTC members shall implement a
process control system that satisfies this requirement. To meet these requirements the key system
components were reviewed and analyzed as measurable steps were taken to ensure compliance.
Training and orientation on ProCert principles was required for all associates at varying proficiency
levels. Both web-based ProCert courses and instructor led training classes were delivered to support
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3. production readiness and program implementation strategies. Steering committees were formed and the
vision of the mission was created and communicated using all available communication channels. Given
the magnitude and complexity of the task, the formation of the Process Certification kaizen teams
presented an excellent opportunity for a coordinated effort that would aid in ensuring that the uniformity
and consistency needs would be established. The requirements of UTCQR-09.1 also had to be flowed into
the Supply Base and where various UTC businesses shared the same Suppliers.
Process Certification Kaizen Teams
- Standard Work and Procedures Team
- Engineering Classification of Characteristics Team
- Process Certification Systems Team
Process Certification Milestones
Facilitation of Process Certification objectives is engineered through four milestones
(Figure 2.0). They comprise a schedule of activities and requirements that composes a project
management model. Approximate time completion for each milestone is three months. CTQ is the
acronym used for Critical-To-Quality characteristics for a product, process, or service. CTQs are defined
along with Key Product Characteristics (KPCs) and are managed throughout these timeframes. It is a
disciplined approach taken to achieve certification of the product or process. Certification is achieved
when a Cpk value of 1.33 or greater is obtained.
Figure 2.0
Process Certification – The Four Key Milestones
MILESTONE 11 MILESTONE 2 MILESTONE 3 MILESTONE 4
MILESTONE 44
MILESTONE
Definition MILESTONE 2
Baseline Performance MILESTONE 3
Improvement & Control MILESTONE
Process Excellence
Prepare Control Plan Achieve “certified” process
Define CTQ Parts Evaluate stability Cpk=1.33 or better
Perform Gage Capability Study Evaluate capability
Evaluate for Safety Control Plan reflects
Begin Data Collection Improve process
Determine FSCs certified process
Initial Control Chart Complete Control Plan
Determine KPCs Self audit plan in place
Capability Snapshot Achieve Cpk=1.0 or better
Document on Floreti Chart Action items from past
Electronic Control Plan KPC data evidenced in
Flowdown to Producer assessments closed out
established in KPC Database KPC Database
Primary Control Plan Perform Milestone 4
Perform KCR Assessment Self-audit plan in place
established in KPC Database Assessment
Perform UTCQR-09.1 Perform Milestone 3
Form 2 Assessment Assessment
Perform DQA Assessment
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4. Understanding the Critical Success Factors
An empirical study performed on the Critical Success Factors of Six Sigma Implementation identified
several success factors (Lee, 2002). Among the primary success factors are, the leadership of top
management, statistical/ analytical tool usage, Six Sigma training programs, and the technical competence
of implementation team members. The significance of the correlation between these success factors and
the key system components (Figure 1.0) previously defined is substantiated by the implementation results
at Hamilton Sundstrand (HS) plant sites. The combination and effectiveness of these factors is what drove
the successful deployment. Understanding the importance of these factors helped shape the teams’
direction and alignment towards the overall goals and objectives. The leadership and commitment of
senior management in the deployment effort is the most important factor and cannot be overstated.
Engineering Classification of Characteristics
“How do we select what’s important?”
Much of the work done in developing Process Certification at UTC had previously been pioneered by our
sister company, Pratt & Whitney Aircraft (P&WA). Members of P&WA participated as consultants in
developing the HS program. Following the P&WA structure, procedures and practices were modified to
address the specific requirements of the HS business enterprises. From P&WA’s procedure (PW79345),
the HS procedure was written on the selection and classification of Key Product Characteristics.
Identifying and selecting Critical-to-Quality (CTQ) parts is the first step in determining what is important
to internal and external customers. Selection criteria include Failure Mode and Effects Analysis (FMEA),
part family history, known internal and supplier escapes, warranty history, field returns or recalls,
customer input, MRB data and service history. The detailed guidelines for the selection process are
covered in HSC16199 (Management & Classification of Critical to Quality Characteristics 2007, C.
Houk). Within the framework of Milestone 1 the evaluation and selection of CTQ parts and the
subsequent Key Product Characteristics (KPCs) is the responsibility of an Integrated Product
Development team (IPD). Figures 3.0 & 3.1 illustrate the Critical-to-Quality Characteristic Selection
Process developed during the October 2006 Kaizen Event and now part of the HS Process Certification
standard work. Utilizing this process has helped HS engineers select lower-level Key Product
Characteristics that affect upper-level Customer CTQs in a very consistent manner regardless of product
type. Several of the primary HS characteristics identified in HSC16199 and their definitions are listed in
Table 1:
Table 1 Definitions
Designation Definition
Critical to Quality (CTQ) Parts that can directly affect safety, mission essential or critical performance
parameters. Critical to Quality parts may also be identified for customer
satisfaction and contain one or more Critical to Quality Characteristics.
Critical to Safety Elements or functions of a part or assembly that have the greatest impact to
Characteristic (CTSC) the safety of the product.
Critical to Quality Elements or functions of a part or assembly that have the greatest impact to
Characteristic (CTQC) the quality or operation of the product. These elements typically represent the
Voice-of-the-Customer (VOC) and what they deem critical to function and
performance.
Table 1 (continued)
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5. Flight Safety Part (FSP) A detail part, assembly containment system(s) software, whose failure or
malfunction (e.g. failure to operate due to improper assembly, installation
process, omission of parts, wear, etc.) could directly result in an unsafe
condition, or whose failure or malfunction causes a subsequent failure(s) which
could directly result in an unsafe condition.
Frozen Process A documented process that cannot be changed without engineering
review/approval of the Customer. It consists of the steps required for
manufacture, rework/repair, maintenance or assembly of one or more Flight
Safety Characteristics. This process must be documented in sufficient detail to
ensure multiple operators consistently perform those steps that deliver the
desired product characteristics.
Unsafe condition A condition which could directly result in the loss of aircraft or loss of life.
KPC1 designation (Critical An observable characteristic (such as a dimension or feature) of a part,
Characteristic) assembly, subassembly or system, that if not produced within the prescribed
acceptance limits, could directly result in an unsafe catastrophic condition.
KPC2 designation (Critical Features of a part, assembly, subassembly or system, that if not produced
Characteristic) within the prescribed acceptance limits, would most likely result in mission
abort, failure to launch, prevent readiness for use, or result in extreme
customer dissatisfaction. These features typically are selected based on form,
fit, function, performance, reliability or manufacturability purposes.
Flight Safety Characteristic A feature or part characteristic which, if nonconforming, could result in an
(FSC) unsafe or catastrophic condition. Flight safety characteristics are identified
with the symbol (*). Flight safety characteristics are reviewed, evaluated, and
monitored for over sight by a Flight Safety Parts Review Board (FSPRB).
Minor Characteristics Minor characteristics are not identified by symbols and comprise all other
features not defined as a Flight Safety Characteristic, KPC1 or KPC2
characteristic. Minor characteristics are important for general product
quality, but nonconformance is not likely to create a significant impairment to
product performance or reliability.
Box 0 Minor characteristic indicating an effective sampling rate of 100%
Box 2 Minor characteristic indicating an effective sampling rate of .65% AQL.
Descriptive terminology and classification of characteristics cover a wide range of business enterprises,
but is not all inclusive for the entire HS organization. The developmental approach for selection
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6. classification, key characteristic descriptions and criteria for selection is accomplished through project
team reviews following the existing standard work. As additional needs are defined adjustments to the
existing standard work is performed to address specific application requirements.
Figure 3.0 General Process for CTQ/KPC Selection
(Engineering)
Customer Customer Customer
Turnback Data Complaints/MFA Requirements
CTQ Elements
Analysis & VOC
All Parts/
Assemblies No
Does the Part/
Safety Part/
No Assembly Impact
Assembly?
CTQ
Elements? Non CTQ Part
Yes
Yes
Decision at Part/Assembly Level
CTSC Source Control/Vendor Item Drawings CTQC
Box 2
HSC Designed Items YES
Does the Benefit to
Could Characteristic Minor
No Characteristic Affect No Increased NO
Create an Unsafe Characteristic
CTQ Elements? Inspection?
Condition?
Yes No YES
Yes
Box 0
Benefit from Benefit from
Variation Variation
Management? Management?
No Yes
Engineering Discretion
Yes
FSC
KPC1
(Frozen
Characteristic KPC2
Process)
Characteristic
Flight/Industrial Safety Parts
CTQ PARTS
Figure. 3.1 General Process for FSC/KPC Selection
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7. Evaluate all Safety
Modes and
mechanisms
Can
Non-Conforming Characteristic No Evaluate for KPC2
Result in Unsafe Condition
Yes
Is the characteristic directly
observable?
Yes
No
Is the characteristic
completely defined in a manner No FSC
that allows direct inspection?
No
Yes
Can the process,
procedure or sequence used
to produce the characteristic be
changed without impact to the
characteristic?
Yes
KPC1
Standard Work and Procedures
“What do we do with what’s important?”
At UTC standard work is defined as the creation of repeatable, effective and efficient processes. Various
documentation formats are presented for this purpose. Successful implementation of the Process
Certification program at Hamilton Sundstrand is in part due to the effective application of standard work
procedures established. Critical success factors have been combined into a formula that is straight forward
and very effective. Procedures developed by the Standards Work team were directed at providing
instructions at systems level, functional level, site level, and department level operational requirements.
System level documents such as HT0985 (Process Certification, 2007, P. Teti) and HT0990
(Manufacturing Process Review, 2007, P. Teti) are procedures that identify individual roles and
responsibilities and explains “how to” (HT) perform specific tasks necessary to facilitate milestone
activities. Standard work maps, with activity pages and work instructions guide actions required to
progress through each step in Process Certification execution. Standard work is also written at levels that
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9. Process Certification Steering Committees
Committed leadership from the top is the essential ingredient for a successful program. The presence of
top talent within functional roles solidifies the framework for achieving positive results. The UTC Process
Certification Council directs the requirements for Process Certification for all UTC businesses.
Requirements defined in UTCQR-09.1 are specified on purchase orders to external suppliers and sub tier
suppliers.
Mechanical Operations’ site level steering committee provides oversight for Process Certification
deployment on internal manufacturing processes in the Windsor Locks facility. Non-manufacturing
processes are not experiencing significant ProCert development. The WL ProCert site steering committee
monitors COPQ Black Belt and Green Belt projects. The steering committee also identifies and selects
projects, directs resources and champions the overall ProCert objectives. The Material Corrective Action
Board (MCAB) is a forum where process reviews occur weekly. A senior executive team (Working
Together Team) also meets weekly to drive quality strategies and communicate the top down commitment
on initiatives.
ProCert organizational charts reflect a high degree of management participation. The various committee
and council meetings are held weekly, monthly and quarterly. Active participation of reviews on project
statuses is performed regularly. Reviews of Black Belt and Green Belt project status are examined to
communicate DMAIC progression and reviews of Six Sigma tool usage.
The Process Certification kaizen event that occurred in October 2006 also saw the formation of the
Process Certification Implementation Council. Its objective is to remain a focal point and catalyst for the
continuous development of the program. The council is represented by the various HS enterprises and led
by the HS Director of Process Certification. The meetings are quarterly and occur over a 2-3 day period.
Current issues on key system components are reviewed with team members brainstorming on corrective
actions and problem resolutions. It is an important gathering that closes communication gaps and
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10. expedites resolutions on issues that are stalled because of plant site distances or situational matters that
require the presence of key individuals.
Committed Leadership
“Making sure there is a strong connection between customers and the daily work of our employees is a
key attribute of a Lean Sigma approach. Here at UTC’s HS, we leverage our ACE operating system to
accomplish that goal. In fact, we assess every organization on the effectiveness to which they meet their
customer goals. Continuous improvements are stressed through the organization and achievements are
recognized in levels of metals starting at Bronze, then Silver and ultimately Gold. One key attribute of
the assessment is a sites’ ability to eliminate customer escapes. To maximize our ability to improve
product quality the senior leadership team at HS created a Working Together Team (WTT). The team is
chaired by our division Presidents and represented by Functional Vice Presidents. Progress on our
Quality initiatives is so important that we meet every week to discuss progress and effectiveness of the
key initiatives. The leadership team has selected seven (7) key initiatives to drive both improved reactive
and proactive quality. One key initiative is the use of Process Certification as a means to link our
Engineering designs with our customer’s expectations and manufacturing capabilities.”
Don McDonald, Vice President of Quality
“Within UTC and Hamilton Sundstrand we apply the tools and techniques of Lean/Six Sigma as part of
our Achieving Competitive Excellence (ACE) operating system. The key in maximizing the benefit of
these techniques is to apply them as part of an integrated approach to how we execute our jobs every day.
Eliminating waste and/or achieving excellence requires a balance of small continuous improvements
along with focused significant improvements targeted around delivering stakeholder satisfaction. The
tools and techniques applied also require the selection of the right tool for the desired result. This requires
a broad knowledge across the organization of a variety of tools, from statistical process control, to process
mistake proofing, to total productive maintenance. The selection of the right tool requires us to clearly
define our objectives and evaluate which tool(s) will best help us achieve our goals.
The recipe is simple but requires constant reinforcement to be successful. Focus on the customer, work
from data, and empowerment of a knowledgeable workforce to apply the right tools at the right time to
constantly improve performance.” Roger Stamm, Director, Process Certification
“Our goal is to provide our customers with a competitive product that is unsurpassed in quality. It is no
longer good enough to just understand how the products we build go together. It is more important to
identify those key characteristics that will provide us with our desired state of 1.33 Cpk performances or
higher.
Being competitive means understanding and predicting the outcome through the use of key characteristic
data, and clearly understanding upper and lower control limits to ensure defect free quality in performance
and yields. Through the MCAB process we solve problems beginning with a fault tree analysis and
continue the investigation to determine root cause by using techniques such as a 5-Why analysis. Sooner
or later we get to that point of asking the question on what key characteristic is important to producing the
quality we need. Understanding how things go to together is important, but if the data is used properly it
provides information that identifies variables that when controlled ensure product reliability.”
Tom Bradley, AMS Business Unit Mgr., Mechanical Operations
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12. OVERVIEW OF SYSTEM FUNCTIONALITY
Provides real-time SPC analysis
Visual SPC System
12345 ABC Company
ABC Company
Primary Control Plan Site Specific Plan Real-Time SPC KPC Entry Web-Page Supplier Upload Tool
- KPC gets loaded - Supplier fills in Control - Supplier collects - Supplier accesses KPC - Supplier enters ProCert
- Email notification - KPIs, Gage Study data at machine Webpage to select P/N(s) data into Upload Tool
to Supplier and Initial Process from pick-list they are authorized - Alerts will be generated
- Milestone tracking Capability results to report on depending on Cpk
recorded performance
Figure 5.0
Per Figure 5.0 above, the Supplier, prior to producing a CTQ Part, will prepare an Electronic Control
Plan, perform a Gage Capability Study on the measurement system used to inspect the KPC, collect SPC
data on control charts, and enter SPC summary statistics into the HS KPC Database. This allows HS
Supplier Quality to monitor compliance to Customer requirements. The requirements of UTCQR-09.1
(Process Certification) are one of several specifications that must be met to obtain an HS preferred
supplier status.
HS SQ&D also prepares a three-day training program taught to the supply base, free of charge. Suppliers
learn the key concepts of KPC Selection, FMEA, Control Plan Preparation, Control Charts, Process
Capability, Gage Capability Studies and Introduction to Design of Experiments. Since 2006, over 100
suppliers have attended this popular program. Typical statistical training exercises are conducted in an
interactive environment using tools such as Minitab statistical software, Catapults and Deming Bead
Boxes.
.
Implementation Results
Process Certification initiatives at Hamilton Sundstrand have not yet reached its full maturity. Current
results reflect increased customer satisfaction and bottom line savings. A statement from Boeing’s
Procurement Quality Specialist who reviewed the HS ProCert program in March 2008 reads “Hamilton
Sundstrand has made significant strides in their Variation Management of key characteristics system since
last years assessment. Building from the ACE program, HS-CT has made improvements in identifying
key processes, analyzing these key processes, controlling variation and implementing improvement
projects.”
In early 2008, Mechanical Operations WL began its Green Belt/Black Belt project initiative. Green Belt
projects fell into the classification of those operations performing at a capability less than 1.0 Cpk. Out of
thirty (30) projects there has been an improvement on over 60% and with Cpk values now above 1.0. A
Black Belt project comprised of cross functional team members delivered COPQ savings exceeding
$500K on the very first project undertaken and proving the value of the DMAIC models’ use in cost
reduction. These initial successes help to gain “buy in” and open doors for more significant opportunities.
Overall success factors must be grouped into three broad categories, aside from application of the key
system components previously illustrated. Industry experts point towards the primary keys to success as:
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13. ● Committed leadership
● Top talent
● Supporting infrastructure
(2003, Leading Six Sigma, Snee, Hoerl)
The development of the Process Certification system at HS has grown steadily. Progress has been made in
incremental stages. The effectiveness of the applications has been substantiated by the fact that not a
single escape has occurred within a process that has been certified to the Process Certification standard
(1.33).
A proactive approach to identify Process Certification opportunities continues to grow. Efforts to increase
the number of ASQ certified Black Belts at HS has begun with an intent on increasing project activity and
capturing the savings potential in high cost and low performance areas of the business. Process
Certification plays a vital role in the HS journey towards ACE Gold level achievement. Business and
transactional applications is the next likely target as awareness expands and the organization transforms
its views, perspectives and actions in the performance of daily tasks.
MARK D. MILWARD, CQA, CSSBB PETER E. TETI, CQE, CQA, CQMgr
Fmr. Manager, Process Certification Supplier Quality & Development Manager
Hamilton Sundstrand, Associate Technical Fellow, Quality Eng.
United Technologies Corporation Hamilton Sundstrand
Phone no. (229) 291-7873 United Technologies Corporation
EMAIL: mdmilward@aol.com W (860) 654-4800 FAX: (860) 654-2623
EMAIL: peter.teti@hs.utc.com
Mark Milward has nineteen (19) years
experience in Manufacturing and Quality Peter E. Teti is a Technical Fellow of Quality
Engineering. Mark was a pioneer in the Engineering working for Hamilton Sundstrand for the
introduction, development and application of past 24 years. Pete also serves as the Supplier
Surface Mount Technology applications and Quality & Development Manager working to
practices. He received his Principal Black Belt implement quality systems within the HS Supply
in Lean manufacturing (2001). He is a ASQ Chain, specializing in Statistical Process Control,
Certified Six Sigma Black Belt (2003) and a Continuous Improvement and Lean manufacturing. He
Six Sigma Master Black Belt candidate (IIE). has developed the Process Certification and CQE
At HS, Mark was responsible for standard work internal training programs at HS. Pete also teaches
development, the implementation of Quality Assurance courses at Central Connecticut
(Statistical Process Control) SPC and State University. He has a M.S. degree in
Process Certification for Mechanical Operations Management from Rensselaer
Operations (WLOX). Mark has a B.S. in Polytechnic Institute, and a B.S. in Industrial
Manufacturing Engineering Technology from Engineering & Operations Research from the
Barry University, Miami Fl, and an MBA from University of Massachusetts, at Amherst, MA. He is
Nova Southeastern University, where he is Certified as a Quality Engineer, Quality Auditor and
on leave from Doctoral studies in Business. Quality Manager from the American Society for Quality.
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