Optimas

OE Solutions
Pass Through Characteristics

Page 1 of 10 Issue 1 Jan 2018

 Index Page #
Purpose, Definition & Application 3
APQP 4
Raw Material 4
Sub Supplier Control 4
Dimensions 5
Heat Treatment 5
Mechanical Properties 6
Functional Performance 6
Plating, Coating & Patching 7
Plating, Coating & Patch Performance 7
Product Storage & Supply 8
QMS Certification 8
Training 8
Special Processes 9
Glossary of Terms 10

Page 2 of 10 Issue 1 Jan 2018

Purpose

The purpose of this document is to outline the minimum requirements for supplier process
control of “Pass Through Characteristics” (PTC), as such the document shall evolve over
time as technology and industries develop. It is not the purpose of this document to override the
supplier’s process of identifying all PTC applicable to their products and processes. The supplier
shall ensure that their Feasibility and APQP processes identify all products and process specific
PTC and ensure that appropriate process control and validation processes are implemented
and embedded into each and every product and process.

Definition

Pass Through Characteristics (PTC) are part characteristics that are not controlled or
functionally tested anywhere downstream in the supply chain post manufacturing and are
ultimately supplied to the OEM and the end user, leading to significant Risk and Impact on either
customer satisfaction or safe use and handling, often resulting in stop shipment, field action,
warranty claims and financial & legal penalty.

Application

This document is applicable to all suppliers that provide products and/ or services, incorporated
into an Automotive OEM product (including Automotive Tiers) or Customers aligned to AIAG
quality requirements (for clarification seek guidance from your Optimas Regional Quality
Manager)

The supplier is responsible for identifying PTC and embedding process to control PTC during
manufacturing and to validate PTC for every batch of products manufactured / supplied.

PTC identification shall be a formal part of APQP and formally captured through the
Characteristics Matrix, PFMEA, Control Plan and any appropriate working document.PTC shall
be identified by the use of the PTC symbol “P” in all documentation.

As a minimum the supplier shall ensure that the requirements of this document are captured for
each of their process or products supplied to Optimas.

Further as part of APQP the supplier shall identify any PTC that sit outside of this document but
are related to the specific product / process supplied to Optimas.

Optimas PTC minimum requirements cover the following areas:

 APQP
 Raw Material
 Dimensions
 Heat Treatment
 Mechanical Properties
 Functional Performance
 Plating, Coating & Patching
Page 3 of 10 Issue 1 Jan 2018
  Plating, Coating & Patch Performance
 Product Storage and Supply

The manufacturer shall review all other aspects of their manufacturing and supply processes to
ensure any other PTC unique to them are captured and a contingency implemented through
APQP and product realisation.

APQP

All suppliers shall have a formal APQP process embedded into their QMS; the APQP process
shall follow the requirements of the AIAG manual (latest edition) for APQP.

The APQP process shall be cross functional, and cover PTC as part of the approach.

All PTC shall be identified by the PTC symbol “P” on all documentation.

Training and awareness of PTC and their relation to the products and processes of the supplier
shall be provided at appropriate intervals during the APQP process. Records of training and
their effectiveness shall be maintained.

The results of APQP shall be reviewed by management taking appropriate CAPA where
required, formal records shall be maintained.

Sub Supplier Control

The supplier shall ensure that all sub suppliers are approved and that all requirements for
product & service are flown down into the supply chain.

The supplier shall ensure that the requirements for APQP and product approval are also
embedded with each sub supplier and that records of sub supplier and sub supplier product
approval are maintained.

PFMEA, Control Plan(s) and working documents shall be available for all products and clearly
identify any PTC utilising the PTC symbol “P”

Records of control and validation shall be maintained by the supplier and sub supplier

The supplier shall have a formal process for the review of inspection results applicable to sub
suppliers and ensure that these results are communicated to the sub supplier on a regular
basis, taking appropriate CAPA where required.

Raw Material

Appropriate process control shall be embedded within the procurement, goods receiving,
manufacturing and secondary operations processes to ensure that all raw materials utilised in
the final end product / service meet specification requirements, including those for delivery
conditions, structure and mechanical properties.

Process shall be implemented to verify and validate specification requirements are met prior to
the despatch of each batch of product to the next stage in product realisation and prior to
despatch to Optimas. Records of control and validation shall be maintained by the supplier.
Page 4 of 10 Issue 1 Jan 2018
PFMEA, Control Plan(s) and working documents shall be available for all products and clearly
identify any PTC utilising the PTC symbol “P”

Records of control and validation shall be maintained by the supplier and sub supplier

The supplier shall have a formal process for the review of inspection results applicable to sub
suppliers and ensure that these results are communicated to the sub supplier on a regular
basis, taking appropriate CAPA where required.

Dimensions

All dimensional requirements shall be identified from the drawing and any associated
specification and included in the Characteristics Matrix and other associated APQP
documentation. The supplier shall identify where in the process the relevant dimension will be
controlled and verified, the method of control and validation.

A full dimensional layout shall be required for each product within the PPAP / ISIR document.

The supplier shall complete periodic (annual minimum) review of all dimensions and maintain
records for submission to Optimas on request.

PFMEA, Control Plan(s) and working documents shall be available for all products and clearly
identify any PTC utilising the PTC symbol “P”

Records of control and validation shall be maintained by the supplier and sub supplier

The supplier shall have a formal process for the review of inspection results applicable to sub
suppliers and ensure that these results are communicated to the sub supplier on a regular
basis, taking appropriate CAPA where required.

Heat Treatment

Suppliers providing internal or external heat treated product and / or heat treated services shall
demonstrate compliance to CQI-9 “Special Process: Heat Treat System Assessment” latest
edition (AIAG).

All heat treatment services (External / Internal) shall be assessed annually utilising the CQI-9
HTSA. The supplier shall ensure that any non conformances are resolved with an action plan.
The supplier shall ensure that a copy of the latest assessment is provided to Optimas.

Appropriate process control shall be embedded within the heat treatment processes to ensure
that all products meet specification requirements in full, including those for delivery conditions,
structure and mechanical properties.

PFMEA, Control Plan(s) and working documents shall be available for all products and clearly
identify any PTC utilising the PTC symbol “P”

Records of control and validation shall be maintained by the supplier and sub supplier

Page 5 of 10 Issue 1 Jan 2018

The supplier shall have a formal process for the review of inspection results applicable to sub
suppliers and ensure that these results are communicated to the sub supplier on a regular
basis, taking appropriate CAPA where required.

This is applicable to all heat treated product and heat treatment process / services provided to
Optimas.

Mechanical Properties

The supplier shall implement a process to verify and validate specification requirements are met
prior to the despatch of each batch of product to the next stage in product realisation and prior
to despatch to Optimas. Records of control and validation shall be maintained by the supplier.

Mechanical properties reviewed shall be in accordance with the full requirements of the drawing
and any allied standard / specification; the supplier shall ensure that requirements are met in full
for every batch of product supplied.

Where inspection / test requirements are outside of the supplier’s capability, then a third party
review of the requirements shall be required, the records of all third party inspection shall be
maintained, third party inspection / test services shall be approved and certified to complete the
inspection / test requirements as part of their schedule and scope of certification traceable to
national and / or international standards.

PFMEA, Control Plan(s) and working documents shall be available for all products and clearly
identify any PTC utilising the PTC symbol “P”

Records of control and validation shall be maintained by the supplier and sub supplier

The supplier shall have a formal process for the review of inspection results applicable to sub
suppliers and ensure that these results are communicated to the sub supplier on a regular
basis, taking appropriate CAPA where required.

Functional Performance

The supplier shall implement a process to verify and validate functional specification
requirements are met prior to the despatch of each batch of product to Optimas.

Functional performance attributes are the characteristics where the requirements are for the fit
and function during assembly / disassembly either during build or maintenance by the OEM or
end user for example:

 Plastic Parts – Push in / Pull out load

 Thread Forming Screws – Drive torque, clamp load
 Bolts & Screws – Drive torque, clamp load
 Locking Patches – Prevailing torque on assembly, breakaway torque of assembly,
 Weld Studs / Nuts – Presence or non presence of thread, weld control coating etc
 Rivets – Stem break load, setting load, shear strength

Where inspection / test requirements are outside of the supplier’s capability, then a third party
review of the requirements shall be required, the records of all third party inspection shall be
Page 6 of 10 Issue 1 Jan 2018
maintained, third party inspection / test services shall be approved and certified to complete the
inspection / test requirements as part of their schedule and scope of certification.

PFMEA, Control Plan(s) and working documents shall be available for all products and clearly
identify any PTC utilising the PTC symbol “P”

Records of control and validation shall be maintained by the supplier and sub supplier

The supplier shall have a formal process for the review of inspection results applicable to sub
suppliers and ensure that these results are communicated to the sub supplier on a regular
basis, taking appropriate CAPA where required.

Plating & Coating

Suppliers providing internal or external plated / coated product and / or plating and coating
services shall demonstrate compliance to CQI-11 “Special Process: Plating System
Assessment” latest edition (AIAG) and / or CQI-12 “Special Process: Plating System
Assessment” latest edition (AIAG) depending on processes utilised.

All External / Internal processes shall be assessed annually utilising the CQI-11 and / or CQI-12
assessments and the supplier shall ensure that any non conformances are resolved with an
action plan. The supplier shall ensure that a copy of the latest assessment(s) is provided to
Optimas.

Appropriate process control shall be embedded within the plating / coating processes to ensure
that all products meet specification requirements in full, including those for delivery conditions,
material, mechanical and performance properties.

PFMEA, Control Plan(s) and working documents shall be available for all products and clearly
identify any PTC utilising the PTC symbol “P”

Records of control and validation shall be maintained by the supplier and sub supplier

The supplier shall have a formal process for the review of inspection results applicable to sub
suppliers and ensure that these results are communicated to the sub supplier on a regular
basis, taking appropriate CAPA where required.

This is applicable to all plated / coated product and plating / coating process / services provided
to Optimas.

Coating / Patch Performance

The supplier shall identify where in the process the relevant requirement will be controlled and
verified, the method of control and validation.

The supplier shall implement processes to verify and validate plating & coating specification
requirements are met prior to the despatch of each batch of product to Optimas.

Plating and Coating performance PTC affect either fit and function or the serviceable life of the
component in use and affect both the OEM and the end user for example:

Page 7 of 10 Issue 1 Jan 2018

  Plating / Coating weight / Thickness
 Lubrication
 Coefficient of Friction
 Salt Spray Resistance
 Humidity Resistance
 Adhesion
 Hydrogen Embrittlement (Requirements of CQI-9 apply) (Optimas HE Policy applies)

Where inspection / test requirements are outside of the supplier’s capability, then a third party
review of the requirements shall be required, the records of all third party inspection shall be
maintained, third party inspection / test services shall be approved and certified to complete the
inspection / test requirements as part of their schedule and scope of certification.

PFMEA, Control Plan(s) and working documents shall be available for all products and clearly
identify any PTC utilising the PTC symbol “P”

Records of control and validation shall be maintained by the supplier and sub supplier

The supplier shall have a formal process for the review of inspection results applicable to sub
suppliers and ensure that these results are communicated to the sub supplier on a regular
basis, taking appropriate CAPA where required.

Product Storage and Supply

The supplier shall implement processes to ensure that similar parts (Diameter, lengths, grades
etc) are clearly identified, segregated to prevent the cross contamination, mixing and / or
potential incorrect shipment during any storage, pick / pack and delivery activity.

The supplier shall ensure that all products are uniquely identified and provide full batch
traceability back to raw material.

PFMEA, Control Plan(s) and working documents shall be available for all products and clearly
identify any PTC utilising the PTC symbol “P”

Records of control and validation shall be maintained by the supplier and sub supplier

The supplier shall ensure that regular process and despatch audits are planned, conducted,
reviewed and CAPA taken when any non conformance is identified.

QMS Certification

All suppliers providing products for the use in OEM manufacture and assembly of end user
items shall hold third party certification to IATF 16949. Third party certification shall be
confirmed and reviewed by an IAF accredited third party assessment body.

Training

Training in PTC awareness and process control requirements shall be documented and
reviewed for effectiveness, all records of training shall be maintained by the supplier.

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Special Processes

Special processes are those processes that either change the material properties or if not
processed correctly would have a detrimental effect on the OEM or end user.

These processes shall be assessed and validated as per the relevant AIAG process
assessment to confirm compliance when used, and applied to both supplier and sub supplier.

Processes that are considered special and the CQI assessment guidelines applicable are listed
below:

The supplier shall review where these processes exist in their supply chain, and shall apply the
appropriate assessment process to each special process identified.

Page 9 of 10 Issue 1 Jan 2018

Glossary of Terms

PTC – Pass Through Characteristics

APQP – Advance Product Quality Planning

OEM – Original Equipment Manufacturer

PFMEA – Process Failure Mode & Effects Analysis

QMS – Quality Management System

AIAG – Automotive Industry Action Group

CAPA – Corrective action & Preventive Action

HTSA - Heat Treatment System Assessment

Page 10 of 10 Issue 1 Jan 2018