SUPPLIER QUALITY REQUIREMENTS

Transcription

1 DWG Number Rev M Released 4/11/2014 Pae 1 of 24 GE Power & Water Materials and Processes Enineerin SUPPLIER QUALITY REQUIREMENTS PROCESS SPECIFICATION Pae 1 of 24 DOCUMENT REVISION STATUS: DETERMINED BY THE LAST ENTRY IN THE "REV" AND "DATE" COLUMN REV. DESCRIPTION SIGNATURE REV. DATE F G H J K L M REVISED RECORD RETENTION REQUIREMENTS. (AM CARTER) CR TRIPEPI 2006 MAR 17 SIMPLIFIED DOCUMENT BY RE-ORGANIZING INFORMAITON AND ELIMINATNG REDUNDANCIES. MODIFIED TYPE C DEFINITION. ADDED REFERENCE TO P29B-AL COMPLETELY REVISED SPECIFICAITON. DCI NO (JF SWEENEY) CR TRIPEPI 2006 APR 30 GENERAL UPDATE AND REVISION TO THE ENTIRE DOCUMENT: ECO ; AN SIGNIFICANT CONTENT REVISIONS AND ADDITIONS TO SECTIONS 3.2, 4.2.2, , 4.5.3, & ADD SECTION 5 (SUPPLIER ENGINEERING CHANGE CONTROL) MJ BAILEY 2011 APR 19 GENERAL UPDATE TO THE ENTIRE DOCUMENT. SECTIONS 4.2.2, 4.4.9, , 4.5.3, & CLARIFIED. ADD SECTION (PREVENTIVE MAINTENANCE). REVISED DESCRIPTION AND DATES FOR REV G & H. (MJ BAILEY) JL SMITH 2011 JUL 31 GENERAL UPDATE AND CLARIFICATIONS TO THE ENTIRE DOCUMENT. SIGNIFICANT CONTENT CHANGES OR ADDITIONS TO SECTIONS (CONTROL OF SPECIAL PROCESSES) AND (PRODUCT SAFETY RISK ASSESSMENT) L RICKERT 2012 JUL 03 UPDATED ALL REFERENCES TO POWER & WATER. ECO J BARR 2014 FEB 13 COMPLETELY REVISED IN AN EFFORT TO SIMPLIFY THE DOCUMENT AND CLARIFY THE QUALIFICATION PROCESS. ECO (KB POTTER) JL SMITH 2014 APR 09 COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General Electric Company, GE Power & Water (USA), LLC and/or their affiliates, which has been provided solely for the express reason of restricted private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin by the General Electric Company, GE Power & Water (USA), LLC and/or its affiliates. PREPARED BY: ORIG. ISSUE DATE: W.H. CHILDS, JR. May 19, 1998 UNCONTROLLED WHEN PRINTED OR TRANSMITTED ELECTRONICALLY

2 DWG Number Rev M Released 4/11/2014 Pae 2 of 24 GE Power & Water _ Pae 2 of 24 Materials and Processes Enineerin SUPPLIER QUALITY REQUIREMENTS TABLE OF CONTENTS 1. SCOPE 2. APPLICABLE DOCUMENTS 3. DEFINITIONS 4. REQUIREMENTS 4.1 Introduction Purpose General Guidelines Communication 4.2 Quality System Minimum Quality System Requirements Control of Special Process Record Retention 4.3 Supplier Approval 4.4 Supplier Qualification General Requirements Detailed Drawin, Manufacturin and Producibility Review Sub-tier Suppliers Qualification Process Flow Chart Qualification Documentation Manufacturin Process Plan Product Quality Plan Characteristic Accountability and Verification (CAV) Qualification Approval Form Frozen Processes Unqualified Material Shipments COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

3 DWG Number Rev M Released 4/11/2014 Pae 3 of 24 GE Power & Water _ Pae 3 of 24 Materials and Processes Enineerin 4.5 GE Supplier Policies & Requirements GE Policy for Specification Transmittal to Suppliers Source Inspection and Test Witness Requirements Supplier Deviation Request (SDR) Procedure Corrective Action Procedure and Requirements Process Capability Checks On-oin Preventive Maintenance 5. SUPPLIER ENGINEERING CHANGE CONTROL 6. NOTES COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

4 DWG Number Rev M Released 4/11/2014 Pae 4 of 24 GE Power & Water _ Pae 4 of 24 Materials and Processes Enineerin SUPPLIER QUALITY REQUIREMENTS 1. SCOPE 1.1 This specification provides the General Quality Requirements for all GE Power & Water external direct material suppliers with the exception of GE Nuclear Enery, GE Water & Process Technoloies, and GE Oil & Gas which will be overned by their business specific supplier quality requirements. This specification applies to all purchased direct material and services used in GE Power & Water delivered oods and services. 2. APPLICABLE DOCUMENTS 2.1 The followin documents form a part of this specification to the extent specified herein. Alternate applicable business-specific specifications will be communicated to Supplier as required (examples, ASME, API). Unless otherwise indicated, the latest document revision shall apply General Electric Company D50A152 D50A155 P28A-AL-0203 Alternate Materials Approved for Manufacture of Power Generation Commercial Orders Alternate Materials Approved for Manufacture of Specific Parts for Turbines and Generators Nondestructive Testin Process Qualification and Approval P23E-AL-0255 P29B-AL A1729 General Requirements - Markin, Preservation, Packain and Shippin Specification Visual Inspection Requirements for Weldments Supplier Enineerin Chane Control International Standards ISO 9001 Quality Manaement Systems Requirements COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

5 DWG Number Rev M Released 4/11/2014 Pae 5 of 24 GE Power & Water _ Pae 5 of 24 Materials and Processes Enineerin 2.2 Hierarchy of Documents Supplier - the Purchase Order is the overnin document, which transmits GE Power & Water requirements to the Supplier In the event of a conflict between documents, the order of precedence from hihest to lowest is as follows: Purchase Order (unless by note, the drawin specifically defers to a specification as the overridin document) Drawin Part Acceptance Specification Part Process Specification Material Specification General Requirements Specifications 3. DEFINITIONS 3.1 Entities Supplier - Unless noted otherwise, refers to the corporation, company, partnership, sole proprietorship or individual with whom GE Power & Water places a Purchase Order External Suppliers - Entities outside of GE Power & Water who provide oods or services to GE Power & Water Internal Supplier - Any GE Power & Water manufacturin facility Purchaser - The GE Power & Water business, or its business associate Supplier Quality Enineer (SQE) - GE Power & Water representative who communicates the qualification and production quality requirements, and is the key interface with the supplier relative to qualifications, process improvements, non-conformin material dispositions, corrective actions, and surveillance auditin. For the purposes of this document, the roles and responsibilities of the SQE shall apply to the Product Quality Enineer (PQE), Quality Process Enineer (QPE) or other business equivalent Global Supply Chain Manaement (GSCM) representative. COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

6 DWG Number Rev M Released 4/11/2014 Pae 6 of 24 GE Power & Water _ Pae 6 of 24 Materials and Processes Enineerin Sourcin Representative - GE Power & Water representative who neotiates price, delivery, terms and conditions, and places the purchase order for qualification and production. The Sourcin Representative is also the official contact between the supplier and GE Power & Water Responsible Enineer - GE Power & Water Enineerin representative who is responsible for participatin and approvin within the qualification process, and/ or for reviewin all nonconformin issues for Enineerin desin approval, and coordinates disposition with the SQE for return response to the Supplier. For the purposes of this document the Responsible Enineer applies to the Desin Enineer, Materials Enineer, Weldin Enineer, Repair Enineer, or other Enineerin representative assined to the review of the nonconformance, document chane or qualification. Any communication with the Responsible Enineer must be done with the knowlede of the SQE. 3.2 Other Terminoloy Build-to-Print Part - A part that is manufactured accordin to a GE drawin and associated GE specifications called out on that drawin Build-to-Specification (Non-Build-to-Print) Part - A part that is manufactured to meet the requirements of a GE functional specification rather than a GE drawin Containment - Actions taken to minimize the risk to GE Power & Water or its customers associated with a nonconformance. Containment actions can be focused on the product in which the nonconformance was detected as well as focused on similar products or product families in which the nonconformance may occur Correction - Action to eliminate a detected nonconformance, defect or other undesirable situation Corrective Action - Action taken to eliminate the cause(s) of an existin nonconformance, defect or other undesirable situation to prevent recurrence Critical to Quality Characteristic (CTQ) - Those Characteristics of an item which if nonconformin, may prevent or seriously affect the unit performance, reliability, producibility, or customer satisfaction of a component. COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

7 DWG Number Rev M Released 4/11/2014 Pae 7 of 24 GE Power & Water _ Pae 7 of 24 Materials and Processes Enineerin Critical to Process Characteristic (CTP) - Those Characteristics of a process that combine to define a Critical to Quality Characteristic; or are deemed essential for quality assurance purposes. A CTP may be a critical characteristic defined by the GE SQE Field Service Notice (FSN) - A Field Service Notice documents nonconformance identified by GE Power & Water field enineers and authorizes the field to perform warrantable equipment repairs. Examples include Power Answer Center (PAC) Cases or business approved equivalents Frozen Process - A manufacturin method, process, procedure or control that was approved by the GE Power & Water Qualification Team and may not be chaned by the supplier without approval of the GE Power & Water Qualification Team Manufacturin Process Plan (MPP) - A detailed, step-by-step sequence of operations and requirements by which components or services are manufactured Non-Destructive Testin (NDT) - Analysis techniques used to evaluate properties of material, component or system without causin damae. Typical methods would include ultrasonic, manetic-particle, liquid penetrant, radioraphy, eddy-current testin, etc Preventive Action - Action taken to eliminate the cause(s) of a potential nonconformance or undesirable potential situation to prevent occurrence Product Quality Plan (PQP) - A detailed, step-by-step list of operations and requirements in which a supplier identifies a process of how, what, why, when and who will perform tests or inspections and the applicable acceptance criteria. This may also be referred to as an Inspection and Test Plan (I.T.P.) Product Safety Risk Assessment - Safety risk assessment for any supplier desined product in accordance with the principles defined by ISO Residual risk information shall be provided to the GE Power & Water Qualification Team if requested Qualification Packae - All required documentation for qualification(qual Book) Repair - A type of correction performed to a nonconformance that reduces but not completely eliminates the nonconformance(s) such that the product is determined to be usable for its intended purpose. COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

8 DWG Number Rev M Released 4/11/2014 Pae 8 of 24 GE Power & Water _ Pae 8 of 24 Materials and Processes Enineerin Request for Desin Chane - A document submitted by the Supplier to request GE Power & Water Enineerin s approval prior to implementin a chane in desin for the supplier or its sub-tier supplier. Ref: 398A Request for Information (RFI) - A request initiated by the supplier to receive clarification on purchase order technical requirements (drawins, specifications, enineerin instructions, etc.) Rework - A type of correction performed to a nonconformance that completely eliminates the nonconformance(s) such that the product is determined to be conformin to specification or requirement Scrap - A disposition for nonconformin product that renders the material not useable for its intended purpose and/or that cannot be economically reworked or repaired in an acceptable manner Special Process - A process by which results cannot be fully verified throuh subsequent nondestructive inspection and testin of the product and where processin deficiencies may become apparent only after the product is in use. Additionally, processes that require operators of that process to be qualified and certified to be able to conduct the process and meet technical reulations and standards are considered special processes, i.e. weldin, brazin, heat treat, NDT, machinin, etc Supplier Deviation Request (SDR) - A request initiated by the supplier to deviate from purchase order technical requirements (drawins, specifications, enineerin instructions, etc.) or the approved qualification packae Unusual Visual Condition (UVC) - A material supplied with a physical or visual appearance that is inconsistent with typical or expected product appearance or industry norms (example: atypical discoloration allowable per enineerin drawin or specification, evidence of rework/repair that is not usually found on this part family, etc.) 4. REQUIREMENTS 4.1 Introduction Purpose - The purpose of this Supplier Quality Requirements specification is to establish a set of procedures, practices and expectations pertainin to the quality of items purchased by GE Power & Water. The requirements set forth herein will ensure a consistent, quality based relationship between GE Power & Water and all its direct material suppliers. COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

9 DWG Number Rev M Released 4/11/2014 Pae 9 of 24 GE Power & Water _ Pae 9 of 24 Materials and Processes Enineerin General Guidelines - It is the responsibility of the supplier to define and implement a detailed quality system that ensures all products supplied to GE Power & Water are of the hihest quality possible by conformin to GE Power & Water drawins and/or applicable specifications, and meetin all the requirements set forth in this document. Any applicable industry standards (such as ANSI, AGMA, API, etc.) must also be incorporated into the system. This system must be made available to GE Power & Water for review upon request Communication - The GE Power & Water purchase order desinates the Sourcin Representative who is the primary contact with the supplier for commercial issues. The SQE is the primary quality and technical contact and will be assined by Sourcin Quality manaement as appropriate. Chanes to purchase order requirements shall not be accepted by the supplier without a formal purchase order chane. 4.2 Quality System Minimum Quality System Requirements - The supplier must maintain a documented quality system to ensure control and conformance to the requirements of GE Power & Water s drawins and specifications. GE Power & Water requires that this quality manaement system meet the requirements of the current ISO 9001 (Quality manaement systems - Requirements) standard or an equivalent applicable standard (as determined by GE Power & Water). Compliance to this requirement must be demonstrated if requested by GE Power & Water by either of the followin: Provision of a copy of a current certification(s) if requested, or Successful completion of a quality manaement systems audit to the current requirements of ISO GE Power & Water reserves the riht to require this audit to be conducted by a third party service desinated by GE Power & Water. The supplier will be responsible for all costs of the audit directly to the auditin party Control of Special Processes - Suppliers must have specific, documented and controlled procedures for each special process performed. The supplier shall establish process CTPs/CTQs and monitor them. Only personnel qualified/certified for the job shall be assined to perform a special process. The supplier must develop a specific trainin plan and check the performance of the individual associate on a reular basis. COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

10 DWG Number Rev M Released 4/11/2014 Pae 10 of 24 GE Power & Water _ Pae 10 of 24 Materials and Processes Enineerin Record Retention - The supplier shall have a written procedure for the documentation and retention of quality and product records for products supplied to GE Power & Water. The record retention period shall be a minimum of ten (10) years unless otherwise specified by GE Power & Water. Records shall include, but are not limited to, product quality or inspection and test plans and results, material specifications, qualification documentation and certificates of conformance. Specific component record requirements may be specified in GE Power & Water purchase orders, contracts or specification. It is the responsibility of the supplier to determine the appropriate storae means to meet the retention requirement and allow for timely retrieval of records. 4.3 Supplier Approval - In order to receive a GE Power & Water production purchase order, a supplier must be approved per GE Power & Water Global Sourcin Quality Manaement System procedures. Criteria for approval could include, but is not limited to, the followin: properly executed Mutual Non-Disclosure Areement (MNDA), acknowledement of compliance with GE Power & Water interity uidelines, completion and passin of required business and technical surveys, a documented quality system, technical capability, EHS compliance/employment/security practices, financial viability, customer service aptitude, and strateic value. The supplier approval process is performed prior to a purchase order bein issued to the supplier. When the approval process has been successfully completed, a supplier code will be issued to the supplier. 4.4 Supplier Qualification General Requirements - When Supplier Approval is ranted, the supplier must become qualified for each specific process, part or commodity family. Throuh the qualification process, the supplier demonstrates ability to provide hih quality parts in accordance with requirements and expectations of the GE Power & Water business purchasin the material. Qualification requirements are defined and documented by a GE qualification team. The supplier is required to perform the qualification usin the documented qualification requirements as communicated by the SQE. Qualification is required in, but not limited to, the followin cases: (1) A new or existin supplier is manufacturin production material for the first time for GE Power & Water. (2) A desin or process chane has occurred at the supplier or at GE Power & Water, chanin the processin, form or function of the product. (3) An existin supplier or critical sub-tier supplier chanes its manufacturin location, unless formal exception is ranted by the SQE. COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

11 DWG Number Rev M Released 4/11/2014 Pae 11 of 24 GE Power & Water _ Pae 11 of 24 Materials and Processes Enineerin (4) Quality issues arise at the supplier, puttin current qualifications into question. (5) As required by GE Power & Water Detailed Drawin, Manufacturin and Producibility Review - Prior to part manufacturin, the supplier may be required to participate in a detailed drawin and desin review with the GE Power & Water Qualification Team to ensure suppliers thorouh understandin of drawin requirements and specifications durin the qualification process Sub-tier Suppliers - If a supplier chooses to outsource a process, the supplier is fully responsible for qualification and surveillance of all sub-tier suppliers to GE Power & Water requirements and notifyin GE Power & Water of this qualification. GE Power & Water reserves the riht to 1) review the supplier s process for selection, qualification, and surveillance of sub-tier suppliers, 2) to approve, or disapprove, sub-tier supplier qualifications, 3) audit and monitor the sub-tier supplier s processes and facilities when deemed necessary. This requirement also applies if the supplier is a sales representative or distributor that procures from sub-tier suppliers for manufactured parts or assemblies Qualification Process Flow Chart Qualification Documentation - Unless otherwise directed by the GE Qualification Team, the followin information must be supplied to the SQE in the lanuae of the purchasin GE business and in electronic format. Section # Quality Form Name Quality Form Description N/A Cover Sheet None N/A Table Of Contents None 1 GE Purchase Order Provide Copy of GE Purchase Order for this Project 2 GE Specifications/ GE Drawins Provide a list of all GE Power & Water Specifications, and GE Power & Water Drawins, includin Revision level. COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

12 DWG Number Rev M Released 4/11/2014 Pae 12 of 24 GE Power & Water _ Pae 12 of 24 Materials and Processes Enineerin Section # Quality Form Name Quality Form Description 3 Supplier Drawins Provide copy of all Supplier enerated drawins, includin Revision level. 4 Supplier Product Quality Plan (PQP) Defined Below 5 Supplier Manufacturin Process Plan (MPP) Defined Below 6 Characteristic Defined Below Accountability and Verification Forms (CAV) 7 Bill of Materials (BOM) List to include Item #, description, model, etc 8 Component Conformance Include Certificates of Conformance for all major components: e.., pump curves, testin certifications, calibration certificates, and relevant data sheets 9 Desin Calculations Provide a copy of all desin calculations for applicable Components/Systems (Pipe Stresses, Pipe Supports, Pressure Vessels, Liftin Lus) per Domestic and International Codes 10 Product Safety Risk Assessment Perform a safety risk assessment for any supplier desined product in accordance with the principles defined by ISO and provide residual risk information to the GE Power & Water Qualification Team. 11 Code Compliance Provide a copy of all documents to validate this commodity meets all Domestic and International Code Compliances for the followin but not limited to: CSA,CRN,IEC,CE,PED,ATEX,NEC 12 Material Test Reports Provide copies of Material Test Reports for all material used on this Project to include, but not limited to the followin: Pipin, Structural Steel, Boltin materials (Bolts, nuts, washers), Tubin, Raw Materials, Weldin Consumables 13 Weldin Procedures Provide a copy of the Weldin/ Brazin Procedure, Specification, and all welder qualification records used on the Project. 14 Nondestructive Testin Provide copy of all Nondestructive Testin procedures. Provide copy of NDT Personnel list qualified to perform NDT on this project. Suppliers written NDE Practice Per. ASNT SNT-TC-1A 15 Castins and Forins Provide all procedures, data and charts for the followin processes: castin, machinin, forin, bar stock 16 Mechanical Testin and Heat Treatin Provide copy of all Hardness testin, Heat Treatment, Stress Relievin, Metalloraphy, and Grain Etch procedures and results COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

13 DWG Number Rev M Released 4/11/2014 Pae 13 of 24 GE Power & Water _ Pae 13 of 24 Materials and Processes Enineerin Section # Quality Form Name Quality Form Description 17 Surface Preparation and Paintin 18 All other Special Process Documentation 19 Sub-tier Supplier Qualification Documentation Include all Metal Preparation, Prep for paint, paint procedures alon with QA Paint data, sinoffs, and paint specifications Include documentation needed to support any additional special processes called out in Any special processes performed by a sub-tier supplier must have supportin documentation 20 Functional Testin Provide a copy of all Mechanical, Electrical, and Functional Tests performed. This should include testin procedures, documented data of all testin performed and sinoffs that equipment passed testin. 21 Proof Test, Type Test Provide Procedures and results for all Proof Tests, and Type tests performed on this Project ASNI Referenced. Include the methods to be used in all type and proof testin, either by ANSI, ASME, IEEE, IEC, NEMA or other standard procedures, or by written description 22 Flushin and Cleanliness Provide a copy of the Flushin procedure and cleanliness procedure used to verify cleanliness per GE spec. (362A2412) or any other GE Power & Water business specification 23 Preservation and Packain Provide a copy of procedures and data to verify compliance in accordance with GE Spec. (P23E-AL-0255). 24 Repair/Rework Provide any Repair/Rework procedures and results 25 Supplier- Inspection Reports Provide a copy of all Inspection reports, travelers, and other quality documents used in the Suppliers Facility 26 Supplier Deviation Provide a copy or List all SDRs used on this Project Record List 27 Photoraphs of the Part Provide photos of the completed Commodity or Assembly 28 Packin List Provide a copy of the Packin List 29 GE- Certificate of Conformance 30 SQE Final Inspection Report 31 Other Documentation as requested Provide a copy of the Certificate of Conformance that is submitted to The GE Routin Center Provide a copy the SQE s Final Inspection Report in this section Any other documentation requested by the SQE or Qualification requirements COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

14 DWG Number Rev M Released 4/11/2014 Pae 14 of 24 GE Power & Water _ Pae 14 of 24 Materials and Processes Enineerin Manufacturin Process Plan - A MPP must, at a minimum contain the followin information: (1) A list of all applicable GE drawins/specifications, orderin sheets, outline drawins, and special process documentation alon with the latest revision letter/number. For build-to-specification parts, the supplier shall provide a list of all supplier drawins and revisions. (2) Sequential listin of all operations and identification of Special Processes and associated procedures. (3) Identification of all component parts and sources. (4) Identification of all critical sub-tier suppliers and their manufacturin locations. Critical sub-tier suppliers include but are not limited to Raw Material and any special process supplier. (5) A sequence plan of all manufacturin and inspection steps with appropriate sin-off documentation. Supplier proprietary processes/documentation may be available for inspection/review by SQE and GE Power & Water Enineerin. (6) The manufacturin location (7) MPP shall include a revision history. When the component is qualified, the MPP shall be considered part of the production purchase order requirements and may be frozen based on Qualification requirements Product Quality Plan - The PQP must, at a minimum, contain the followin information: (1) Drawin number(s) and part description(s). (2) Listin of all technical documents that overn the inspection or test activity (i.e. supplier documents, GE specifications, industry codes/standards). (3) Identification of the test or inspection criteria in an itemized listin. Each line item must identify what is to be inspected (to the characteristic level), how it is to be inspected, what frequency it is to be inspected, when the inspection or test is to be performed (in the sense of the manufacturin process), who is to perform the inspection (e.., Operator, Inspector, etc.), and the acceptance criteria. (4) Completion of each inspection and test will be accompanied by appropriate sin-off documentation. Each inspection and test must be sined-off durin the execution of the PQP. (5) Identification and verification of CTQs and inspection methods. CTQs can be identified by purchase orders, specifications, drawins, or by the appropriate GE Power & Water Qualification team. COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

15 DWG Number Rev M Released 4/11/2014 Pae 15 of 24 GE Power & Water _ Pae 15 of 24 Materials and Processes Enineerin The PQP may be included as part of the MPP or submitted as a separate document. In all cases, the PQP must be approved by the SQE. Further this document should be treated as a quality document and revision controlled by the supplier Characteristic Accountability and Verification (CAV) - When required by the qualification proram, a CAV form must be completed and maintained by the supplier. Use the form supplied by the SQE unless otherwise approved. The CAV form must include, at a minimum, the followin items: (1) Identification of components (2) Characteristics and feature accountability (3) Inspection and test results (4) Production Product Acceptance Criteria Product acceptance criteria must be established durin the qualification process review of the CAV form. Once the level of inspection and product acceptance requirement has been determined and specified on the CAV form, it must be applied to all production components hereafter to ensure controlled processes for maintainin drawin features and characteristics Qualification Approval Form - Upon successful completion of the qualification proram and receipt of the Supplier Qualification Approval Form (6.2.3A), or equivalent, the supplier is released to fulfill subsequent purchase orders received from GE Power & Water. This qualification form indicates that, at the time of qualification and based on data provided by the supplier, the manufacturin process used to produce the component(s) or perform a process was capable of complyin with GE Power & Water drawin and specification requirements. Qualification approval does not relieve the supplier of the full responsibility, on subsequent orders, to assure the manufacturin processes remain in control and the product or process supplied meets all drawin and specification requirements, unless formal, written approval for a deviation is obtained from GE Power & Water via an SDR process Frozen Processes - For certain build-to-print items, the Supplier shall initiate a Frozen Process Chane Request (FPCR) and have approval prior to any special process chane (includin sequencin) or sub-tier supplier chane. Exceptions include certain off-the-shelf items. For parts built to a functional specification, (build-to-spec items), suppliers may chane MPP unless specified by the Qualification requirements. The GE Qualification Team will define when these requirements apply. COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

16 DWG Number Rev M Released 4/11/2014 Pae 16 of 24 GE Power & Water _ Pae 16 of 24 Materials and Processes Enineerin Unqualified Material Shipments - Should a supplier need to ship material prior to completion of the qualification the supplier must submit a SDR requestin Request to ship unqualified material. As applicable the supplier shall attach all documentation to the SDR which supports the request. The GE Responsible Enineer must provide disposition for the SDR. 4.5 General Electric Supplier Policies and Requirements General Electric Policy for Specification Transmittal to Suppliers It is incumbent upon the supplier to review with the Sourcin Representative and/or SQE the appropriate document retrieval methods that may be specific to their business. It is also the responsibility of the supplier to review specification revisions with the Sourcin Representative and/or SQE on a continuous basis to ensure that the correct revisions are bein worked to. When suppliers receive a new purchase order, it is the supplier s responsibility to verify they have the latest revision of the specification called out on the drawins and purchase order. NOTE: Monthly notification of new and revised Power & Water technical specifications can be requested from GE Power & Water by contactin MPE throuh address [email protected]. This notification is only available for those documents available in GE Power & Water PLM system. The followin information must be included in the request: (a) (b) (c) (d) Contact information - name and phone number Company name Full mailin address (not address) address Unless otherwise notified by GE Power & Water, suppliers are required to implement specification revisions on all existin and future purchase orders except where parts have already entered the manufacturin process. Any exceptions to this policy must be neotiated between the GE sourcin representative and supplier. If the supplier does not have the latest revision of any relevant specification as described in the latest GE Power & Water purchase order, it is the supplier s responsibility to request the latest revision of the specification. COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

17 DWG Number Rev M Released 4/11/2014 Pae 17 of 24 GE Power & Water _ Pae 17 of 24 Materials and Processes Enineerin Source Inspection and Test Witness Requirements GE Power & Water and/or its customer may elect to inspect parts, and/or witness subassemblies at the supplier s facility durin processin, testin, or at final inspection. All source inspection and test witness requirements are to be identified and coordinated throuh the GE SQE, Quality Assurance, quality representative or other desinated representative It will be the responsibility of the supplier to notify GE Power & Water in advance, when material will be ready for inspection. The timin of this advance notification will be at minimum 20 days (unless otherwise approved by GE Power & Water) prior to any scheduled test/inspection/witness points GE Power & Water and/or customer acceptance of product does not relieve the supplier of its obliations to supply components that meet drawin and purchase order requirements Supplier Deviation Request (SDR) Procedure General Supplier requirements are: a. When a deviation to a requirement includin a drawin, specification, MPP, packain, or a material shortae is known or expected to exist, the supplier must submit a Supplier Deviation Request (SDR) as early in the process as possible to the SQE or business specific desinate usin the assined SDR system/process. If a deviation exists or could potentially exist, an SDR must be submitted and approved prior to shippin deviated parts. b. The supplier may not ship any deviated part before it is in cleared or closed SDR stae. GE has the riht to request additional inspections and tests beyond applied drawin and specifications to prove deviated part s form, fit and function prior to SDR disposition. c. The SDR must contain detailed description, containment, probable source and proposed remedial action (when business directed) information as part of the initial submittal. Failure to supply all of the information as required may result in the SDR bein returned to the Supplier for completion of the required information. If this rejection impacts fulfillment requirements chares may apply to the suppliers account. d. No repair shall be performed on a deviation prior to disposition by GE. e. SDRs are one-time exceptions to GE Power & Water requirements. f. The approved SDR applies to only the PO s listed on the SDR. COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

18 DWG Number Rev M Released 4/11/2014 Pae 18 of 24 GE Power & Water _ Pae 18 of 24 Materials and Processes Enineerin. Unless the SDR involves a drawin chane, GE Power & Water, expects the non-conformance(s) to be eliminated on subsequent deliveries. h. SDRs must be submitted by the supplier for approval of alternate materials, processes, to correct drawin/documentation errors or omissions and other deviations to the PO requirements. i. The supplier must utilize the SDR process to document any chanes to Spare Part Lists, subcomponents or software even if it does not appear to chane fit, form, or function within assemblies referenced on a GE procurement drawin that is chanin due to supplier redesin, reidentification or obsolescence. The supplier is required to document each request for such chanes, so that field personnel can readily tell that they have the correct component when the received component's identification matches the ordered replacement components. j. To request clarification on a GE drawin, specification or purchase order, the supplier may submit a Request for Information (RFI). No approvals to ship parts deviatin from GE POs or Specifications can be ranted throuh the RFI process. k. SDRs must be submitted by the primary supplier (the Seller on the Purchase Order). Any deviations (e.. drawin chanes, material substitutions, etc.) related to a sub-tier supplier s scope should must be submitted throuh the primary supplier. l. Alternate materials listed in GE Specifications D50A152 or D50A155 may be utilized in lieu of the specific material identified by the drawin or parts list unless specifically prohibited by the drawin or part specification. Note: The specifications identified in the precedin pararaph may not be applicable to all GE Power & Water businesses. Confirmation with the SQE is required for applicability Description - Where appropriate, the Supplier should provide a complete deviation description to include: the drawin/item number with zone of referenced area material specification special processes inspection results samples or photoraphs where applicable number of defects for the lot(s) of material specific purchase order numbers by part roupin serial numbers of the components COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

19 DWG Number Rev M Released 4/11/2014 Pae 19 of 24 GE Power & Water _ Pae 19 of 24 Materials and Processes Enineerin estimated time to make correction(s) cost related issues The supplier is to provide process capability charts and datasets to enerate capabilities for the process, as requested by any GE Power & Water representatives For serialized parts, the serial number(s) must be identified; for nonserialized parts, the specific purchase order(s) must be identified on the SDR In the event of any reported, observed or anticipated Unusual Visual Condition(s) (UVC) on a part, the Supplier must identify the UVC situation by clearly annotatin UVC in the description within the SDR deviation details. UVC shall be treated as deviation, unless GE Power & Water is notified in advance. The advance notification by the supplier shall include: A description of how the material is deemed atypical of conformin material. Attach pictures to the SDR if possible. The reason for the deviation Substantiation for cases where the supplier considers the UVC to be acceptable for use GE Power & Water reserves the riht to reject the visually nonconformin material reardless of the content of the advanced notification Containment - Containment is expected to be immediate when a nonconformance is discovered, with all parts affected bein contained. Containment actions apply to products, process and materials in which the non-conformance was detected as well as similar products or product families in which the nonconformance may occur. If the nonconformance is discovered durin random audit, all inventory must be evaluated. Containment at the supplier is expected to isolate (separate from normal production), insulate (inspect products to sort for defects at the supplier, in transit for shipment and at the customer site) and aid in control of risk related to the nonconformance. An effective containment process must document the supplier s efforts to verify control of its processes, (preproduction, production and post-production). COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

20 DWG Number Rev M Released 4/11/2014 Pae 20 of 24 GE Power & Water _ Pae 20 of 24 Materials and Processes Enineerin Probable Source - The supplier provides the source of the problem considerin the followin as applicable: Situations involvin the same or similar material, product, equipment, instrument or system abnormalities and inconsistencies in the process Environmental conditions (e.., temperature, humidity, liht) Trends associated with equipment performance or specifications Cause code and deviation cateory Proposed Remedial Action - Where applicable, suppliers to GE Power & Water should provide a rework or repair concept plan for all deviatin products and services prior to disposition. Also, provide a rework, repair, or accept as is recommendation Where rework or repair is not possible, substantiation should be provided. Proposals should include: Identified risks that would adversely impact the product Planned completion date Estimated time (labor) required to complete correction The supplier shall have a positive identification plan, which ensures deviations and or corrected and or conformin materials are appropriately identified The Supplier must document and show evidence to GE Power & Water that the remedial actions have been executed. GE Power & Water will validate that the remediation execution eliminated the deviatin condition or met the disposition requirements If requested by the SQE, the supplier must send a copy of the approved SDR alon with the part(s) at the time of shipment. Additional markins, or "Green tas" may also be required at the discretion of the SQE Corrective Action Procedure and Requirements - When requested by the GE Power & Water SQE, the supplier shall perform a formal root cause analysis and identify containment, corrective, and preventive actions. Corrective Action Requests that remain open loner than the specified period may result in disqualification of the supplier. COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

21 DWG Number Rev M Released 4/11/2014 Pae 21 of 24 GE Power & Water _ Pae 21 of 24 Materials and Processes Enineerin Corrective action is intended to: a. Prevent the recurrence of the problem b. Avoid creation of further product or process issues As a minimum, corrective action is necessary when: a. The production process is incapable or inconsistent b. A potential issue exists with machine, toolin, or fixtures As required or requested, supplier corrective action plans should contain as a minimum the followin: Containment Action(s) - Execution of containment plans Process capability as requested by GE Descriptions and cycle time of previous remediation performed or total duration to complete remediation Root cause analysis utilizin 6 sima methods (e.. 8-D) Lon term process chanes that will likely eliminate the causes Owner and Taret date for implementation and completion Any identifiable risk items to the product or process that may impact GE Power & Water or its customers All corrective action plans shall have approval by GE Power & Water prior to execution and follow all GE Power & Water supplier quality requirements Any deviation from the corrective action plan shall require approval from GE Power & Water All identified corrective actions shall be completed and validated for effectiveness prior to closure of the deviation request Preventive actions are taken to eliminate the cause(s) of a potential nonconformance or undesirable potential situation to prevent occurrence The supplier must provide and maintain objective evidence that the actions have been accomplished If the deviation is incorrectly chared to a supplier, this should be denoted on the corrective action request and sent to both the Sourcin representative and the SQE. COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

22 DWG Number Rev M Released 4/11/2014 Pae 22 of 24 GE Power & Water _ Pae 22 of 24 Materials and Processes Enineerin Validation of Corrective Action(s) - Corrective Actions must be documented and validated throuh objective, factual evidence to assure that the root cause(s) have been eliminated Validation may take many forms such as: data records revised or developed procedures observations production quantities Upon request, all supplier related processes, trainin, specification and / or drawin chanes shall be documented and made available to GE Power & Water and the supplier prior to closure Validation must be documented by the SQE as effective after implementation of the Corrective Action, prior to closure Process Capability Checks On-oin The supplier must as a minimum, measure and record data for all CTQ / CTP / KCPs identified on the drawins, specifications and by GE Power & Water representatives. The required data to be collected will be documented in the Product Quality Plan (PQP). The supplier must reularly analyze the required data for process capability and supply periodic reports to the SQE. Under the direction of the SQE, the supplier may be requested to execute improvement projects based on the process capability analysis. Suppliers who receive Purchase Orders from GE Power & Water are responsible to communicate to their sub-tier Suppliers for GE Power & Water products: the CTQs requirin process capability, and the process for trackin process capability, alon with all other specifications and drawins. COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

23 DWG Number Rev M Released 4/11/2014 Pae 23 of 24 GE Power & Water _ Pae 23 of 24 Materials and Processes Enineerin Preventive Maintenance - The supplier shall establish and implement a preventive maintenance proram for all product specific (GE funded) toolin. This shall include cleanin, inspection, repair and small refurbishment (spottin, cleanup of partin lines, replacement of damaed tool components, etc.) Major repairs and tool replacement are to be handled on a case-by-case base by GE Power & Water purchaser. 5. SUPPLIER ENGINEERING CHANGE CONTROL 5.1 General Requirements - GE Power & Water Enineerin may require some Supplier desined hardware to implement Supplier Enineerin Chane Control defined in 398A1729. When applicable this desination will be incorporated in the supplier s qualification proram and will be identified by a note in the orderin drawin or functional spec as follows: Desin Chane Control. The Supplier shall implement the requirements of chane control as specified in 398A The Supplier is required to: 1. Implement a Confiuration Manaement System to ensure the control of the enineerin definition of the product bein developed, manufactured and supported in the field. 2. Submit a Bill of Materials (BOM) as part of the First Piece Qualification that will represent the product delivered with each subsequent order. 3. Submit a Request for Desin Chane (RDC) to GE for approval prior to implementin any chanes to the qualified product. 4. Ensure that all sub-tier suppliers maintain confiuration control on components supplied and any desin chanes be approved via RDC s. 5. Maintain the Frozen or qualified BOM and all subsequent RDC s on file for review and audit by GE Supplier Quality Enineers. 5.2 Baseline Identification - The baseline BOM is defined as the Bill of Material, down to its detailed component level, at the time of the supplier desin review (per 4.4.8) as part of the for First Piece Qualification and prior to enterin production. If the Supplier chane requirement is added after production is beun, the baseline can be the BOM snapshot of current production if areed by GE Power & Water Enineerin. COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin

24 DWG Number Rev M Released 4/11/2014 Pae 24 of 24 GE Power & Water _ Pae 24 of 24 Materials and Processes Enineerin 5.3 Responsibility & Procedure Desin Supplier - The desin vendor or supplier will submit copies of the Request for Desin Chane (RDC) to the responsible GE Power & Water Supplier Quality Enineer via the Supplier Deviation Request (SDR) tool, or equivalent identified by the GE Power & Water business. The chane shall NOT be implemented until approval is received from GE Power & Water. The supplier will maintain the approved desin chane documents and updated BOM in records available for audit GE Power & Water Supplier Quality Enineer - The Supplier Quality Enineer will forward the Supplier RDC to the responsible GE Desin Enineer for disposition. The SQE will add the approved BOM and all subsequent RDC s to the Qualification records by GE part number GE Power & Water Responsible Enineer - Will provide disposition includin requestin additional data or a detailed review. Disposition shall be provided via the SDR tool or equivalent per 398A Record Retention - The supplier shall retain records of the approved Bill of Material, RDC s submitted and GE s approval or rejection form for inspection and audit by GE Sourcin representatives as defined by NOTES 6.1 Various process or procedure forms (e.. frozen process chane request forms, etc.) referenced in this specification may be obtained on the Supplier Center Webpae at As per the Mutual Non-Disclosure Areement (MNDA), all information provided by the supplier is held in confidence between GE and the respective supplier and all GE information shall be held in confidence by the supplier. /js COPYRIGHT GE POWER & WATER (USA), LLC AND/OR ITS AFFILIATES. All rihts reserved. The information contained herein is GE Power & Water Proprietary Technical Information that belons to the General private use. All persons, firms, or corporations who receive such information shall be deemed by the act of their receivin the same to have areed to make no duplication, or other disclosure, or use whatsoever for any, or all such information except as expressly authorized in writin