QUALITY MANUAL QUALITY MANAGMENT SYSTEM

Transcription

1 UALITY QUALITY MANUAL QUALITY MANAGMENT SYSTEM REFERENCE: ISO 9001 REV.2008 GEEQM Rev 2.0

2 UALITY INDEX 11/22/2011 SECTION A 08/09/2010 PAGE 2 OF 33 Section Part Title Page # A Index page 02 and 03 B C Introduction I...Description page 04 II...Quality Manual page 04 III...Scope of the quality management system page 05 IV...Quality policy and responsibility page 06 V...Certification page 07 VI...Organization chart page 08 and 09 Quality Management System (QMS) Activities I Quality Management System 1. General Requirements page Process Mapping page Process Matrix X Normative Elements page Diagram of a Customer Oriented Process (COP) page 13 II Documentation Requirements 1. Generalities page Quality Manual page Document Control page Control of Quality Records page 15 III Management Responsibility 1. Commitment page Focus on the Customer page Quality Policy page Planning 4.1 Quality Objectives page Quality Management System Planning page Responsibility, Authority and Communication 5.1 Responsibility and Authority page Management Representative page Internal Communication page Critical Analysis by Management 6.1 Generalities page Critical Analysis Input page Critical Analysis Output page 17 IV Resource Management 1. Resource Supply page Human Resources Generalities page Competence, Awareness and Training page Infrastructure page Work Environment page 19

3 UALITY INDEX 11/22/2011 SECTION A 08/09/2010 page 3 OF 33 V Product Execution 1. Product Execution Planning page Processes Related to Customers 2.1 Determination of Product Related Requirements page Critical Analysis of Product Related Requirements page Communication with Customers page Design and Development 3.1 Design and Development Planning page Design and Development Inputs page Design and Development Outputs page Critical Analysis of Design and Development page Design and Development Verification page Design and Development Validation page Control of Alterations in Design and Development page Purchasing 4.1 Purchasing page Information for Purchasing page Purchased Product Verification page Production and Service Supply 5.1 Production Control and Service Supply page Process Validation and Service Supply page Identification and Traceability page Customer Property page a Customer Production Tools page Product Preservation page Control of Measurement and Monitoring Devices page 26 VI Measurement, Analysis and Improvement 1. Generalities page Measurement and Monitoring 2.1 Customer Satisfaction page Internal Audits page Process Measurement and Monitoring page Product Measurement and Monitoring page Control of Nonconformance Products page 28 and Data Analysis page Improvements 5.1 Continuous Improvement page Corrective Actions page Preventive Actions page 30 VII Appendix 1. QMS Matrix Gevisa x GEE procedures x WI ISMWI page 31

4 HFGH INTRODUCTION I - DESCRIPTION UALITY 11/22/2011 SECTION B 08/09/2010 PAGE 4 OF 33 This Quality Manual describes the GE-GEVISA S. A. Quality Management System that reflects the following norm requirements: ISO 9001 Ed Quality Management System EN Potentially explosive atmospheres Application of quality systems GE Energy procedures The following aspects were taken into consideration when structuring the Quality System: Quality Policy and company objectives. Installations and material and human resources. Technical, cultural and own management knowledge. II- QUALITY MANUAL: This Quality Manual describes the GE-GEVISA S.A. Quality Management System, integrating its technical and administrative culture, installations, and material and human resources and is approved by the Ge Energy. The Management Representative elaborates and maintains the Quality Manual, which is approved by the Plant Manager and Quality Control Manager The revision is elaborated, verified and approved in an identical manner as the prior issue. The Manual s situation is controlled by means of its revision index, characterized by alterations in one or more divisions. The Quality Manual is only available in electronic media printed. Copies and distributions are not permitted and controlled. The quality terminology used can be found in ISO 9000/2000 Quality Management System / Fundamentals and Vocabulary. The GE Energy Quality Manual complement the Gevisa Quality Manual and it is attached.

5 UALITY INTRODUCTION 05/30/2011 SECTION B 11/22/2011 PAGE 5 OF 33 III SCOPE OF THE QUALITY MANAGEMENT SYSTEM: Design, Manufacture and Service of medium and large motors & generators and Industrial Services BASEEFA SCOPE: Custom 8000 TEAAC induction motors, Ex NII T3 (BS500:part 6) Product list Atex type Examination Certificates A) EXCLUSIONS For Industrial Services, Requirement 3 of Design and Development does not apply since it is a the customer s responsibility.

6 UALITY INTRODUCTION 11/22/2011 SECTION B 08/09/2010 PAGE 6 OF 33 IV QUALITY POLICY AND RESPONSIBILITY This policy of GE GEVISA establishes, as a strategic objective, reaching and maintaining a reputation of leadership with respect to the quality of its products and services, continuingly striving to meet and exceed it s customer s expectations. In accordance with this policy, GE GEVISA recognize that the human factor is fundamental in obtaining total quality, and that all necessary support should be given to people for their full understanding of this premise. Pursuing quality through all existing processes is an endless mission, which is aimed at the continuous improvement of any task, which adds value to the product or service, thus emphasizing a constant participation of each employee and teamwork. Specific activities, which preserve the environment and the individual safety of each contributor, shall be considered a priority and shall have full management support. General prevention is also considered a strategic business point through the permanent search of the continuous improvement process. To implement this policy, the company delegates to each individual contributor his personal commitment, encouraging and facilitating his self-confidence, simplicity and speed in performing any pertinent task. This policy, together with internal procedures and routines, gives support to the quality system applied by the company and described in the quality manual. José Luiz Castrese General Manager

7 7GH INTRODUCTION V- CERTIFICATION UALITY 11/22/2011 SECTION B 08/09/2010 PAGE 7 OF 33 We certify that this quality manual, together with the internal routines and written procedures, truthfully describes the Quality System applied at the GE - Gevisa plant in Campinas SP. 11/22/2011 Antonio Carlos Adorno Management Representative Quality Control Manager 11/22/2011 Sérgio de Oliveira Plant Manager

8 UALITY HFGH INTRODUCTION 11/22/2011 SECTION B 08/09/2010 PAGE 8 OF 33 VI ORGANIZATION CHART Company Organization Chart General Manager Commercial Finance Sales M&G Technology Technical and EHS Services Quality Control Human Resources Industrial Services Industrial

9 UALITY INTRODUCTION 11/22/2011 SECTION B 08/09/2010 PAGE 9 OF 33 QUALITY CONTROL DEPARTMENT ORGANIZATION CHART Quality Control Quality System Incoming inspection, Metrologies and laboratories QC eng / In process inspection Final test

10 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 10 OF 33 I- QUALITY MANAGEMENT SYSTEM 1 GENERAL REQUIREMENTS GE GEVISA S. A. establishes, documents, implements and maintains a quality management system and continuously improves its effectiveness according to ISO 9001:2008 requirements. GE GEVISA S.A.: a) identifies the necessary processes for the quality management system and for its application throughout the entire organization; b) determines the sequence and the interaction for these processes; c) determines the necessary criteria and methods for ensuring the effective operation and control of these processes; d) ensures the availability of necessary resources and information to support the operation and monitoring of these processes; e) monitors, measures and analyzes these processes, and; f) implements the necessary measures to reach the planned results and the continuous improvement of these processes. These processes are managed by GE GEVISA S. A. in compliance with ISO 9001:2008 requirements. Whenever GE GEVISA S.A. opts to purchase any process externally that may affect product conformity with regard to requirements, GE GEVISA S.A. guarantees the control of these processes. The control of said processes is identified in the quality management system.

11 Customer (Requirements) Customer (satisfaction) Requirements Customer Customer Satisfaction UALITY QUALITY MANAGEMENT SYSTEM 2 PROCESS MAPPING Quality Management System CONTINUOUS IMPROVEMENT 11/22/2011 SECTION C 08/09/2010 PAGE 11 OF 33 Management Responsibility QM-section C- III Resource Management QM-section C- IV Measurement, Analysis and e improvement QM-section C- VI Inputs Product Execution QM-section C- V Product Outputs Process Mapping Management Process Resources Managment Sales Process Design Process Sourcing Process Manufacturing Process Fina Test Process Expediting Process Meas/ Monit/ Anal. Process COP Process (Customer Oriented Process) This process is being considered in each key process. COP process (customer oriented process) Process is considered in each key process

12 Management Resource Management Purchasing/Supplies UALITY QUALITY MANAGEMENT SYSTEM 3 PROCESS MATRIX X NORMATIVE ELEMENTS (*) 11/22/2011 SECTION C 08/09/2010 PAGE 12 OF 33 ISO 9001:2008 STANDARD REQUIREMENTS PROCESSES Sales Design/ Development Meas / Anal/ Impr Manufacturing Final testing Expediting Reference Documents 4.1 General Requirements QM, QMS Routines Generalities QM, QMS Routines Document Control QM, Routine Quality Record Control QM, Routine Management Commitment QM, Routine Focus on the Customer QM, Routine Quality Policy Quality Manual 5.4 Planning Routine Responsibility and Authority QM, QMS Routines Management Representative Routine Internal Communication Routine Critical Analysis by Management Routine Resource Supply Routine Human Resources Routine Infrastructure QMS Routines 6.4 Work Environment Routine Product Execution Planning Routine 2.9 / Routine Processes Related to Customers Routines 2.6 and Design and Development Routine Purchasing Routine Production Control and Service Supply Routine Production Process Validation Routine Identification and Traceability Routine Customer Property Routines 2.6 and Product Preservation Routine Measurement and Testing Equipment Control Routine Generalities Routine Customer Satisfaction Routines 2.13 and Internal Audit Routine Process Measurement and Monitoring Routine Product Measurement and Monitoring Routines 2.09 and Control of Nonconformance Product Routine Data Analysis Routine Continuous Improvement Routine Corrective Action Routine Preventive Action Routine 2.5 (*) To QMS Matrix Gevisa x GEE procedures x WI ISMWI see the appendix on page 31.

13 UALITY QUALITY MANAGEMENT SYSTEM - Internal Order; - Raw Material; Product/Process Design. Validated as per customer need - Conforming Products - Continuous Improvement -Product Specifications - Proc. Variab. Reduction -Non Declared Req. Prod. -Cost/Price Reduction -Packaging Requirements 11/22/2011 SECTION C 08/09/2010 PAGE 13 OF 33 4 COP DIAGRAM - Customer needs (requirements): - Non Declared Req. - Regulatory Req. Customer taken care of in requirements Sales Production. Planning Manufacturing Final Test Internal Audit Design/Dev. Expediting Product delivery in correct quantity, on-time, identified and packaged. - Quantity - Period of Time - Logistics Identif. and Packaging and Delivery Req. Management Process: Performs at interfaces between COPs and interfaces x Customer, through the CRITICAL ANALYSIS BY MANAGEMENT Customer Interface Customer Input Customer Output

14 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 14 OF 33 II DOCUMENTATION REQUIREMENTS 1) GENERALITIES The quality management system documentation includes: a) documented declarations of the quality policy and the quality objectives; b) quality manual; c) documented procedures required by ISO 9001:2008; d) documents required by GE GEVISA S.A. to ensure the effective planning, operation and control of its processes, and; e) quality records required by ISO 9001: ) QUALITY MANUAL GE GEVISA S.A. elaborates and maintains a quality manual that includes: a) the scope of the quality management system, including details and justifications for any exclusions; b) the documented procedures established for the quality management system, or references to them, and; c) the description of the interaction between the quality management system processes. 3) DOCUMENT CONTROL The documents required by the quality management system are controlled. Quality records are a special type of document and are controlled in conformance with the requirements set forth in C-II-4. A documented procedure is established to define the necessary controls to: a) approve documents as to their conformance prior to issuance; b) critical analyze and update documents, whenever necessary, and approve them again; c) ensure that alterations and the documents current revision situation are identified; d) ensure that the pertinent versions of applicable documents are available in those areas where they will be used; e) ensure that documents remain legible and readily identifiable; f) ensure that documents with an external origin are identified and that their distribution is controlled, and; g) avoid the unintentional use of obsolete documents and apply the proper identification in those cases whereby they are retained for any reason.

15 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 15 OF 33 4) QUALITY RECORD CONTROL Quality records are established and maintained to provide proof of conformance with requirements and of the effective operation of the quality management system. Records are kept legible, readily identifiable and recoverable. A documented procedure is established to define the necessary controls for the identification, storage, protection, recovery, retention period and discarding of records. Note: Disposal implies in discarding III MANAGEMENT RESPONSIBILITY 1) MANAGEMENT COMMITMENT Top management represented by the Quality Committee provides proof of its commitment to the development and the implementation of the quality management system and with the continuous improvement of its effectiveness by means of: a) the communication to the organization of the importance in satisfying customer requirements as well as regulatory and statutory requirements; b) the institution of the quality policy; c) the guarantee that the quality objectives have been established; d) the carrying out of critical analyses by the Quality Committee, and; e) the guarantee of resource availability. 2) FOCUS ON THE CUSTOMER Top management, through the Quality Committee, ensures that customer requirements are determined and satisfied with the aim of increasing customer satisfaction. In order to confirm that these requirements and their purposes are being satisfied, customer satisfaction surveys are carried out and the results are analyzed by Top Management, through the Quality Committee. 3) QUALITY POLICY Top Management, through the Quality Committee ensures that the quality policy: a) is appropriate for GE GEVISA S.A. purposes; b) includes a commitment to satisfying requirements and to the continuous improvement of the quality management system s effectiveness;

16 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 16 OF 33 c) provides a structure for establishing and critically analyzing quality objectives; d) is communicated and understood throughout the entire organization, and; e) is critically analyzed for maintaining its conformance. 4) PLANNING 4.1) Quality Objectives Top Management, through the Quality Committee, ensures that the quality objectives, including those necessary to satisfy product requirements, are established in the pertinent functions and levels at GE GEVISA S.A.. The quality objectives are measurable and coherent with the quality policy. 4.2) Planning of the Quality Management System Top Management, through the Quality Committee, ensures that: a) the planning of the quality management system is carried out in a manner to satisfy those requirements cited in 4.1, as well as the quality objectives, and; b) the integrity of the quality management system is maintained when changes in the quality management system are planned and implemented. 5) RESPONSIBILITY, AUTHORITY AND COMMUNICATION 5.1) Responsibility and Authority Top Management, through the Quality Committee, ensures that the responsibilities and authorities are defined and communicated at GE GEVISA S.A.. 5.2) Management Representative Top Management appoints GE GEVISA S.A. s Quality Control Manager, who regardless of other responsibilities, has the responsibility and the authority to: a) ensure that the necessary processes for the quality management system are established, implemented and maintained; b) report to Top Management, through the Quality Committee, concerning the quality management system s performance and any need for improvement, and; c) ensure the fomentation of awareness concerning customer requirements throughout the organization.

17 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 17 OF ) Internal Communication Top Management, through the Quality Committee, ensures that GE GEVISA S.A. establishes the appropriate communication processes and that communication is carried out concerning the effectiveness of the quality management system using, however not being limited to, the following: Informative meetings and other team meetings; Bulletin boards and internal 08/09/2010spapers; Electronic communication media; 6) CRITICAL ANALYSIS BY MANAGEMENT 6.1) Generalities Top Management, through the Quality Committee, critically analyzes GE GEVISA S.A. s quality management system, at planned intervals, to ensure its continued pertinence, conformance and effectiveness. This critical analysis includes the evaluation of opportunities for improvement and the needs for change in the quality management system, including the quality policy and the quality objectives. Records will be kept of the critical analyses made by Top Management, through the Quality Committee. 6.2) Critical Analysis Inputs Critical analysis inputs by management include information concerning: a) audit results; b) customer feedback; c) process performance and product conformance; d) situation of preventive and Corrective Actions e) follow-up of measures derived from prior critical analyses made by management; f) changes that may affect the quality management system, and; g) improvement recommendations. 6.3) Critical Analysis Outputs Critical analysis outputs by management include any decisions and measures related to: a) improvement in the effectiveness of the quality management system and its processes;

18 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 18 OF 33 b) product improvement in relation to customer requirements, and; c) resource needs. IV RESOURCE MANAGEMENT 1) RESOURCE SUPPLY GE GEVISA S.A. determines and provides the necessary resources for: a) implementing and maintaining the quality management system and continuously improving its effectiveness, and; b) increasing customer satisfaction by attending to their requirements. The resources are identified by means of, although not limited to: Critical analysis meetings by Top Management, through the Quality Committee; Training Program; Critical analysis of customer and product requirements; Production Planning; Internal Quality Audits; Requests for Corrective and Preventive Actions. 1.1) Human Resources 1.1.1) Generalities The personnel that carry out activities that affect product quality is competent with regard to education, training, skills and appropriate experience ) Competence, Awareness and Training GE GEVISA S.A.: a) determines the necessary competences for those personnel that carry out jobs that affect product quality; b) provides training or takes other measures to satisfy these competence needs; c) evaluates the effectiveness of measures that have been taken; d) ensures that its personnel is aware of the pertinence and importance of its activities and how they contribute to reaching quality objectives, and; f) keeps the appropriate education, training, skills and experience records (see C-II-4).

19 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 19 OF ) Infrastructure GE GEVISA S.A. determines, provides and maintains the necessary infrastructure to achieve conformance with product requirements. The infrastructure includes, whenever applicable: a) buildings, work space and associated installations; b) process equipment (materials and equipment as well as computer programs), and; c) support services (such as transportation or communication). 1.3) Work environment GE GEVISA S.A. determines and manages the work environment conditions required to achieve conformance with product requirements. V) PRODUCT EXECUTION 1) Product Execution Planning GE GEVISA S.A. plans and develops the necessary processes for product execution. The product execution planning is coherent with the requirements for other quality management system processes. When planning product execution, GE GEVISA S.A. determines the following, whenever appropriate: a) quality objectives and requirements for the product; b) the need for establishing processes and documents and providing specific resources for the product; c) required verification, validation, monitoring, inspection and testing activities that are specific for the product, as well as criteria for product acceptance; d) necessary records to supply evidence that the execution processes and the resulting product attend to the requirements. The output from this planning should be in a format that is appropriate to GE GEVISA S.A. operation methods. 2) Processes Related to Customers 2.1) Determinação dos requisitos relacionados ao produto GE GEVISA S.A. determines: a) the requirements specified by the customer, including the delivery and after delivery activity requirements;

20 QUALITY MANAGEMENT SYSTEM UALITY 11/22/2011 SECTION C 08/09/2010 PAGE 20 OF 33 b) the requirements that are not declared by the Customer, but that are necessary for the specified or intentional use, when known; c) the statutory and regulatory requirements related to the product, and; d) any additional requirement determined by the organization. 2.2) Critical Analysis of Product Related Requirements GE GEVISA S.A. critically analyzes those requirements related to the product. This critical analysis is carried out prior to GE GEVISA S.A. assuming the commitment to supply a product for the customer (for example, presentation of proposals, acceptance of contracts or orders, acceptance of contract or order changes) and ensures that: a) the product requirements are defined; b) the contract or order requirements that differ from those that were previously manifested are resolved, and; c) the organization has the capacity to attend to the defined requirements. Records are kept of critical analysis results and the measures that result from these actions (see C-II-4). When the Customer does not supply a documented declaration of requirements, GE GEVISA S.A. confirms the Customer requirements prior to acceptance. Whenever the product requirements have been changed, GE GEVISA S.A. ensures that the pertinent documents are complemented and that the pertinent personnel are warned about the changed requirements.

21 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 21 OF ) Communication with the Customer GE GEVISA S.A. determines and takes effective measures to communicate with the customers concerning: a) product information; b) handling of consultations, contracts or orders, including amendments, and; g) customer feedback, including their complaints. Several resources are made available by GE GEVISA S.A. in order to make communication with the customer effective, including, although not limited to: - Brochures, Catalogs; - Internet - Fax, letter, and telephone; - Visits. 3) Design and Development 3.1) Design and Development Planning GE GEVISA S.A. plans and controls product design and development. During design and development planning GE GEVISA S.A. determines: a) the stages for design and development; b) the critical analysis, verification and validation that are appropriate for each phase of design and development, and; c) the responsibilities and authorities for design and development. GE GEVISA S.A. manages the interfaces between the different groups involved in design and development in order to ensure effective communication and the clear attribution of responsibilities. Planning outputs are appropriately updated as the design and development progress. 3.2) Design and Development Inputs Inputs related to product requirements are determined and records are kept (see C-II-4). These inputs include: a) operation and performance requirements; b) applicable statutory and regulatory requirements; c) where applicable, information from similar prior projects, and; d) other essential requirements for design and development.

22 QUALITY MANAGEMENT SYSTEM UALITY 11/22/2011 SECTION C 08/09/2010 PAGE 22 OF 33 These inputs are critically analyzed as to conformance. Requirements are completed, without any ambiguities nor any conflicts between them. 3.3) Design and Development Outputs Design and development outputs are presented in such a way so as to enable their verification with regard to design and development inputs, and are approved before being released. Design and development outputs: a) attend to the design and development input requirements; b) supply appropriate information for purchasing, production and for supplying services; c) tell or reference product acceptance criteria, and; d) specify those product characteristics that are essential for safe and appropriate use. 3.4) Critical Analysis of Design and Development Systematic critical analyses of design and development are made during appropriate phases according to planned arrangements: a) to evaluate the capacity of design and development results to attend to the requirements, and; b) to identify any problem and propose the necessary measures. Representatives of functions involved with design and development stage(s) that is(are) being critically analyzed are included among the participants in these critical analyses. Records are kept of critical analysis results and of any necessary measures (see C-II-4). Note: These analyses are normally coordinated with the project phases and include the design and development for the manufacturing process. 3.5) Design and Development Verification Verification is carried out according to the planned arrangements (see C.3.1), in order to ensure that the design and development outputs are attending to design and development input requirements. Records are kept of verification results and of any necessary measures (see C-II-4).

23 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 23 OF ) Design and Development Validation Design and development validation is carried out as per planned preparations (see C.3.1), in order to ensure that the resulting product is capable of attending to the requirements for the specified application or intentional use, when known. Whenever practical, validation is concluded prior to product delivery or implementation. Records are kept of validation results and of any necessary measures (see C-II-4). 3.7) Control of Design and Development Changing Design and development changing are identified and records are maintained. The changes are critically analyzed, verified, and validated, as appropriate, and approved prior to their implementation. The critical analysis of design and development alterations includes the evaluation of the effect of said alterations on component parts and on the already delivered product. Records are kept of the critical analyses results of alterations and of any necessary measures (see C-II-4). 4) Purchasing 4.1) Purchasing Process GE GEVISA S.A. ensures that the purchased product conforms with the specified purchasing requirements. The type and the extent of control applied to the supplier and to the purchased product depend on the effect of the purchased product on the subsequent execution of the product or final product. GE GEVISA S.A. evaluates and selects suppliers based on their capacity to supply products according to GE GEVISA S.A. requirements. Selection, evaluation, and reevaluation criteria are established. Records are kept of the evaluation results and of any necessary measures, derived from the evaluation (see C-II-4).

24 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 24 OF ) Purchasing Information The purchasing information describes the product to be purchased and it includes, whenever appropriate, the requirements for: a) approval for the product, procedures, processes and equipment; b) personnel qualifications, and; c) quality management system. GE GEVISA S.A. ensures the purchasing requirement conformance specified prior to their communication to the supplier. 4.3) Purchased Product Verification GE GEVISA S.A. establishes and implements inspection or other necessary activities to ensure that the purchased product attends to the specified purchasing requirements. When the organization or its Customer intends to carry out an inspection of supplier installations, GE GEVISA S.A. declares the intended inspection measures and the product release method in the purchasing information. 5) Production and Service Supply 5.1) Control of Production and Service Supply GE GEVISA S.A. plans and carries out production and the supply of services under controlled conditions. Controlled conditions include, whenever applicable: a) the availability of information that describes product characteristics; b) the availability work instruction, whenever necessary; c) the use of appropriate equipment; d) the availability and use of devices for monitoring and measurement; e) the implementation of measurement and monitoring, and; f) the implementation of release, delivery and post-delivery activities.

25 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 25 OF ) Validation of Production Processes and Service Supply GE GEVISA S.A. validates any production process and service supply in which the resulting output cannot be verified through subsequent monitoring and measuring. This includes any process where the deficiencies are only apparent after the product has been in use, or the service has been delivered. The validation demonstrates the capacity of these processes to achieve the planned results. GE GEVISA S.A. takes the necessary measures for these processes, including, when applicable: a) the criteria defined for critical analysis and process approval; b) equipment approval and personnel qualifications; c) use of specific methods and procedures; d) requirements for records (see C-II-4), and; e) revalidation. 5.3) Identification and Traceability GE GEVISA S.A. identifies the product using the appropriate means over the period of product execution. GE GEVISA S.A. identifies the product situation with regard to monitoring and measuring requirements. When traceability is a requirement, GE GEVISA S.A. controls and registers the only product identification (see C-II-4). 5.4) Customer Property GE GEVISA S.A. takes care of customer property when it is under GE GEVISA S.A. control or being used by it. GE GEVISA S.A. identifies, verifies, protects and safeguards customer property supplied for use or incorporation into the product. If any customer property should be lost, damaged or considered inappropriate for use, this shall be informed to the Customer and records will be made (see C-II-4).

26 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 26 OF 33 Note: The customer s returnable package is included in this clause. 5.4.A) Customer Production Tools Tools for production, testing, inspection, and equipment that belong to a customer shall b e permanently marked so that the owner identity is visually apparent and can be easily determined. 5.5) Product Preservation GE GEVISA S.A. preserves product conformity during the internal process and its delivery to the intended destination. This preservation includes identification, handling, packaging, storage and protection. Preservation is also applied to the parts that make up the product. 5.6) Control of Measurement and Monitoring Devices GE GEVISA S.A. determines the measurements and monitoring to be carried out and the necessary measurement and monitoring devices to show product conformity with specific requirements (see 4.2.1). GE GEVISA S.A. establishes the processes to ensure that measurement and monitoring can be carried out and are executed in a manner coherent with measurement and monitoring requirements. Whenever it is necessary to ensure valid results, the measurement device is: a) calibrated or verified at specified intervals or prior to use, and compared to traceable measurement standards and international and national measurement standards; when this standard does not exist, the basis used for calibration or verification shall be recorded; b) adjusted or readjusted, whenever necessary; c) identified to allow for the calibration situation to be determined; d) protected against adjustments that would invalidate the measurement result, and; e) protected from damage and deterioration during handling, maintenance and storage. Furthermore, GE GEVISA S.A. evaluates and registers the validity of prior measurement results when to evidence that the device does not conform with the requirements. GE GEVISA S.A. takes the appropriate measure with the device and with any affected product. Records will be kept of the calibration and verification results (see C-II-4). Computer software capacity is confirmed to satisfy the intended application when used in the measurement and monitoring of specified requirements. This is done prior to the initial use and reconfirmed if necessary.

27 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 11/22/2011 PAGE 27 OF 33 VI) MEASUREMENT, ANALYSIS AND IMPROVEMENT 1) Generalities GE GEVISA S.A. plans and implements the necessary processes for monitoring, measurement, analysis and improvement to: a) demonstrate product conformity, b) ensure quality management system conformity, c) continuously improve quality management system effectiveness, and This is to include the determination of applicable methods, including statistical techniques and the extent in which they will be used. 2) Measurement and Monitoring 2.1) Customer Satisfaction As one of the measurements of the quality management system s performance, GE GEVISA S.A. monitors information related to customer perception as to whether GE GEVISA S.A. attended to customer requirements. The methods for obtaining and using this information are determined. 2.2) Internal Audit GE GEVISA S.A. carries out internal audits at planned intervals to determine whether the quality management system: a) conforms with the planned arrangements, to the ISO 9001:2008 requirements, and to the quality management system requirements established by GE GEVISA S.A., and; b) is maintained and implemented effectively. An auditing program is planned, taking into account the situation and the importance of the processes and areas to be audited, as well as the results of previous audits. The auditing criteria, scope, frequency and methods are defined. The choice of auditors and the execution of the audits ensure objectivity and impartiality in the auditing process. The auditors do not audit their own work. The responsibilities and requirements for audit planning and execution and reporting the results and keep the records (see C-II-4) are defined in a documented procedure. The person responsible for the area to be audited ensures that the actions will be executed, without any undue delay, to eliminate any detected nonconformities and their causes. The follow-up activities include the verification of executed actions and the reporting of the verification results.

28 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 28 OF ) Process Measurement and Monitoring GE GEVISA S.A. applies the appropriate methods for monitoring and, when applicable, for measuring quality management system processes. These methods demonstrate the capacity of the processes to achieve the planned results. When the planned results are not achieved, the corrections are carried out and the Corrective Actions are executed, as necessary, to ensure product conformity. 2.4) Product Measurement and Monitoring GE GEVISA S.A. measures and monitors product characteristics to verify if the product requirements are satisfied. This is carried out in the appropriate stages of the product execution process according to the planned measure. Evidence of conformity with the acceptance criteria is kept. The records appoint the person(s) authorized to release the product (see C-II-4). Product release and service delivery do not continue until all planned measures have been satisfactorily concluded, unless these are approved in some other manner by a pertinent authority and, whenever applicable, by the customer. 3) Control of Nonconforming Products GE GEVISA S.A. ensures that products that do not conform with product requirements will be identified and controlled to avoid their unintentional use or delivery. The controls and related responsibilities and authorities to handle nonconforming products are defined in a documented procedure. GE GEVISA S.A. handles nonconforming products in one or more of the following ways: a) carrying out measures to eliminate the detected nonconformity; b) authorizing their use, release or acceptance under concession by a pertinent authority and, when applicable, by the Customer;

29 QUALITY MANAGEMENT SYSTEM UALITY 11/22/2011 SECTION C 08/09/2010 PAGE 29 OF 33 c) carrying out an action to impede their original intended use or application. Records are kept concerning the nature of the nonconformities and any subsequent actions that were carried out, including the obtained concessions (see C-II-4). When the nonconforming product is corrected, it is rechecked to demonstrate conformity with the requirements. When the product s nonconformity is detected after delivery or during initial use, GE GEVISA S.A. takes the appropriate measures with regard to the effects, or potential effects, of the nonconformity. 4) Data Analysis GE GEVISA S.A. determines, collects and analyzes the appropriate data to demonstrate quality management system effectiveness and fitness and to evaluate where continuous improvements of the quality management system s effectiveness can be carried out. This includes the data generated as a result of monitoring and measurement as well as from other pertinent sources. Data analysis supplies information related to: a) customer satisfaction; b) conformity with product requirements; c) characteristics and tendencies of processes and products, including opportunities for Preventive Actions, and; d) suppliers. 5) Improvements 5.1) Continuous Improvement GE GEVISA S.A. continuously improves quality management system effectiveness through the use of the quality policy, quality objectives, audit results, data analysis, corrective and Preventive Actions and critical analysis by management. 5.2) Corrective Actions GE GEVISA S.A. carries out Corrective Actions to eliminate the causes of nonconformities so as to avoid their repetition. The Corrective Actions are appropriate for the effects of the nonconformities that are found.

30 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 30 OF 33 A documented procedure is established to define the requirements for: a) the critical analysis of the nonconformities (including customer complaints); b) the determination of nonconformity causes; c) the evaluation of the need for measures to ensure that the nonconformities will not occur again; d) the determination and implementation of necessary measures; e) the registry of results from measures that were carried out (see C-II-4), and; f) the critical analysis of Corrective Actions that were carried out. 5.3) Preventive Actions GE GEVISA S.A. defines the measures to eliminate the causes of potential nonconformities in order to avoid their occurrence. The Preventive Actions are appropriate for the effects of the potential problems. A documented procedure is established to define the requirements for: a) defining potential nonconformities and their causes; b) evaluating the need for measures to avoid the occurrence of nonconformities; c) defining and implementing necessary measures; d) recording the results of carried out measures (see C-II-4), and; e) critically analyzing Preventive Actions that were carried out.

31 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 31 OF 33 VII) APPENDIX QMS Matrix Gevisa x GEE procedures x WI ISMWI Gevisa Resp. GEE Services procedure Work Instructions - Motors QM, QMS Routines Comite Scope (GEEQMS 1.0) QMS ISMWI-MGMT-00 Scope Normative Reference (GEEQMS 2.0) Terms, Definitions and Acronyms (GEEQMS 3.0) QM, QMS Routines Comite General Requirements (GEEQMS 4.1) QMS ISMWI-MGMT-03 General Requirements QM, QMS Routines Comite Documentation Requirements - General (GEEQMS 4.2.1) QMS ISMWI-MGMT-06 Documentation Requirements - General QM, QMS Routines Comite Quality Manual (GEEQMS 4.2.2) QMS ISMWI-MGMT-05 Quality System & Manual 2.01 Noronha Document Control (GEEQMS 4.2.3) QMS ISMWI-MGMT-07 Document Control 2.02 Marcel/ Maurício Record Control (GEEQMS 4.2.4) QMS ISMWI-MGMT-08 Record Control 2.13 Comite Management Commitment (GEEQMS 5.1) 2.13 A Mendes/ R Costa/ Fava Customer Focus (GEEQMS 5.2) 2.13 A Mendes/ R Costa/ Fava Customer Data Standard (GEEQMS 5.2.1) MQ Comite Quality Policy (GEEQMS 5.3) QMS ISMWI-MGMT-01 Quality Policy 2.13 Comite Quality Objectives (GEEQMS 5.4.1) QMS ISMWI-MGMT-02 Quality Objectives 2.13 Quality Quality Management System Planning (GEEQMS 5.4.2) MQ, rotinas SGQ Comite Responsibility, Authority and Communication (GEEQMS 5.5) QMS ISMWI-MGMT-15 Responsibility, Authority and Communication 2.13 Comite Management Review (GEEQMS 5.6) QMS ISMWI-MGMT-04 Management Review 2.11 Geraldo/ Fernanda Provision of Resources (GEEQMS 6.1) 2.11 Fernanda Competence, Awareness and Training (GEEQMS 6.2.2) QMS ISMWI-MGMT-13 Training 2.11 Geraldo/ Fernanda Controlled Titles (GEEQMS 6.2.3) QMS ISMWI-MGMT-25 Controlled Titles SGQ Fernanda Infrastructure and Work Environment (GEEQMS 6.3) Simone Real Estate Transactions (GEEQMS 6.3.1) QMS ISMWI-MGMT-16 Real Estate Transactions MQ, rotinas SGQ Comite Technical Regulations & Standards (GEEQMS 7.0.1)

32 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 32 OF Nelson New Product Introduction GEEQMS QMS ISMWI-MGMT-23 New Product Introduction 2.09 Mancia Planning of Product Realization (GEEQMS 7.1) 2.07 Nelson Lifecycle Control Board (GEEQMS 7.1.1) A Mendes/ R Costa/ QMS ISMWI-MGMT-19 Customer Related 2.06/ 2.16 Customer Related Processes (GEEQMS 7.2) Fava Processes 2.07 Ney Design and Development (GEEQMS 7.3) MQ, rotinas SGQ Comite Technical Design and Development Review (GEEQMS 7.3.4) 2.07 Ney Design and Development Validation (GEEQMS 7.3.6) 2.07 Ney/ Nelson/ Renato Product Safety (GEEQMS 7.3.8) 2.08 Calipo/ Fonaro Purchasing (GEEQMS 7.4) 2.09 Mancia Control of Production and Service Provision (GEEQMS 7.5.1) 2.09 Leite/ Detoni Work Instructions (GEEQMS ) 2.21 Leite/ Adaias Equipment Maintenance (GEEQMS ) 2.09/ 2.17 Leite/ Detoni Validation of Processes (GEEQMS 7.5.2) QMS ISMWI-MGMT-17 Validation of Processes 2.09 Sneideris/ Evaldo Identification and Traceability (GEEQMS 7.5.3) 2.6/ 2.16 Rubens/ Fava Customer Property (GEEQMS 7.5.4) QMS ISMWI-MGMT-20 Customer Property Leite/ Erika Preservation of Product (GEEQMS 7.5.5) 2.14 Mauricio F Control of Monitoring and Measuring Devices (GEEQMS 7.6) QMS ISMWI-MGMT-18 Control of Monitoring and Measuring Devices 2.12 Leite/ Detoni Measurement, Analysis and Improvement - General (GEEQMS 8.1) 2.13/ 2.12 Antonio/ Fava Customer Satisfaction (GEEQMS 8.2.1) QMS ISMWI-MGMT-21 Customer Satisfaction 2.03 Marcel Internal Audit (GEEQMS 8.2.2) QMS ISMWI-MGMT-10 Internal Auditing 2.12 Leite/ Detoni Monitoring and Measurement of Processes (GEEQMS 8.2.3) 2.09/ 2.12 Valmir Monitoring and Measurement of Product (GEEQMS 8.2.4) QMS ISMWI-MGMT-11 Monitoring and Measurement of Processes QMS ISMWI-MGMT-12 Monitoring and Measurement of Product and Services

33 UALITY QUALITY MANAGEMENT SYSTEM 11/22/2011 SECTION C 08/09/2010 PAGE 33 OF Marcel/ Maurício Control of Nonconforming Product (GEEQMS 8.3) QMS ISMWI-MGMT-14 Control of Non- Conforming Product 2.12 Leite/ Detoni Analysis of Data (GEEQMS 8.4) 2.12/ 2.05 Leite/ Detoni Continuous Improvement (GEEQMS 8.5) QMS ISMWI-MGMT-22 Continuous Improvement / Screening Matrix

34 Quality at GE Energy

35 Table of Contents GE Energy and Quality Visions 2 Our Customer Commitments 3-5 The Quality Organization and Policy 6-8 Quality Management System 9-11 Key Business Processes Quality Control Mechanisms ISO Cross-Reference Summary and Disclaimer GE Energy is one of the world's leading suppliers of power generation and energy delivery technologies in all areas of the energy industry including coal, oil, natural gas, and nuclear energy as well as renewable resources such as water, wind, solar, and alternative fuels. This manual provides an overview of the Quality Management System (QMS) that GE Energy has established to meet our commitment to quality. It describes the organization's key business processes as well as the mechanisms that have been put in place for effectiveness and control of these processes. GE Energy audits, monitors, measures, and analyzes these processes to achieve results based on customer and regulatory requirements and continually improves the effectiveness of its Quality Management System based on feedback. Scope: The GE Energy QMS applies across GE Energy and encompasses all of its products and services. The content of this Quality Manual is represented in formal procedures within GE Energy s Quality Management System. All GE Energy employees must comply with these procedural requirements. A listing of these procedures is available for all GE Energy employees in the GE Energy Procedures folder at This Quality Manual is intended to provide general information regarding GE Energy's Quality Management System. Not all of the processes described will necessarily apply to all customers. This Manual does not constitute any offer, obligation, or representation. GE Energy's responsibilities to its customer will be as set out in the contract between them. Our Customer Commitments - 1 GEEQM Rev 2.0 October 2011

36 GE Energy and Quality Visions GE Energy Powering Potential As one of the largest energy companies in the world, we are in the business of powering potential. Powering potential for our customers, whose problems we solve. Potential for their consumers, whose lives we enrich and whose dreams we help realize. Potential for our people, the men and women around the world who are our most important resource. Potential for our shareholders, who are invested in the success of our company. And above all, powering potential for the earth, because without responsible energy there can be no potential for the future. Quality at GE Energy The Vision We are driven by a passion for delivering on every commitment. We are dedicated to providing our customers the highest quality offerings with unparalleled customer service and responsiveness. We are committed to working through any problem in an open and honest manner always with unyielding integrity. GEEQM Rev 2.0 October GE Energy and Quality Visions

37 Our Customer Commitments Customer Satisfaction Our Passion, Our Commitment GE Energy is passionately committed to driving customer satisfaction with all products and services we offer and building long-term loyalty by working with our customers to help them be successful. Growth Values External Focus Defines success through the customer s eyes In tune with industry dynamics sees around corners Clear Thinker Seeks simple solutions to complex problems decisive Focus communicates clear and consistent priorities Imagination Generates new and creative ideas open to change Resourceful displays courage and tenacity Inclusiveness Teamwork respects other s ideas and contributions Creates excitement and drives engagement Expertise Domain depth credibility built from experience Continuously develops self loves learning Always with unyielding integrity! Our Customer Commitments - 3 GEEQM Rev 2.0 October 2011

38 Net Promoter Score (NPS) On a scale of 0 to 10, how likely would you be to recommend GE Energy? Detractors Passives Promoters Not at all likely Neutral Extremely likely Net Promoter Score = % Promoters (9s and 10s) % Detractors (0 through 6) GE Energy conducts two types of NPS surveys: Relationship NPS - Conducted periodically on a sample basis to gauge overall customer satisfaction with GE Energy Transactional NPS Ongoing surveys to gauge customer satisfaction on specific events or projects, such as an outage, part sale, or repair For each type of NPS survey, the Quality teams analyze the results (including comments) to identify key areas for improvement These teams work with regional, functional, and executive leadership teams to develop an integrated action plan to drive impactful improvement Action plans and subsequent results are reviewed routinely at all levels within the organization Net Promoter is a registered trademark of Bain & Company, Inc., Fred Reichheld and Satmetrix Systems, Inc. GEEQM Rev 2.0 October GE Energy and Quality Visions