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  • GEEnergyConnections

    QualityManagementSystem

    SupplierQualityRequirements

    UncontrolledwhenPrintedor

    TransmittedElectronically

    GEProprietary

    Page1Of31

    ECSRC0002Rev:3.1

    TableofContents

    1.0 Purpose/Scope/Timing................................................................21.1 ResponsibleRoles..........................................................................2

    1.2 ComplianceDate............................................................................3

    2.0 Procedure/QualityRecordRequirements......................................42.1 SupplierApproval..........................................................................4

    2.2 QualificationofSourcedDirectMaterial........................................4

    2.3 SupplierPerformanceManagement..............................................5

    2.4 SupplierResponsibilityGuidelines(SRG)......................................18

    2.5 FurtherRequirement...................................................................22

    2.6 QualityRecords(ifapplicable).....................................................23

    3.0 Definitions,AcronymsandReferences..........................................243.1 Definitions...................................................................................24

    3.2 SupportingDocuments................................................................26

    4.0 DocumentRevisionsandApprovals..............................................27

    5.0 AddendumA.................................................................................29

  • GEEnergyConnections

    QualityManagementSystem

    SupplierQualityRequirements

    UncontrolledwhenPrintedor

    TransmittedElectronically

    GEProprietary

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    ECSRC0002Rev:3.1

    1.0 Purpose/Scope/TimingThepurposeofthisprocedureistoestablishsupplierqualityrequirementsforEnergyConnections(EC)purchaseddirectmaterialsandservices.

    1.1 ResponsibleRoles Supplier

    Provideallparts,documents,andservicesasoutlinedinPurchaseOrder(PO),drawings,and/orspecifications

    Note:Unlessotherwisespecified,referstothecorporation,company,partnership,soleproprietorshiporindividualwithwhomECplacesaPurchaseOrder(PO).

    SupplierQualityEngineer(SQE)

    Communicatesqualificationandproductionqualityrequirementstosupplier

    Servesasthekeyinterfacewiththesupplier

    Communicatesqualificationacceptancetothesupplier

    Coordinatesprocessimprovements,nonconformingmaterialdispositions,correctiveactions,andsurveillanceauditing

    Note:TherolesandresponsibilitiesoftheSQEapplytotheProductQualityEngineer(PQE),QualityProcessEngineer(QPE)orotherbusinessequivalentGlobalSupplyChain(GSC)representative.

    SourcingRepresentative

    Negotiatesprice,delivery,termsandconditions

    PlacesthePOforqualificationandproduction

    Note:Therolesandresponsibilitiesofthesourcingrepresentativeapplytoasitecommodityleader(SCL),globalcommodityleader(GCL),buyer,orotherbusinessequivalentsourcingdelegate.

    ResponsibleEngineer

    Approvesnonconformancemanagement,documentchangesandqualificationrequirements

    CommunicationwiththeResponsibleEngineermustbedonewiththeknowledgeoftheSQE

    Note:ForthepurposesofthisdocumenttheResponsibleEngineerappliestotheDesignEngineer,MaterialsEngineer,WeldingEngineer,RepairEngineer,orotherEngineeringrepresentative.

  • GEEnergyConnections

    QualityManagementSystem

    SupplierQualityRequirements

    UncontrolledwhenPrintedor

    TransmittedElectronically

    GEProprietary

    Page3Of31

    ECSRC0002Rev:3.1

    1.2 ComplianceDate Fullcompliancefromallorganizationswithinscopeisexpectedatthetimeofissuanceofthis

    document.ThisdocumentreplacesandsimplifiestheformerGEEnergyspecificationP28AAL0002RevK,SupplierQualityRequirements.

    AnysystemorspecificationexceptionstoreferencesinthisdocumentmustbeapprovedbytheappropriateECrepresentativeanddocumentedaccordingly.

  • GEEnergyConnections

    QualityManagementSystem

    SupplierQualityRequirements

    UncontrolledwhenPrintedor

    TransmittedElectronically

    GEProprietary

    Page4Of31

    ECSRC0002Rev:3.1

    2.0 Procedure/QualityRecordRequirements2.1 SupplierApproval

    2.1.1 MinimumQualitySystemRequirements

    a. SuppliermustmaintainadocumentedqualitysystemtoensurecontrolandconformancetotherequirementsofECdrawingsandspecifications.

    b. ThisqualitymanagementsystemmustmeetcurrentISO9001(QualityManagementSystemsRequirements)standardsorequivalentapplicablestandardsasdeterminedbyEC.AnyexceptionstothisrequirementmustbereviewedandapprovedbytheECSQEduringthequalificationprocess.

    c. Compliancetothisrequirementmustbedemonstratedifrequestedthroughacurrentcertification(s)orsuccessfulcompletionofaqualitymanagementsystemsaudittothecurrentrequirementsofISO9001.ECreservestherighttorequirethisaudittobeconductedbyathirdpartyservicedesignatedbyEC.Thesupplierwillberesponsibleforallcostsassociatedwiththeaudit.

    d. Incaseofmodificationsoftheabovementionedcertification,thesuppliershallimmediatelynotifyGESQEresponsible.Modificationsinclude,butarenotlimitedto,thefollowingsituations:

    Anyactionbyeitherthesupplierorthesuppliersregistrarthatlimitsoralterstheconditionordurationofthesupplierscertification

    Renewal,upgrade,suspension,probation,expirationandterminationofthementionedcertifications

    2.1.2 SupplierApproval

    a. SupplierapprovalindicatesEChasperformedafinancial,legal,safety,andoverallsourcingriskassessmentofthesupplierandagreestomoveforwardwiththequalificationprocess.

    b. AsuppliermustbeapprovedperECSourcingQMSprocedurespriortoreceivingaPO.

    c. Documentsrequiredforapprovalmayincludebutarenotlimitedto:

    ProperlyexecutedMutualNonDisclosureAgreement(MNDA)

    AcknowledgementofcompliancewithECintegrityguidelines

    Completionandpassingofrequiredbusinessandtechnicalsurveys

    Adocumentedqualitysystem

    Technicalcapability

    EHScompliance/employment/securitypractices

    Financialviability

  • GEEnergyConnections

    QualityManagementSystem

    SupplierQualityRequirements

    UncontrolledwhenPrintedor

    TransmittedElectronically

    GEProprietary

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    ECSRC0002Rev:3.1

    Customerserviceaptitude

    Strategicvalue

    Regulatory(e.g.REACH,RoHS,WEEE,etc.)

    CyberSecurity

    2.2 QualificationofSourcedDirectMaterial2.2.1 MinimumQualitySystemRequirements

    a. POisthegoverningdocument,whichtransmitsECrequirementstothesupplier.ChangestoPOrequirementsshallnotbeacceptedbythesupplierwithoutaformalPOchangeoranapprovedSupplierDeviationRequest(SDR).Intheeventofaconflictbetweendocuments,orderofprecedencefromhighesttolowestis:

    PurchaseOrder

    PartDrawing(unlessbynote,drawingspecificallydeferstoaspecificationastheoverridingdocument)

    PartAcceptanceSpecification

    PartProcessSpecification

    MaterialSpecification

    GeneralRequirementsSpecifications

    b. Anyadditionalbusiness,customer,orproductspecificationswillbecommunicatedtosupplierbytheECSQEordesignatedrepresentative.Unlessotherwiseindicated,thelatestdocumentrevisionshallapply.

    2.2.2 ControlofSpecialProcess

    a. Aspecialprocessisanyprocesswheretheresultingoutputcannotbeverifiedbysubsequentmonitoringandmeasurementanddeficienciesbecomeapparentonlyaftertheproductisinuseortheservicehasbeendelivered.

    b. Suppliersmusthavespecific,documented,andcontrolledproceduresforeachspecialprocessperformed.

    c. ThesuppliershallestablishandmonitorprocessCTPs/CTQs.

    d. Onlyqualified/certifiedpersonnelshallbeassignedtoperformaspecialprocess.

    e. Thesuppliermustdevelopaspecifictrainingplanandchecktheperformanceoftheindividualassociateonaregularbasis.

    f. ECreservestherighttorequest,review,andapproveallspecialprocessprocedures,trainingdocuments,andcertificationrecords.

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    QualityManagementSystem

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    ECSRC0002Rev:3.1

    g. Processesidentifiedwithasterisks(**)arealwaysconsideredspecialprocesses.Otherslistedshouldbeconsideredasaspecialprocesswhenspecifiedinproductspecifications.1. BabbittingofBearings2. Brazing**3. Cleaning

    a) ChemicalImmersioncleaningprocessesb) GritBlastingc) Mechanicald) ThermalDeburre) Ultrasonic,Alkaline,andAqueousdegreaser

    4. Coatinga) Conformal**b) Diffusion**c) HighVelocityOxygenFuel(HVOF)**d) Paintinge) PlasmaSprayAir**f) PlasmaSprayVacuum**g) ThermalBarrier(TBC)**h) ThermalSpray**i) VacuumPlasmaSpray(VPS)**

    5. Electroplating**6. Heattreatment**

    a. QuenchTemperedb. Annealingc. Nitridingd. StressRelief

    7. LaserDrilling,Cutting,andMarking8. Macroetching9. Metallography10. NonDestructiveTesting/Examination(NDT/NDE)**

    a) EddyCurrentTestingb) FluorescentPenetrantInspection(FPI)c) Hydrostatictestingd) LiquidPenetrant(RedDye)e) MagneticParticleInspection(MPI)f) PulsedArrayUltrasonicg) ThermalInfraredh) ThermoelectricPotential(notperASNT)i) Ultrasonicj) XRay

    11. Pickling(RustRemoval)andEtching

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    QualityManagementSystem

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    ECSRC0002Rev:3.1

    12. PCBA(PrintedCircuitBoard)assemblyandmanufacturing13. Shotblasting/peeningincludingGASP14. Soldering15. SpinPitsColdSpin,HotSpin16. Welding**

    a) FluxCoredArc(FCAW)b) GasTungstenArc(GTAW)c) ShieldedMetalArc(SMAW)d) PlasmaArc(PAW)e) GasMetalArc(GMAW)f) Fusion

    17. DieCasting18. ForgingandHorForming19. MeltingandRawMaterialProduction20. NonConventionalMachining

    a. STEMDrillingb. ECM(ElectroChemicalMachining)c. ECDM(ElectroChemicalDischargeMachining)

    21. PlatingandSurfacePreparation

    2.2.3 ProcessSpecificRequirement

    a. NonDestructiveTesting/Examination(NDT/NDE)

    SuppliersandsubtiersuppliersperformingNDT/NDEasaprimaryvalueaddedprocessshallbequalifiedinaccordancewithECSRC0003,whenapplicable.

    b. Welding

    Suppliersandsubtiersuppliersperformingweldingasaprimaryvalueaddedprocesscanbecertifiedbyanapprovedthirdpartytoincludebutnotlimitedto:

    AWS(AmericanWeldingSociety)CertifiedFabricator

    ASME(AmericanSocietyofMechanicalEngineers)boilerandpressureVesselFabricationStampHolder

    CWBCertification

    Majorproofofqualification(ClassE)inaccordancewithEN1090part2Steelstructures,executionandmanufacturerqualification

    PED(PressureEquipmentDirective)Certification

    AISC(AmericanInstituteofSteelConstruction)Certification

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    ECSRC0002Rev:3.1

    Othersuitablecertifyingbodiesasdeterminedbyindustryandregionalstandards

    c. PCBA

    AllcontractmanufacturersproducingPCBAsforECmustmeetminimumrequirementsasoutlinedin105X1009.AdditionalrequirementscanbedefinedbyeachECsiteorbusinessintheformofECEngineeringtechnicalspecificationsorasnotesondrawings.

    Productandprocessqualitystandardsmustmeetallrequirementsspecifiedin105X1009forproductperformanceperIPC610Class2,unlessotherspecificbysiteordrawing.

  • GEEnergyConnections

    QualityManagementSystem

    SupplierQualityRequirements

    UncontrolledwhenPrintedor

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    Page9Of31

    ECSRC0002Rev:3.1

    2.2.4 SupplierQualification

    a. TheECqualificationteamisestablishedupfrontandconsistsofacrossfunctionrepresentativeofkeystakeholdersinthequalificationprocesswhichmayinclude,butisnotlimitedto,theSQE,designengineer,andmaterialsengineer.Thisteamdeterminesqualificationrequirements,qualificationtimelines,andhasfinalauthorityforqualificationsignoffasappropriate.

    b. ThequalificationprocessdemonstratesthesuppliersabilitytoprovidehighqualitypartsinaccordancewithECdrawings,specifications,andotherapplicablestandards.

    c. Qualificationsarerequiredfor,butarenotlimitedto,thefollowing:

    Aneworexistingsupplierismanufacturingproductionmaterialforthefirsttime

    Anexistingsupplierwhereadesign,process,orvolumechangeimpactstheprocessing,and/orform,fit,orfunctionoftheproduct

    Anexistingsupplierchangesitsmanufacturinglocationorwithlargevolumeincrease.

    Anexistingsupplierhasqualityissueswhichbringcurrentorpreviousqualificationsintoquestion

    AsrequiredbyEC

    d. AproductorservicemustbequalifiedperECSourcingQMSguidelinespriortothesuppliershippingproductsorprovidingservices.

    2.2.5 SubtierSuppliers

    a. Ifasupplieroutsourcesaproductorprocess,theyareresponsibletoqualifyandcontinuouslymonitorallsubtiersupplierstoECsupplierqualityrequirements.Thesamerequirementsapplytosuppliersservingassalesrepresentativesordistributors.

    b. TheplanneduseandmanufacturinglocationofanysubtiersuppliermustbeidentifiedinwritingtotheECqualificationteamduringthequalificationprocess.

    c. Uponsuccessfulqualificationoftheprimarysupplier,thesubtiersupplieridentifiedaspartofthatqualificationmustnotbechangedwithoutpriorapprovalfromEC.ThisrequirementshallalsobeapplicabletoECdirectedsubtiersuppliers.

    d. ECreservestherightto:

  • GEEnergyConnections

    QualityManagementSystem

    SupplierQualityRequirements

    UncontrolledwhenPrintedor

    TransmittedElectronically

    GEProprietary

    Page10Of31

    ECSRC0002Rev:3.1

    Reviewsuppliersprocessforapproval,qualification,andsurveillanceofsubtiersuppliers

    Approveordisapprovesubtiersupplierqualifications

    Auditandmonitorthesubtiersuppliersprocessesandfacilities

    2.2.6 ManufacturingProcessPlan(MPP)

    a. WhenrequiredbytheECqualificationteam,thesuppliermustprovideaMPPorequivalentdocumentation.Aftertheitemisqualified,theMPPisconsideredpartoftheproductionPOrequirementsevenifnotexplicitlyreferencedonthePO.TheMPPisaqualitydocumentwhichrequiresrevisioncontrolbythesupplier.

    b. UnlessotherwisedirectedbytheECSQE,theMPPmust,ataminimum,containthefollowinginformation:

    ListofallapplicableGEdrawings/specifications,orderingsheets,outlinedrawings,andspecialprocessspecifications/instructionsalongwiththelatestrevisionletter/number.Forbuildtospecificationitems,thesuppliershallprovidealistofallsupplierdrawingsandrevisions

    ListofWeldProcedureSpecifications(WPS)andProcessQualificationRecords(PQRorWPQR)usedinthemanufactureoftheitem

    Identificationofallcomponentpartsandsources

    Identificationofallsubtiersuppliersandtheirmanufacturinglocationstoinclude,butnotlimitedto,rawmaterialandanyspecialprocesssuppliers

    Sequenceplanofallmajormanufacturingandinspectionstepswithappropriatesignoffdocumentation.ECreservestherighttoviewandinspectallsupplierproprietaryprocessesanddocumentation.

    Manufacturinglocation

    VisualweldinspectionprocedureaccordingtoECSRC0004(whenapplicable)

    Revisionhistory

    2.2.7 ProductQualityPlan(PQP)/InspectionTestPlan(ITP)

    a. WhenrequiredbytheECqualificationteam,thesuppliermustprovidePQP/ITPorequivalentdocumentation.ThePQP/ITPmaybeincludedaspartoftheMPPorsubmittedasaseparatedocument.ThePQP/ITPisaqualitydocumentwhichrequiresrevisioncontrolbythesupplier.

  • GEEnergyConnections

    QualityManagementSystem

    SupplierQualityRequirements

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    ECSRC0002Rev:3.1

    b. UnlessotherwisedirectedbytheECSQE,thePQPmust,ataminimum,containthefollowinginformation:

    Clearidentificationofitem,component,orsystemtowhichPQPisapplicable

    Listingofalltechnicaldocumentsthatgoverntheinspectionortestactivity(i.e.supplierdocuments,GEspecifications,industrycodes/standards)

    Identificationofthetestorinspectioncriteriainanitemizedlisting.Eachlineitemmustinclude:

    Whatistobeinspected(tothecharacteristiclevel)

    Howitistobeinspected

    Whatfrequencyitistobeinspected

    Whentheinspectionortestistobeperformed(inmanufacturingprocess)

    Whoistoperformtheinspection(e.g.,Operator,Inspector,etc.)

    Acceptancecriteria

    Provisionforsignoffbythepart...

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