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Uncontrolled when printed or transmitted electronically Rev. 1 November 11

st 2011 Expire on: November 11

st 2014

UALITY

QUALITY MANUAL

QUALITY MANAGMENT SYSTEM

REFERENCE: ISO 9001 – REV.2008 GEEQM Rev 2.0

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Section Part Title Page # A Index page 02 and 03 B 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 C Quality Management System (QMS) Activities

I Quality Management System

1. General Requirements page 10 2. Process Mapping page 11

3. Process Matrix X Normative Elements page 12 4. Diagram of a Customer Oriented Process (COP) page 13 II Documentation Requirements 1. Generalities page 14 2. Quality Manual page 14 3. Document Control page 14 4. Control of Quality Records page 15 III Management Responsibility

1. Commitment page 15 2. Focus on the Customer page 15 3. Quality Policy page 15

4. Planning 4.1 Quality Objectives page 16 4.2 Quality Management System Planning page 16 5. Responsibility, Authority and Communication 5.1 Responsibility and Authority page 16 5.2 Management Representative page 16 5.3 Internal Communication page 17 6. Critical Analysis by Management 6.1 Generalities page 17 6.2 Critical Analysis Input page 17 6.3 Critical Analysis Output page 17 IV Resource Management 1. Resource Supply page 18

1.1. Human Resources 1.1.1 Generalities page 18 1.1.2 Competence, Awareness and Training page 18

1.2 Infrastructure page 19 1.3 Work Environment page 19

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V Product Execution

1. Product Execution Planning page 19 2. Processes Related to Customers 2.1 Determination of Product Related Requirements page 19 2.2 Critical Analysis of Product Related Requirements page 20

2.3 Communication with Customers page 21 3. Design and Development

3.1 Design and Development Planning page 21 3.2 Design and Development Inputs page 21 3.3 Design and Development Outputs page 22 3.4 Critical Analysis of Design and Development page 22 3.5 Design and Development Verification page 22 3.6 Design and Development Validation page 23

3.7 Control of Alterations in Design and Development page 23 4. Purchasing

4.1 Purchasing page 23 4.2 Information for Purchasing page 24 4.3 Purchased Product Verification page 24

5. Production and Service Supply 5.1 Production Control and Service Supply page 24 5.2 Process Validation and Service Supply page 25 5.3 Identification and Traceability page 25 5.4 Customer Property page 25 5.4a Customer Production Tools page 26 5.5 Product Preservation page 26 5.6 Control of Measurement and Monitoring Devices page 26 VI Measurement, Analysis and Improvement 1. Generalities page 27 2. Measurement and Monitoring 2.1 Customer Satisfaction page 27 2.2 Internal Audits page 27 2.3 Process Measurement and Monitoring page 28 2.4 Product Measurement and Monitoring page 28 3. Control of Nonconformance Products page 28 and 29 4. Data Analysis page 29 5. Improvements

5.1 Continuous Improvement page 29 5.2 Corrective Actions page 29 5.3 Preventive Actions page 30

VII Appendix

1. QMS Matrix – Gevisa x GEE procedures x WI ISMWI page 31

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I - DESCRIPTION This Quality Manual describes the GE-GEVISA S. A. Quality Management System that reflects the following norm requirements:

ISO 9001 Ed. 2008 – Quality Management System

EN 13980 – 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.

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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.

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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

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V- CERTIFICATION 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

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VI – ORGANIZATION CHART

Company Organization Chart

Commercial Finance

Sales Quality

Control

M&G

Technology

Human

Resources

Technical and

EHS Services

Industrial

Services

Industrial

General Manager

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QUALITY CONTROL DEPARTMENT ORGANIZATION CHART

Quality

System

Incoming inspection,

Metrologies and laboratories

QC eng /

In process inspection

Final test

Quality

Control

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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.

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2 – PROCESS MAPPING

Process Mapping

COP Process (Customer Oriented Process)

This process is being considered in each key process.

Inputs

Cu

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Quality Management System CONTINUOUS IMPROVEMENT

Outputs

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Management

Responsibility

Resource

Management

Measurement,

Analysis and e improvement

Product Execution

QM-section C- III

QM-section C- VI QM-section C- IV

QM-section C- V

Management

Process

Resources

Managment

Sales

Process

Design

Process

Sourcing Process Manufacturing

Process

Fina Test

Process

Expediting

Process

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ts)

Cu

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r (s

atisfa

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n)

COP process (customer oriented process)

Process is considered in each key process

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3 – PROCESS MATRIX X NORMATIVE ELEMENTS (*) PROCESSES ISO 9001:2008 STANDARD REQUIREMENTS

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Reference Documents

4.1 General Requirements QM, QMS Routines

4.2.1 Generalities QM, QMS Routines

4.2.3 Document Control QM, Routine 2.1

4.2.4 Quality Record Control QM, Routine 2.2

5.1 Management Commitment QM, Routine 2.13

5.2 Focus on the Customer QM, Routine 2.13

5.3 Quality Policy Quality Manual

5.4 Planning Routine 2.13

5.5.1 Responsibility and Authority QM, QMS Routines

5.5.2 Management Representative Routine 2.13

5.5.3 Internal Communication Routine 2.13

5.6 Critical Analysis by Management Routine 2.13

6.1 Resource Supply Routine 2.11

6.2 Human Resources Routine 2.11

6.3 Infrastructure QMS Routines

6.4 Work Environment Routine 2.11

7.1 Product Execution Planning Routine 2.9 / Routine 2.17

7.2 Processes Related to Customers Routines 2.6 and 2.16

7.3 Design and Development Routine 2.7

7.4 Purchasing Routine 2.8

7.5.1 Production Control and Service Supply Routine 2.9

7.5.2 Production Process Validation Routine 2.9

7.5.3. Identification and Traceability Routine 2.9

7.5.4 Customer Property Routines 2.6 and 2.16

7.5.5 Product Preservation Routine 2.10

7.6 Measurement and Testing Equipment Control Routine 2.14

8.1 Generalities Routine 2.12.

8.2.1 Customer Satisfaction Routines 2.13 and 2.12

8.2.2 Internal Audit Routine 2.3

8.2.3 Process Measurement and Monitoring Routine 2.12

8.2.4 Product Measurement and Monitoring Routines 2.09 and 2.12

8.3 Control of Nonconformance Product Routine 2.4

8.4 Data Analysis Routine 2.12

8.5.1 Continuous Improvement Routine 2.12

8.5.2 Corrective Action Routine 2.5

8.5.3 Preventive Action Routine 2.5

(*) To QMS Matrix – Gevisa x GEE procedures x WI ISMWI see the appendix on page 31.

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4 – COP DIAGRAM

Customer Interface

Management Process: Performs at interfaces between COPs and interfaces x Customer,

through the CRITICAL ANALYSIS BY MANAGEMENT

Expediting

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- Logistics Identif. and

Packaging and Delivery

Req.

Product delivery in correct

quantity, on-time,

identified and packaged.

Customer taken care of in

requirements

- Customer needs

(requirements):

- Non Declared Req.

- Regulatory Req.

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Production.

Planning

Internal Audit

Customer Input

Customer Output

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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 9001:2008. 2) 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.

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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;

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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.

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5.3) 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;

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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. 1.1.2) 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).

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1.2) 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;

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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.

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2.3) 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, e-mail 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.

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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).

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3.6) 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).

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4.2) 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.

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5.2) 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).

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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.

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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.

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2.3) 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;

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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.

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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.

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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)

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2.22 Nelson New Product Introduction GEEQMS 7.0.2 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)

2.06/ 2.16 A Mendes/ R Costa/ Fava Customer Related Processes (GEEQMS 7.2) QMS ISMWI-MGMT-19 Customer Related

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 7.5.1.1)

2.21 Leite/ Adaias Equipment Maintenance (GEEQMS 7.5.1.2)

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

2. 10 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)

QMS ISMWI-MGMT-11 Monitoring and Measurement of Processes

2.09/ 2.12 Valmir Monitoring and Measurement of Product (GEEQMS 8.2.4)

QMS ISMWI-MGMT-12 Monitoring and Measurement of Product and Services

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2.04 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

Quality at GE Energy

Our Customer Commitments - 1 GEEQM Rev 2.0 – October 2011

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 12-16

• Quality Control Mechanisms 17-18

• ISO Cross-Reference 19-22

Summary and DisclaimerGE 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 hasestablished to meet our commitment to quality. It describes the organization's key businessprocesses 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 QualityManagement 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 Proceduresfolder at http://library.ps.ge.com/quality/

This Quality Manual is intended to provide general information regarding GE Energy's QualityManagement 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 responsibilitiesto its customer will be as set out in the contract between them.

2 - GE Energy and Quality VisionsGEEQM Rev 2.0 – October 2011

GE Energy and Quality VisionsGE Energy – Powering PotentialAs 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 VisionWe 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.


Our Customer CommitmentsCustomer Satisfaction – Our Passion, Our CommitmentGE 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 ValuesExternal 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!


• 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® Score (NPS)

“On a scale of 0 to 10, how likely would you be to recommend GE Energy”?

0 1 2 3 4 5 6 7

Not at all likely

Neutral Extremelylikely

8 9 10

Detractors Passives Promoters

Net Promoter

Score

% Promoters(9s and 10s)

% Detractors(0 through 6)= –

Net Promoter® is a registered trademark of Bain & Company, Inc.,Fred Reichheld and Satmetrix Systems, Inc.


Customer Requirements• GE Energy understands customer requirements associated with its products and services

including those associated with their delivery and ongoing support.

• This understanding will come from what is stated in the contract, defined by applicable

statutory and regulatory authorities, and the customer’s intended use of the product or service.

• GE Energy has established channels for effective communication of customer requirements

as well as changes thereto throughout its organization.

Regulations and Standards• Ensuring compliance with the applicable Regulations and Standards for every region where its

products and services are sold is of paramount importance to GE Energy.

• Management teams at all levels in the business are engaged in a continually improving

process of reviewing the regulatory landscape, understanding technical applicability, training,

auditing, and rigorous adherence to policies and procedures with the ultimate goal of ensuring

that products and services are compliant with the applicable laws and regulations of the

region and locally where they are being sold.

• GE Energy understands that its customers count on GE to provide products that are

compliant and is committed to meeting that expectation.


QualitySupport FunctionsProduct Lines

GE EnergyPresident & CEO

The Quality OrganizationMore detailed organization structure documentation is available upon request.

Quality Policy• Every GE Energy employee must be committed to:

– Passionately driving customer satisfaction with all products and services we provide, and

building long-term loyalty by partnering with customers to help achieve their success.

– Ensuring strict compliance with laws and regulations pertaining to the quality, safety and

performance requirements in every country where GE Energy’s products and services

are offered.

– Sustaining continuous improvement in the effectiveness of GE Energy’s Quality

Management System.

• These commitments will be met with the highest integrity, through clearly documented

quality objectives, routine quality management reviews and an all-encompassing Quality

culture that employs the Lean Six Sigma methodology.

The Quality Organizationand Policy


Management’s Commitment to QualityExecutive leadership at all levels of GE Energy deliver on their commitment to the successful

development and implementation of the QMS and continually improve its effectiveness by:

• Deploying the Energy Quality Policy

• Establishing measurable quality objectives that enhance customer satisfaction

• Communicating to the business the importance of meeting customer and regulatory requirements

• Conducting management reviews at appropriate levels within the organization

• Ensuring the business has all of the resources it needs to achieve the goals of the QMS

Quality is everyone’s responsibility!

CEO Metrics – The “Big Ys”• What are the Big Ys?

– Quality Systems and Documentation

– Fulfillment

– Issue Resolution

– Billing Quality

– New Product Introduction (NPI) Execution

• The Ys are determined through customer feedback and defect trends

• They have operational targets and Lean Six Sigma projects assigned to them

• They are tracked through weekly team reviews, monthly CEO reviews, quarterly

operational reviews, and annual progress reports and validation


Review rhythm … how we track ourselves Customer quality and regional reviews• Customer overview and regional outlook

• Customer issues

• 12-month outlook

– Projected problem areas

– Structural impediments to growth

• Receivables … collections/past dues

NPI reviews• Product line updates

• Financials: orders, sales, and costs

• Status of actions to improve cycle time,

commercialization effectiveness,

cost, and sourcing

• Standing leadership tollgate review

CEO metric reviews• Reviewing the Big Ys

• Business deep dives

• Focused improvement areas

• Communicating data status and trends …

driving personal accountability

Process improvement reviews• Financial accountability

• Quarterly review of all active projects


Quality Management SystemFocusing on the Basics for a Strong QMS

Document Control• With respect to controlled documents, GE Energy defines, establishes, and maintains document

control methods to enable users to readily identify and access the current revision of all such

documents. Document management systems store current versions of such documents by

unique identifier and revision level.

• Controlled documents need to be:

– Legible

– Identifiable

– Retrievable

• A documented procedure defines controls for both internal and externally supplied controlled

documents that include:

– Identification – Retrieval

– Storage – Retention time

– Protection – Archival and disposition

– Access authorization

The requirements regarding Document Control have been defined in procedure GEEQMS 4.2.3 – Document Control.

High QualityDocumentsand Drawings

Trainingand Staffing

Auditing andMonitoring

Continuous Improvement


Training and People• GE Energy assigns resources to:

– Plan, develop processes, and deliver products to meet or

exceed customer requirements

– Maintain and continually improve the quality management

system, and

– Enhance delivered quality and customer satisfaction

• GE Energy managers are committed to deploying personnel

that are proficient in the procedures and technical capabilities

required for the activities they are assigned.

• GE policies regarding Employee Health and Safety and

Environmental Protection define implementation of requirements

for adequate and safe facilities and plant activities.

AuditingFocus for Internal Audits• Compliance with GE Energy’s Quality Management System requirements

• Test effectiveness of process: does the process work as intended and are

results achieved?

• Planning based on status and importance of the process as well as results of

previous audits

• Audit results, including timeliness and effectiveness of Corrective and Preventive

Actions, are reviewed by management at all levels of the organization

Audit Mechanisms• Local audits: for high frequency, detailed process assessments

• Independent internal audits: full-time and volunteer auditors

driving cross-organizational learning

• Customer and registrar audits

Audits are performed to several applicable industry standards. Certification details are available upon request.

The requirements regarding Internal Audit have been defined in procedure GEEQMS 8.2.2 – Internal Audit.


Monitoring and Measurement• Organizations within GE Energy define and implement monitoring and measurement needed

to demonstrate conformity of product and the quality management system, and to identify

opportunities for improvement by:

– Setting specific and measurable quality objectives and verifying that these objectives are

being achieved within the specified timeframes

– Verifying that product requirements are met at the appropriate stages of production and/or

service provision through in-process inspection and testing

Continuous Improvement• GE Energy continually improves the effectiveness of its QMS through:

– quality policy

– quality objectives

– collection and analysis of nonconformance data

– determination of root cause

– corrective and preventive actions

– management reviews

• GE Energy utilizes Lean Six Sigma methodologies and tools along with

traditional quality management activities to drive sustainable improvements.

Corrective and Preventive Action• In order to drive sustainable Corrective and Preventive Action, GE Energy has established and

maintains a process for Continuous Improvement of its products, services, and processes. This

process defines requirements for:

– Screening nonconformances, including customer complaints, audit findings, and results of

internal and external quality control mechanisms

– Analyzing and determining the causes of the nonconformances

– Evaluating the need for corrective and preventive action—to prevent recurrence of the

nonconformances and to prevent occurrence in related areas

– Determining and implementing the actions needed

– Verifying the effectiveness of the actions taken

The requirements regarding Corrective Action and Preventive Action have been defined in procedure GEEQMS 8.5 - Continous Improvement.


Purchasing Specifications

FINANCIALMANAGEMENT

Management Processes

STRATEGICPLANNING

HUMANRESOURCE

MANAGEMENT

Support Processes

SECURITY OF PERSONNEL,

FACILITIES AND EQUIPMENT

QUALITYMANAGEMENT

INFORMATIONMANAGEMENT

Business Processes

NEW PRODUCT INTRODUCTION

Customer

Customer

Sales Manager

Partner

Suppliers BUILD PRODUCT/DELIVER SERVICE

PURCHASING AND SUPPLIER MANAGEMENT

ORDER TO REMITTANCE

CONSTRUCT PROPOSALS AND SUPPORT SALES

TECHNICALCUSTOMERSUPPORT

INQUIRY TO ORDER

New ProductsNew Products New ProductsMarket Feedback

Proposal

CommercialAgreements

Signed Contract

Build Plan

Purchase Order

Product/Service

Request for Tender

Product/ServiceDefinition

Supplier Purchasing Contracts

WBS (WorkBreakdown Structure)

Product/ServiceDelivery

SupportRequest

Key Business Processes


Sales

Marketing

Commercial Operations

Risk Management

Pricing

Engineering

Sourcing

Production

Quality

Finance

Contract Management

EHS

Owner Contributor

Opportunity Identification

OpportunityScreening

ProposalDevelopment

SubmissionApproval

NegotiatedTerms Approval

Hand-offto OTR

Inquiry-to-Order (ITO)

Process Phase

Risk Review R0 R1 R2 R3

1 2 3 54

Inquiry-to-Order (ITO)

Inquiry-to-Order Process• Inquiry-to-Order (ITO) at GE Energy provides a standard and consistent process for developing

commercial opportunities. GE Energy follows a risk review process to balance customer

requirements with GE capabilities and the ability to manage any identified risk.

• The ITO process is divided into 5 phases:

– Opportunity identification and screening

– Opportunity screening and bid/no bid decisions

– Quote and proposal development, submission approval

– Negotiated price and terms approval

– Hand-off to the Order-to-Remittance process


Project Management

Engineering

Sourcing

Production

Finance

Quality

Owner Contributor

ResourceAllocation

Procurement

ProductRealization Fulfilment

Receipt ofPayment

Order-to-Remittance Process

1 2 53 4

Order-to-Remittance (OTR)

Order-to-Remittance Process• The Order-to-Remittance (OTR) process covers the execution of a sales contract from the time

that the order is initiated to the time that final payment is received.

• The OTR process is divided into 5 phases:

– Resource allocation - that includes detailed technical definition as well as planning and

scheduling of equipment, material and human resources

– Procurement - of material resources to complete the order

– Product realization - where in acquired resources are transformed into final product

– Fulfillment - where in the product is delivered to the customer specified location and

the terms of the contract are fulfilled

– Receipt of Payment

• Throughout the process, control points are in place to verify and validate whether customer

and regulatory requirements are met.


Product Management

Opportunity Identification

Product Options

ConceptualDesign

PreliminaryDesign

DetailDesign

Initial ProductionFactory Test

Field ValidationSerial Production

Measurement and Feedback

MarketingProgram Management

EngineeringSales

ProductionCommunications

SourcingServicesQuality

FinanceLegal

Owner Contributor

New Product Introduction Process

71 2 5 6 83 4

New Product Introduction (NPI)

New Product Introduction Process• New Product Introduction spans the entire product development cycle from the identification

of a new business opportunity to the post commercial introduction of the new product.

• Execution teams exist for every defined program. Teams are responsible for achievement of all

commercial and technical product objectives, including:

– Meeting the product development and marketplace introduction schedules

– Product performance, program cost, product cost, and financial objectives

– Validation and verification performed throughout the process to confirm

product meets requirements

• Management reviews are utilized to continuously assess if the program is

fulfilling requirements.


Supplier Approval ProcessApproved to do business with GE …

• Quality

• EHS/Labor

• Finance

• Technical Capability

Supplier QualityGE Energy expects the same high quality standards from our external suppliers as we produce internally.

GE Energy’s Sourcing function has established rigorous processes around supplier quality and oversight

to enable and verify this quality level for all sourced components and services.

Qualification ProcessReleased for Production

• Product Compliance

• Process Capability

Surveillance ProcessSustaining Quality …

• Monitoring

• Auditing

• Mutual Non-Disclosure Agreement– Protects proprietary information for both parties

• Integrity Acknowledgement– Supplier’s commitment to comply with GE’s requirements

• EHS (Environmental, Health, Safety) Questionnaire– Provides basic EHS data for evaluation of EHS practices

• General Supplier Profile– Basic data to support quality, financial viability,

and overall risk

• Critical hardware requires– Characteristic accountability

– Product quality plan, manufacturing process plan

– Process risk (FMEA)

• Team approvals required – Supplier quality engineer, design engineer,

materials engineer

• Periodical Surveillance Required– Quality systems assessment (if not ISO certified)

– Product audit - compliance to technical requirements

– Process audit - compliance to special processes

• Additional audit/inspection requirements defined by:– Customer requirements, risk, supplier performance, defects


Quality Control MechanismsRecord Control• GE Energy defines, establishes, and maintains records to provide evidence of conformity

to requirements and the effectiveness of their QMS

• Records need to be:

– Legible

– Identifiable

– Retrievable

• Documented procedures define controls for:

– Identification

– Storage

– Protection

– Retrieval

– Retention time

– Disposition of records

The requirements regarding Record Control have been defined in procedure GEEQMS 4.2.4 – Record Control.


Control of Monitoring and Measuring Devices• GE Energy utilizes a wide variety of Measuring and Test Equipment (M&TE) to inspect and

measure product quality in development, production, and service work. This includes

measuring instruments, software, measurement standards, reference material, and

auxiliary apparatus or combination thereof.

• The M&TE is calibrated at specified intervals or prior to use against measurement standards

traceable to NIST or equivalent international or national standards. If no such standards exist,

the basis used for calibration is recorded. The calibration status is visually identifiable and a

register is maintained of all M&TE requiring calibration. MT&E is protected from damage and

deterioration during handling, maintenance, and storage.

• When M&TE is found not to conform to requirements or an out of tolerance condition

occurs, appropriate actions are taken.

Control of Nonconforming Product• A product or service is considered nonconforming when it does not meet specified

requirements. Once identified, nonconformances are recorded and dispositioned

through GE Energy’s quality systems.

• Recorded nonconformances are reviewed regularly for the purpose of understanding

the defect and providing a basis for continuous improvement.

The requirements regarding Control of Nonconforming Product have been defined in procedure GEEQMS 8.3 – Control of Nonconforming Product.

Quality at GE Energy – The VisionWe 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.

Section ISO Mandatory Procedure

1 Scope

1.1 General GEEQMS 1.0-Scope

1.2 Application GEEQMS 1.0-Scope

2 Normative Reference GEEQMS 2.0-Normative Reference

3 Terms, Definitions and Acronyms GEEQMS 3.0-Terms, Definitions and Acronyms

4 Quality Management System

4.1 General Requirements GEEQMS 4.1-General Requirements

4.2 Documentation Requirements

4.2.1 General GEEQMS 4.2.1-Documentation Requirements-General

4.2.2 Quality Manual GEEQMS 4.2.2-Quality Manual

4.2.3 Control of Documents GEEQMS 4.2.3-Document Control

4.2.4 Control of Records GEEQMS 4.2.4-Record Control

5 Management Responsibility

5.1 Management Commitment

a.GEEQMS 5.5-Responsibility, Authority and Communication; section 4.1.2.d

b. GEEQMS 5.3-Quality Policy

c. GEEQMS 5.4-Planning; section 4.1

d. GEEQMS 5.6-Quality Management Review

e.GEEQMS 5.5-Responsibility, Authority and Communication section 4.1.2.c

5.2 Customer Focus GEEQMS 7.2-Customer Related ProcessesGEEQMS 8.2.1-Customer Satisfaction

5.3 Quality Policy GEEQMS 5.3-Quality Policy

5.4 Planning

5.4.1 Quality Objectives GEEQMS 5.4-Planning

5.4.2 Quality Management System Planning GEEQMS 5.4-Planning


The numbering structure of the procedures in GE Energy’s Quality Management System follows the ISO

9001 standard. Refer to table 1 for a cross-reference of ISO 9001:2008 sections to corresponding

GE Energy QMS procedures.

ISO Cross-Reference

Table 1



5.5 Responsibility, Authority and Communication

5.5.1 Responsibility and Authority GEEQMS 5.5-Responsibility, Authority and Communication

5.5.2 Management Representative GEEQMS 5.5-Responsibility, Authority and Communication

5.5.3 Internal Communication GEEQMS 5.5-Responsibility, Authority and Communication

5.6 Management Review

5.6.1 General GEEQMS 5.6-Quality Management Review

5.6.2 Review Input GEEQMS 5.6-Quality Management Review

5.6.3 Review Output GEEQMS 5.6-Quality Management Review

6 Resource Management

6.1 Provision of Resources GEEQMS 4.1-General Requirements; section 4.2.4

6.2 Human Resources

6.2.1 General GEEQMS 6.2.2-Competence, Awareness and Training

6.2.2 Competence, Awareness and Training GEEQMS 6.2.2-Competence, Awareness and Training

6.3 Infrastructure GEEQMS 6.3-Infrastructure and Work Environment

6.4 Work Environment GEEQMS 6.3-Infrastructure and Work Environment

7 Product Realization

7.1 Planning of Product Realization GEEQMS 7.1-Planning of Product Realization

7.2 Customer Related Processes

7.2.1Determination of RequirementsRelated to the Product

GEEQMS 7.2-Customer Related Processes

7.2.2Review of Requirements Related to the Product

GEEQMS 7.2-Customer Related Processes

7.2.3 Customer Communication GEEQMS 7.2-Customer Related Processes

7.3 Design and Development

7.3.1 Design and Development Planning GEEQMS 7.3-Design and Development

7.3.2 Design and Development Inputs GEEQMS 7.3-Design and Development

7.3.3 Design and Development Outputs GEEQMS 7.3-Design and Development

7.3.4 Design and Development Review GEEQMS 7.3.4-Technical Design and Development Review

7.3.5 Design and Development Verification GEEQMS 7.3-Design and Development

7.3.6 Design and Development Validation GEEQMS 7.3.6-Design and Development Validation

7.3.7Control of Design and DevelopmentChanges

GEEQMS 7.3-Design and Development



7.4 Purchasing

7.4.1 Purchasing Process GEEQMS 7.4-Purchasing

7.4.2 Purchasing Information GEEQMS 7.4-Purchasing

7.4.3 Verification of Purchased Product GEEQMS 7.4-Purchasing

7.5 Production and Service Provision

7.5.1Control of Production and Service Provision

GEEQMS 7.5.1 - Control of Production and Service Provision

7.5.2Validation of Processes for Production and Service Provision

GEEQMS 7.5.2-Validation of Processes

7.5.3 Identification and Traceability GEEQMS 7.5.3-Identification and Traceability

7.5.4 Customer Property GEEQMS 7.5.4-Customer Property

7.5.5 Preservation of Product GEEQMS 7.5.5-Preservation of Product

7.6 Control of Monitoring and Measuring Devices GEEQMS 7.6-Control of Monitoring and Measuring Devices

8 Measurement, Analysis and Improvement

8.1 General

a. GEEQMS 8.2.4-Monitoring and Measurement of Product

b. GEEQMS 8.2.2-Internal Audit

c. GEEQMS 8.5-Continuous Improvement

Note “determination of statistical techniques and extent of their use”

GEEQMS 8.4-Analysis of Data

8.2 Monitoring and Measurement of Processes

8.2.1 Customer Satisfaction GEEQMS 8.2.1-Customer Satisfaction

8.2.2 Internal Audit GEEQMS 8.2.2-Internal Audit

8.2.3Monitoring and Measurement ofProcesses

GEEQMS 8.2.3-Monitoring and Measurement of Processes

8.2.4Monitoring and Measurement of Product

GEEQMS 8.2.4-Monitoring and Measurement of Product

8.3 Control of Nonconforming Product GEEQMS 8.3-Control of Nonconforming Product

8.4 Analysis of Data GEEQMS 8.4-Analysis of Data

8.5 Improvement

8.5.1 Continual Improvement GEEQMS 8.5-Continuous Improvement

8.5.2 Corrective Action GEEQMS 8.5-Continuous Improvement

8.5.3 Preventive Action. GEEQMS 8.5-Continuous Improvement


GE Energy QMS procedures beyond ISO 9001GE Energy chooses to utilize the rigor of its Quality Management System to control key aspects of its

business processes beyond the requirements of the ISO 9001 standard. Procedures that define

requirements for these processes have been numbered with reference numbers that do not have an

equivalent in the ISO 9001 standard. Examples of this include GEEQMS 5.2.2 – Know Your Customer and

GEEQMS 6.3.1 – Real Estate Transactions.

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