GE Power Conversion - Supplier Approval Audit Checklist Rev 02

Scoring done on (DD.MM.YY)

Prepared by Function / Pole

GE Sourcing contact (SSO)

Company Contact & Location

Supplier Name Woods Air Movement Ltd
Supplier Site Axial Way, Colchester, Essex, CO4 5ZD 2nd Contact Names / Phone No. or e-Mail:
Contact Names / Title Alison Wreford / Key Accounts & After Market Lead
Phone No. and / or e-Mail 01206 222519 / [email protected]
GSL number
Local ERP vendor code
eSMS report number
Primary processes performed

Actual Manufacturing Location (if different from Order Point)

Supplier Name
Supplier Site
Contact Names
Phone No. and / or e-Mail

CHECK APPLICABLE CHECK APPLICABLE

Survey Type Technical / Process Surveys Completed
X On Site Tool builder
Self-Assessment Printed Circuit Board Assembly (PCBA)
X Paint Finishes (Powder Coat, e-Coat, Enamel)
Supplier Type Heat Treatment
X Direct Plating / Hydrogen Embrittlement
Sourced X Mechanical Assembly
Distributor: Non-Catalog parts Stamping
Holding / Trading / Broker Molding
Sub-Tier
Direct / Sourced Sub-Tier Springs
Castings
Harnesses
Vendor Held Tooling
Current Transformers
Steel and Service Centers
PCB
Other if 'Other' please sp
GE Power Conversion - Supplier Approval Audit Checklist Copyright 2020 General Electric Company
Scoring done on (DD.MM.YY) observation
strenght
Prepared by 0 Function / Pole 0

Company Contact
Supplier Name Woods Air Movement Ltd
Supplier Site Axial Way, Colchester, Essex, CO4 5ZD
Contact Names Alison Wreford / Key Accounts & After Market Lead
Phone No. and / or e-Mail 01206 222519 / [email protected]

ID Section 1.0

I. GENERAL BUSINESS / COMMERCIAL Expected Documents

ISO 9001 reference N/A Org Chart for Business and for the Quality Team Score
Improvement
I.1 Organization & Management 4.1 General requirements Type ### Comments/Deficiencies
I.1

0 ### HR/Elliott for org chart 0

I.1.1 Provide updated organization chart for your business and identify key responsibilities. 4.1 General
Identify the members of the Quality Team (# Of employees and # of Quality Personnel). requirements 5 members of Quality team - QHSE Manager, Quality Eng and 2 Quality
### Technicians

I.1.2 Identify the point of contact for GE: project management, quality, customer service, legal compl Alison Wreford, Tim Neal, Graeme Partridge, Phil Walker
###
I.1.3 Are technical, technology, quality and commercial contacts towards GE able to communicate in e ### Yes
I.1.4 Who are your major customers? Do your customers measure you? How? ### BAE Systems, Babcock Internationl. Quarterly scorecard.
I.1.5 How are your productivity gains shared with customers? ### Elliott

I.1.6 Do you have a formalized program for cost reduction and waste elimination? 8.5.1 Continual
Elliott
Do you pass cost savings to your customers? improvement ###
I.1.7 How are projects generated, tracked and driven to completion? ###
Elliott
What methods, processes, and tools do you use to generate productivity opportunities? ###
I.1.8 Which components, materials, subassemblies, and manufacturing processes restrict your
flexibility to Elliott
respond to customers mix and volume changes? What actions are being taken to address them?
I.1.9 Do you track the following data internally? a) On time shipment; b) Availability by product /
sku; Yes
c) After market / replacement parts availability; d) Service Call Rate, or Field Failure rates

I.1.10 What is your normal work schedule (days of the week/shift hours)? Does it allow overtime? Elliott

0
Y
N ISO 9001 reference Sample of Business Objectives Chart/ or Report Score
5. Management Improvement
Type Comments/Deficiencies
I.2 Operational goals responsibility
5.1 Management
I.2.1 Describe your major competencies and your business strategy. Axial fan manufacturing, assembly & decoration
commitment
I.2.2 What is your company mission and current year business objectives? How have your business
objectives 5.6 Management review Elliott
changed over the years? Describe your short term and long term business strategy.

I.2.3 How does being a supplier for GE fit into your overall strategy? Elliott

0
Section 2.0
II. QUALITY MANAGEMENT
Copy of ISO Certification if available, Quality Policy,
ISO 9001 reference Sample of Management Review or equivalent, Quality goals. Score
5. Management Improvement
Type Comments/Deficiencies
II.1 Management Responsibility responsibility
II.1.1 Do you have an ISO9001, TS16949 or other quality management system certification? ISO9001, ISO14001 0
II.1.2 Do documented Quality goals/objectives and Quality Policy exists? Are they appropriate and
challenging 5.4.1 Quality objectives Yes
for the business and the organization? (verification of quality goals)
II.1.3 Provide evidence of internal and external quality metrics, along with the latest Management
Review 5.6 Management review Attached
(if not ISO certified: similar document) and results.
II.1.4 How is the importance of quality communicated to all level of employees (examples)?
What evidences are provided of the management commitment to the quality? Are quality 5.1 Management
Quality Policy and training sign offs
responsibility commitment
and authority clearly defined and communicated?
II.1.5 What is the process to react on unexpected quality events (who has the right to stop
Everyone has the right to stop production - stop and fix
production)?
II.1.6 What level of involvement does the management team have in dealing with quality issues?
Issues are handled at various levels of the business depending on severity
Is the Quality Manager expected to handle and resolve all issues?
II.1.7 Do you maintain emergency inventories of raw materials, WIP, and finished goods? Yes

II.1.8 What is your customer on-time fill rate? On-time delivery? Elliott

II.1.9 Supplier shall provide evidence that risk management meets the principles and guidelines ISO AQAP ONLY
31000:2009 Appendix A

II.1.10 Supplier shall ensure that their audit programme covers all contract related critical processes
AQAP ONLY
and activities on an annual basis and includes contractual requirements and NATO supplements.
Appendix A
Supplier shall also consider the output from the actions to address risk and opportunities assessment.

AQAP ONLY
II.1.11 Supplier shall inform GE PC of deficiencies or findings identified during internal audit.
Appendix A

AQAP ONLY
II.1.12 Supplier shall appoint a management representative for GQA issues
Appendix A

II.1.13 Supplier shall notify GE PC of proposed action, resulting from Review Output that will affect AQAP ONLY
compliance with contractual requirements. Review output shall, where action item(s) are identified, Appendix A
specify the responsible person/function and due date of the action item(s).
 0
Quality Manual, Quality Control Plan, Work Instructions, Process
ISO 9001 reference Flowchart for Change Control Process, Master Part List or BOM Score
4.2 Documentation Improvement
Type Comments/Deficiencies
II.2 Documentation requirements
II.2.1 Do you have an approved Quality Manual? 4.2.2 Quality manual Yes

7.5.1 Control of
II.2.2 Are Work Instructions clearly posted at the working stations in the appropriate language? production and service Yes
provision

II.2.3 Do you have Quality Control Plans and Process Flow Charts for each part? Yes
4.2.3 Control of
II.2.4 Do all posted documents show revision and date? Are all posted documents up to date? Yes
documents
Manuscript (BOM) is controlled by Engineering and Change Management is in
II.2.5 Describe how you maintain up to date, correct Bill of Material?
place.
II.2.6 Supplier shall establish, document, implement, assess and improve an effective and economical
QMS in accordance to this publication including the requirements of ISO 9001:2015 specifically: - AQAP ONLY
1) Availability of Project Quality Plan in line with AQAP 2105 Appendix A
2) Current ISO 9001:2015 Certification

AQAP ONLY
II.2.7 Supplier shall provide GE PC with a Certificate of Conformity at release of product
Appendix A
II.2.8 Supplier shall have prepared a Configuration Management Plan (CMP) which describes the
AQAP ONLY
application of CM to the contract in accordance with ACMP 2100 or nationally recognised equivalent.
Appendix A
The CMP may form part of another plan if appropriate.
II.2.9 Supplier shall establish and implement a process for the avoidance, detection, mitigation, and AQAP ONLY
disposition of Counterfeit Materiel. Appendix A
II.2.10 Supplier shall establish and maintain criteria for workmanship in the clearest practical manner AQAP ONLY
(e.g. written standards, representative samples or illustrations). Appendix A

AQAP ONLY
II.2.11 Documented information of the management review output, related to the contract shall be ava
Appendix A
II.2.12 Supplier shall issue and implement documented procedures which identify, control and
AQAP ONLY
segregate all nonconforming products. Product with unidentified or unknown status shall be classified
Appendix A
as nonconforming product
II.2.13 The Suppliers Project Quality Plan shall include the requirement that they retain documented
AQAP ONLY
information of quantity authorized and/or expiration date for concessions or deviation permits. The
Appendix A
Supplier shall ensure compliance with the contract requirements when the authorization expires.
II.2.14 Suppliers Project Quality Plan shall include a requirement to notify GE PC of non-conformities AQAP ONLY
and corrective actions required. Appendix A

II.2.15 The Suppliers Project Quality Plan shall include the requirement shall notify GE PC of AQAP ONLY
nonconforming product received from a critical external Source Appendix A

II.2.16 Suppliers Project Quality Plan shall include the requirement that appropriate authorisations
AQAP ONLY
(SDR) from GE PC shall be obtained where it is proposed to raise a concession for the use, release or
Appendix A
acceptance of a nonconforming product, outsourced process or purchased product.
0
Formal Internal & External Change Control Procedures.
Signed Change Notice Policy with GE, and for Suppliers.
Revision control: matching BOM - Drawing Revision - Production
ISO 9001 reference part Score
Improvement
Change Control 4.2.3 Control of documents Type Comments/Deficiencies
II.3
II.3.1 What is the part change control procedure (part drawings and internal documents)? Who is
4.2.3. Control of Internal Docs controlled by Quality via Document Control Procedure
responsible?
documents Part Drawings controlled by Engineering vis Change Management procedure
How is it documented and communicated?
II.3.2 Who physically changes documents or computer files? Is there a master file / BOM? Engineering, yes - Manuscipts are controlled via AX manufacturing system
II.3.3 How is obsolescence managed? What are the additional communication procedures in place? Project Managers handle obsolescence during projects

II.3.4 What is the procedure to communicate changes to your suppliers? Who ensures drawings and
specifications of your suppliers are to the latest revision? Do you require notification of changes
Procurement communicates changes approved by Engineering to Suppliers
from
suppliers? Is there a formal Change Notice Policy? How is it communiacted to suppliers?

II.3.5 If Engineering / Sales / Purchasing organizations are located in another city/country, how are
N.A
changes controlled?
II.3.6 How and when is notification of change communicated to customers? At point of placing PO, spec will be confirmed for that order
 II.3.7 Supplier shall manage configuration through the implementation of Configuration Management
Planning, Configuration Identification, Change Control, Configuration Status Accounting and AQAP ONLY
Configuration Audit in accordance with the requirements of ACMP 2100 or nationally recognised Appendix A
equivalent

0
Sample Traceability Record, Traveler Document,
ISO 9001 reference Documents/Labels used, Hold Tag/Part Reject Tag Score
7.1 Planning of product Improvement
Type Comments/Deficiencies
II.4 Identification and Traceability realization

II.4.1 What method is used to monitor parts that are currently work-in-progress (WIP)? 7.1 Planning of product
Process Control Sheet and travel cards used on line
Do operators sign-off when each process step is completed? realization

II.4.2 Describe how you maintain traceability from the final product back to the raw material lots.
Manuscript
Provide an example of a Traceability Document.

II.4.3 How do you maintain traceability thru sub-tiers for secondary operations or processes? N/A

II.4.4 How do you segregate non-conforming material? Yes

II.4.5 Supplier shall have identified product requirements and functions that relate to critical AQAP ONLY
FMEAs in place
characteristics such as health, safety, performance, and dependability. Appendix A

II.4.6 Supplier shall have identified where the failure of an item or component could or could not lead FMEAs in place
AQAP ONLY
to the loss of equipment, performance or life. Where it could then it is mandatory for the Supplier to
Appendix A
maintain traceability.

Sample SPC record sheet, Sample of Control Plan for a Sample

Part, Calibration records, Capability Study record & follow-up
actions, Appearance standard / station aids: provide samples /
procedures, Changeovers: provide procedures, Example of actions
ISO 9001 reference from assignable cause variation Score
7.1 Planning of product Improvement
Type Comments/Deficiencies
II.5 Process Control / Statistical Process Control realization
II.5.1 Do Quality Control plans cover: a) Incoming material; b) Initial start-up checks; c) In process
7.1 Planning of product
checks; Yes
realization
d) Final inspection; e) Packaging
II.5.2 Do process control plans include: a) Critical to quality characteristics (CTQ); b) Who is
responsible to
monitor; c) Frequency and sample size; d) What type of monitoring (SPC); e) Type gages used; Yes for all except CTQs
f) Acceptance Criteria & actions for non-conformances; g) Date and latest revision; h) Data
recorded
II.5.3 Do you monitor variation in critical processes (do you use SPC)? Provide example. How is this d No
II.5.4 List Major in-process inpsections/test Electrical test and final product testing, in process control sheets
II.5.5 Are appearance standards in place? Is lighting adequate for inspections? Yes
II.5.6 Are station aids used at CTQ and complex operations? N/A

II.5.7 Have short and long term capability studies been performed? Yes
Are assignable cause variations investigated and corrected? Who has responsibility? Engineering via DFMEA

II.5.8 Provide procedure to adjust process equipment and test / measurement equipment
Calibration Procedure - attached
between model / part changes.
II.5.9 The Suppliers Project Quality Plan shall:
a. Describe and document the quality management system requirements "contract-specific"
necessary to satisfy the contract requirements (making reference, where applicable, to the
"company-wide" quality management system);
b. Describe and document the planning of the product realisation in terms of quality requirements for
the product, needed resources, required control activities (verification, validation, monitoring,
AQAP ONLY
inspection, testing), and acceptance criteria. This shall include specific arrangements and
Appendix A
communication requirements where work is to be conducted at locations external to the Suppliers
premises.
c. Document and maintain traceability of requirements from the planning process by including a
requirement and solution compliance matrix, justifying fulfilment of all contractual requirements
(referring where applicable).
II.5.10 Supplier shall ensure that persons involved in the contract are aware of the specific
AQAP ONLY
arrangements contained in the contract Project Quality Plan that are applicable to their activities /
Appendix A
area of responsibility.
AQAP ONLY
II.5.11 Remaining shelf-life shall be identified by Supplier and communicated to GE PC.
Appendix A

II.5.12 Where GE PC is required to perform any final inspection or formal acceptance activities, AQAP ONLY
Supplier shall provide GE PC with a minimum of 15 working days notification of the event Appendix A
II.5.13 Products or their components with limited shelf life shall be subject to control of their expiry
AQAP ONLY
dates by Supplier. If applicable, the control of expiry date/shelf life shall be applied during
Appendix A
maintenance, servicing, storage or when fitted.
 0

List of measurement equipments, sample of Gage R&R record

sheet, annual calibration plan & status, calibration standards,
ISO 9001 reference calibration stickers on gages, de-commissioning procedure Score
Improvement
7.6 Control of
Type
monitoring and Comments/Deficiencies
Metrology and Control measuring equipment
II.6
II.6.1 Are calibration plansof
formeasuring devices
inspection, measurement, and test equipment in place? Are equipment
process
devices / gaging included in metrology? Are calibration records complete for observed 7.6 Control of
measuring and test monitoring and Yes
equipment? (equipment type, method of calibration & adjustment, acceptance criteria, measuring equipment
frequency of checks,
II.6.2 corrective
Is inspection, measurement, and test equipment capable of required accuracy/precision (1/10
actions)
Yes
tolerance)?
II.6.3 Are gages stored and handled to protect accuracy and fitness of use? Is there a documented
Yes
gage maintenance program?
II.6.4 Do you have knowledge of Gage R&R studies? What are the acceptance criteria? Do you
perform Yes - but not used since CTQs not defined
Gage R&R analysis on measurement equipment used for CTQs?
II.6.5 What actions are taken when measuring / test equipment is found to be out of calibration?
a) Have previous test results been checked for validity? b) Is upstream material held for retest? RA on effected measurmeents conducted - see Calibration Procedure
c) Customers notified if suspect material has been shipped?

II.6.6 Suppliers measurement and calibration system shall include the capability track where and how
all calibrated equipment has been utilised such that when measuring equipment fails calibration, AQAP ONLY
they are shall be able to advise the impact of the failure on previous measuring results where this Appendix A
affects delivered products or verification, validation and acceptance results.

AQAP ONLY
II.6.7 Suppliers measurement and calibration system shall meet the requirements of ISO 10012:2003
Appendix A

0
Sample CAR form, Actual CAR, Metrics on CAR closure & CAR
review process, Customer field complaint / reject procedures,
ISO 9001 reference Autopsy system Score
Improvement
Corrective and Preventive Actions and Problem Solving 8.5 Improvement Type Comments/Deficiencies
II.7

II.7.1 Describe the process to identify, document, quarantine, and disposition non-conforming materia 8.5 Improvement Stock is placed on hold and in defined area. Quality assess disposition.

II.7.2 Describe your Corrective Action/Root Cause analysis procedures (internal and external).
Do CARs have a documented procedure, date of permanent fix and owner? Show me evidences.
How is the recurrence of nonconformities prevented? (Corrective Actions)
See attached issue handling procedure
What reviews are conducted to verify Corrective Action Effectiveness?
How do you assure that similar errors, potential non-conformities do not re-occur? (Preventive
actions)
II.7.3 Do you have over 2 years' experience on the same or similar products that we required?
N.A
How were their quality performance -PPM/COF in recent 2 years?
II.7.4 How does the quality organization monitor long term issues - failures from 1-10 years?
How is field failure information accumulated, incl. repairs, defective parts, application, and Yes. Warranty claims monitored and trends analysed
installation?
AQAP ONLY
II.7.5 Suppliers infrastructure shall include an area to segregate non-conforming product.
Appendix A

II.7.6 Any complaints or deficiencies relevant to the contract, reported by GE PC, shall be recorded as AQAP ONLY
customer complaints. Appendix A

II.7.7 Supplier shall have a defined process, including tools and techniques, used to support root AQAP ONLY
cause analysis for nonconformities. Appendix A

0
Cost of Quality Report (Goals, Trends, Actions), Internal Audit
Record, Project list, Organization for CoQ / Continuous
ISO 9001 reference Improvement teams Score
8.5.1 Continual Improvement
Type Comments/Deficiencies
II.8 Continuous Quality Improvement improvement
II.8.1 Do you have any formal continuous improvement, productivity or waste elimination programs in
place
Yes - COPQ is monitored and actions taken on trends
that is championed by management with defined goals and meaurements ? Does it use defect
data?
II.8.2 Do you measure Cost of Quality? What elements are included in the calculation? (internal, extern Yes
II.8.3 Do you have monthly or yearly target for Cost of Quality? What is the trend in the last 2 years? Yes - COPQ less then 0.5% average for 2020
 II.8.4 Do you have an internal audit process? (e.g. Quality audits, EHS audits, other)
Yes, covering all aspects of ISO9001 and 14001
Are the internal audit criteria, scope, frequency and methods defined? What are these?

II.8.5 How do you handle the quality complaint/ feedback from customers (internal and external)? Monitored and trend analysis conducted by Quality / Customer Service

II.8.5 Supplier shall be able to provide on request records from internal audits, self-assessments and AQAP ONLY
other objective evidence that the QMS system is compliant Appendix A

0
Annual training Plan, Training Certificates / Records,
ISO 9001 reference Training audit / re-training plans Score
6.2.2 Competence, Improvement
Type Comments/Deficiencies
II.9 Training training and awareness
II.9.1 How do you qualify new operators? How do you qualify the quality personnel? On the job training and competancy sign offs

II.9.2 Do you have a competency matrix of the operators?

How do you plan and record your trainings? (on site - training certificates of selected personnel) Yes
Do you conduct refresher trainings? How do you disqualify an operator?
II.9.3 What is average factory personnel turnover rate? Elliott
II.9.4 What is minimum educational level for factory personnel? Average? N/A

II.9.5 Supplier shall have a process for identifying training needs and achieving competence of all AQAP ONLY
personnel performing activities affecting product quality Appendix A

II.9.6 Supplier shall retain documented information that demonstrates auditor training and AQAP ONLY
experience. Appendix A
 0
Section 3.0
III. PRODUCTION SUPPORT
Listing of Equipment, and plans to invest in equipment and
facilities.
ISO 9001 reference Program documentation / examples. Score
6.3 Infrastructure / 6.4 Improvement
Type Comments/Deficiencies
III.1 Facility / Layout Work environment
III.1.2 What waste, practices, and inefficiencies are evident when walking the flow of the plant from 0
6.3 Infrastructure Waste and enviromental handled under 14001 certification
incoming materials to outgoing product shipments.
III.1.3 How would an auditor rate the layout, cleanliness, lighting, and work environment of the plant?
6.4 Work environment Last 2 14001 audits had no non-conformances raised
Does the supplier show any observable implementation of Lean/Kaizen activity?
0
Sample Label, Completed Travel Document, Sample packaging
plan,
ISO 9001 reference Packaging test capability & results if applicable Score
Improvement
Handling, Storage, Packaging and Delivery 7.5.4 Customer property Type Comments/Deficiencies
III.2

III.2.1 How are our parts protected during handling and packaging processes? Packed into specialised boxes per product
III.2.2 How is obsolescence controlled and measured? By Project Management during change management
III.2.3 What type of ship test do you perform? How do you verify if packaging ensure the conformity of
your
Elliott
products? Do you have in-house facilities to evaluate and approve the adequacy of packaging
designs?
II.2.4 Do the packaging test procedures being used meet ASTM, Fed Ex, and / or UPS standards? Elliott

0
Sample Equipment Maintenance Schedule, Tooling and Equipment
ISO 9001 reference Inventory, Example of PM for tooling and/or equipment Score
Improvement
Equipment/Tooling 6.3 Infrastructure Type Comments/Deficiencies
III.3
III.3.1 Do you design and build your own tooling or purchase from external suppliers? (If supplier
builds own
tooling, supplier must pass the tooling process survey. If supplier subcontracts GE owned Yes
tooling,
the subcontractor must pass tooling survey)
III.3.2 What design and build capability do you have for assembly equipment and fixtures? In house machine shop
III.3.3 Describe your tooling design review procedure and your tooling and process qualification
El
procedure.
III.3.4 What is the typical age and condition of the in-house tooling? Elliott
III.3.5 What on-site tooling maintenance capabilities do you have? Do you have a formalized and
comprehensive
Elliott
preventative maintenance program? Are records kept on maintenance, repairs, and
modifications?
III.3.6 What is the process to qualify their external tooling and equipment suppliers?
Who is responsible for purchasing and managing tooling / equipment, what are their Elliott
qualifications?
III.3.7 Do you maintain records on tooling that you own but are located at your suppliers' site? Elliott

0
Section 4.0
IV. TECHNOLOGY SUPPORT

Org chart on technology department, List of systems used (Design

software, CAD, FEA, etc), Procedures & Samples of MSDS, RoHS,
ISO 9001 reference REACh documents, Agency documents Score
7.3 Design and Improvement
Technology Support Type Comments/Deficiencies
IV.1 development
IV.1.1 Define levels of technology expertise for your parts / products, and/or services? What is
technology Various depending on roles 0
staffing levels, degrees, advanced degrees, and years of experiece?
IV.1.2 What are the qualifications of design resources? What CAD systems are used? Typically Degree level, various CAD systems used
IV.1.3 Are you involved in the development of products you currently manufacture? Do you have
experience Yes
in dealing with performance specifications?
IV.1.4 Is any of the technology protected by IP? Elliott
IV.1.5 Are there any prior or current patent infringement cases? Elliott
 0
Reliability process / flow map, Reliability test equipment list &
capabilities, Sample Reliability test plans, Reliability goals &
ISO 9001 reference Score
metrics, Autopsy report
Improvement
Type Comments/Deficiencies
IV.2 Reliability/Growth
IV.2.1 Who is responsible for managing your reliability process? Engineering and development lab
IV.2.2 What is your reliability philosophy? Does it include KNP/KCP and testing worst case conditions?
N/A
What are reliability goals and how are they established?
IV.2.3 Do you have a reliability lab - for tests including growth, qualification, and audit - certified by
Underwriters Laboratory (UL) or any other agencies (e.g. CSA), and what are the capabilites and Yes
capacities? If not, do you currently sub-contract any such tests?
IV.2.4 What reliability tests do you conduct, including initial qualification and ongoing production
Dependant on product, can conduct qualification, FAT, electircal tests, air flow etc.
audit tests?
IV.2.5 What is your process to autopsy failed internal or returned field parts and/or product ?
Returns are analsysed and reveiwed. Detailled analysis of top issues unavailable.
What are your top five failures, root causes, and corrective actions (overall)?
IV.2.6 What is your process for reliability test development and failure reporting (i.e. FMEA and
FEMA
FRACAS)?
IV.2.7 What testing do you require from sub-tier suppliers? Various dependant on part and risk
0
NPI Process, Sample reviews at each milestone, Sample safety
ISO 9001 reference Score
review
7.3 Design and Improvement
Type Comments/Deficiencies
IV.3 New Product Introduction development
IV.3.1 Is there a documented New Product Introduction (NPI) process? Is a copy of flowchart
Elliott
available?
IV.3.2 Who is responsible for program management of new programs? Is there any kind of tracking? Elliott
IV.3.3 Describe critical states of your NPI process: Prototype development Elliott
IV.3.4 Describe critical states of your NPI process: Pre-pilot stage: What functions are involved
(Engineering, Elliott
IV.3.5 Quality
Describe critical Adv.
Control, states of your
Mfg. Eng.,NPI process: Pilot
Production)? Are stage: Are tooled
specifications andparts used?
quality When isdefined?
objectives it
required? Who
is responsible for first piece approval? When is it required? When is Underwriter's Laboratories Elliott
Approval
IV.3.6required?
Describe critical
Who is states of your NPI process: Initial production stage: When is program review
responsible?
completed? Elliott
IV.3.7Who
Whatensures a production
is the process quality assurance
for pre-launch plan is Management
Change Control in place? When?
for NPI programs? How are
design Elliott
changes documented?
0
List of test equipment & testing capabilities, sample test metrics /
results,
ISO 9001 reference Score
testing yields, agency approvals & certifications
Improvement
Type Comments/Deficiencies
IV.4 Evaluation / Testing / Qualification Capability
IV.4.1 Provide a list of your equipment and facilities available for testing, identifying what is available
Lists available upon request. Testing facilites adequate.
internal versus external. Are the product performance testing facilities adequate?
IV.4.2 Is there a documented product evaluation program in place? Is a copy available?
Where in the product introduction cycle is the testing performed? What location?
Elliott
What is being tested (components, products, systems) and what type testing is performed
(reliability, .............environmental, shipping, etc)?
IV.4.3 What is the evaluation testing output? Are test procedures and results available? Elliott
How are results communicated to customers?
What is the data analysis capability and follow-up testing? Elliott
IV.4.4 What industry standards (eg:UL,CSA,ANSI,IEC) apply to products you wish to supply to GE?
Provide evidence that product is compliant to the latest industry standards (UL, IEC, etc. -- and Elliott
what year)
IV.4.5 Are any of your products subject to governmental requirements (such as UV, radiation, lead in
Elliott
paint, etc)?
IV 4.6 Provide documentation that products comply with industry standards or governmental
Elliott
requirements.
IV 4.7 Have any products manufactured by you been recalled anywhere globally? Which ones? What
Elliott - we can mention Kelvion, and Weg, but are there others?
was the root cause of each recall?

0
Safety review proceduresm, sample test results & metrics, safety
record (list of incidents reported by customer) & follow up, audit
ISO 9001 reference Score
report
Improvement
Type Comments/Deficiencies
IV.5 Product Safety & Compliance
IV.5.1 Are product safety reviews required for new products and before implementing a product
Elliott
change?
IV.5.2 What is the process for screening new products for potential safety issues? Do documented
guidelines Elliott
exist for conducting a product safety review? How long are results archived for later reference?
IV.5.3 Are regular (re-)audits conducted to test the quality and safety of current products? Elliott
 IV.5.4 Describe your process for gathering information concerning safety issues encountered by
customers. Elliott
Describe the process for defining actions following the identification of a safety issue.
IV.5.5 Do you maintain MSDS (Material Safety Data Sheet) for materials used and produced (in local
Yes
lanquages)?
IV.5.6 Are you compliant with RoHS / REACh requirements? Yes

0
Section 5.0
V. SUBTIER SUPPLIER MANAGEMENT

Org chart, approved supplier list (ASL), supplier qualification &

disqualification process, supplier goals & metrics (quality,
ISO 9001 reference delivery, handling of claims, ..), sample supplier survey Score
Improvement
Subtier Supplier Selection & Management 7.4 Purchasing Process Type Comments/Deficiencies
V.1
V.1.1 Do you have an approved supplier list? How does a supplier become approved and dis-
qualified? Are all 0
new suppliers surveyed and approved before business is placed with them? If not, what is Yes, supplier approval process in place
required to do
business with a supplier?
V.1.2 Provide an example of a recent survey. Who completes the survey, and what areas are
included? N/A
eg: Finance, Quality, EHS, Manufacturing, etc.
V.1.3 Do you require any certification from your suppliers (ISO, etc.)? Yes, depending on risk of components supplied
V.1.4 Do you rate your suppliers? On what areas? N/A
V.1.5 Do you establish annual supplier goals and evaluate them in the areas of quality, cost, delivery
and
other business initiatives? Do you give formal feedback on performance to your suppliers? With N/A
what
frequency? If not, how do you notify bad suppliers of improvement needs?
V.1.6 Do you require your suppliers to notify you prior to changes? How do you enforce it?
Yes, change control process in place
How are proposed changes communicated, what is the process to approve it?
V.1.7 Do you communicate your customers' change control notification procedures to your suppliers? Yes

V.1.8 Who are your suppliers on major materials, component, assembly, finish suppliers and those ASL can be provided upon request
providing services?

V.1.9 Supplier shall provide evidence that risks including External Provider risks are considered AQAP ONLY
during planning Appendix A

V.1.10 Where Supplier has decided to externally source a critical item, significant work content,
AQAP ONLY
design, immature technical solutions or a configuration item then they shall establish and maintain
Appendix A
knowledge of the supply chain and the external sources quality assurance activities.
V.1.11 Supplier shall flow down the applicable contractual requirements to External sources by AQAP ONLY
referencing the stated contractual requirement. Appendix A
V.1.12 Supplier shall conduct a formal review of purchasing documents to verify that the correct
AQAP ONLY
contractual requirements have been flowed down. The Supplier shall retain documented information
Appendix A
of this review.
0
Incoming Quality Control (IQC) Procedure Flow Map, Sample of
Supplier Corrective Action reports, Sample of Supplier first piece
reports, Examples of supplier certs or other incoming
ISO 9001 reference requirements (CTQs, etc.) Score
Improvement
Subtier Supplier Quality 7.4 Purchasing Process Type Comments/Deficiencies
V.2
V.2.1 Are quality control plans required from your suppliers? Do you evaluate and approve them? Are
they kept?
Are critical processes identified with suppliers and quality plans developed to 6 Sigma process
capability?
V.2.2 What processes and methods are used to drive improvement in the areas of cost, quality and
cycle time
of your suppliers? Is a 6 Sigma, Lean or similar philosophy of quality management being driven
through
supply base? Do you provide any programs and trainings to suppliers to drive continuous
improvement?
V.2.3 Do you perform and maintain first piece reports on your suppliers?
V.2.4 What is the Incoming Quality Control method? eg: Material certifications, sampling inspection
plans,
variable data from qualified sub-tiers, etc. If used, is sampling plan robust?
V.2.5 Does the inspection report specify date, serial numbers, quantities, and sampling data?
V.2.6 Are tools/gages used in IQC calibrated & have acceptable Gage R&R?
V.2.7 How are safety and critical components handled ?
V.2.8 Suppliers Project Quality Plan shall include a requirement to notify GE PC if a subcontract or
AQAP ONLY
order has been identified involving a critical item, significant work content, design, immature
Appendix A
technical solutions or where the External Source performance is unknown or causes concern.
V.2.9 Suppliers Project Quality Plan shall include a requirement to notify GE PC if an externally
provided product is rejected, reworked, or repaired which has been identified as involving risk or AQAP ONLY
supplied by an External Source whose selection or subsequent performance has been identified as Appendix A
involving risk.