Engineering

Standards
Engineering Standard Number
Name LISTING,APPROVED SOURCE

ADMINISTRATIVE SPECIFICATION 10012

Identifier
(SOURCE CONTROL)

Abstract

This specification standard establishes a procedure to identify individual parts characterized as

critical and/or proprietary which require source control for procurement.

The body of the specification defines responsibilities and procedures. It also provides guidelines
for the identification and source control of critical items of product.

Foreword

This revision of the CES 10012 which covers the Approved Source Listing makes several
significant and many editorial changes.

The entire format of the document is revised editorially to comply with CES 99001 and CES
99033. During the revision the structure of the document was altered and readability was
improved. There was a conscious effort to avoid making substantive changes.

There are three areas of significant change:

a. Requirements are revised so that CES 10012 must appear on all drawings which require
source approval regardless of release phase code.
b. An alphabetical list of noun names was added.
c. Several sections were either obsoleted, renumbered or renamed to provide consistency.

Current Release Number Std. Revision Level

982021-040 4356 Page 1 of 11
CUMMINS CONFIDENTIAL
This document (and the information shown thereon) is CONFIDENTIAL AND PROPRIETARY and shall not be disclosed to others in hard copy
or electronic form, reproduced by any means, or used for any purpose without written consent of Cummins Engine Company, Inc.
 Engineering
Standards
Engineering Standard Number
Name LISTING,APPROVED SOURCE

ADMINISTRATIVE SPECIFICATION 10012

Identifier
(SOURCE CONTROL)

This page intentionally left blank.

Current Release Number Std. Revision Level

982021-040 4356 Page 2 of 11
CUMMINS CONFIDENTIAL
This document (and the information shown thereon) is CONFIDENTIAL AND PROPRIETARY and shall not be disclosed to others in hard copy
or electronic form, reproduced by any means, or used for any purpose without written consent of Cummins Engine Company, Inc.
 Engineering
Standards
Engineering Standard Number
Name LISTING,APPROVED SOURCE

ADMINISTRATIVE SPECIFICATION 10012

Identifier
(SOURCE CONTROL)

Table of Contents

Heading Page Number

Abstract ..............................................................................................................................1
Foreword ............................................................................................................................1
Table of Contents ...............................................................................................................3
1. Scope ..............................................................................................................................5
2. Applicable Documents ...................................................................................................5
3. Definitions ......................................................................................................................5
4. Specification ...................................................................................................................5
4.1. Significance and Use .............................................................................................5
4.2. Source Control Categories .....................................................................................6
4.3. Critical Parts ..........................................................................................................6
4.4. Proprietary Parts ....................................................................................................6
4.5. Release of New Items ............................................................................................7
4.5.2. Items of Product for P (Production) Release ......................................................7
4.5.3. Items of Product for L (Production with Limitations) Release ..........................7
4.5.4. Items of Product for E or D (Experimental or Developmental) Release ............8
4.5.5. Items of Product for O (Obsolete) Release .........................................................8
4.6. Approval of New Sources......................................................................................8
4.7. Changes to Approved Items of Product .................................................................9
4.8. Reevaluation ..........................................................................................................9
4.9. Distribution ............................................................................................................9
Appendix A: Listing of Noun Names Requiring Source Approval..................................11
Obsoleted 982021-040-Superseded by IMS Database EFES CEC

Appendix B: Approved Source Listing OBSOLETED 982021-040-Superseded

by IMS Database EFES CEC.

Current Release Number Std. Revision Level

982021-040 4356 Page 3 of 11
CUMMINS CONFIDENTIAL
This document (and the information shown thereon) is CONFIDENTIAL AND PROPRIETARY and shall not be disclosed to others in hard copy
or electronic form, reproduced by any means, or used for any purpose without written consent of Cummins Engine Company, Inc.
 Engineering
Standards
Engineering Standard Number
Name LISTING,APPROVED SOURCE

ADMINISTRATIVE SPECIFICATION 10012

Identifier
(SOURCE CONTROL)

This page intentionally left blank.

Current Release Number Std. Revision Level

982021-040 4356 Page 4 of 11
CUMMINS CONFIDENTIAL
This document (and the information shown thereon) is CONFIDENTIAL AND PROPRIETARY and shall not be disclosed to others in hard copy
or electronic form, reproduced by any means, or used for any purpose without written consent of Cummins Engine Company, Inc.
 Engineering
Standards
Engineering Standard Number
Name LISTING,APPROVED SOURCE

ADMINISTRATIVE SPECIFICATION 10012

Identifier
(SOURCE CONTROL)

1. Scope
This specification standard establishes a procedure to identify individual parts characterized as
critical and/or proprietary which require source control for procurement.

2. Applicable Documents
Applicable documents listed below may be obtained from the respective organizations listed in
CES 10054, Standard Organization Addresses.

a. CES 10054, Standards Organization Addresses

b. CES 10056, General Glossary
c. CES 10500, Source Control Methods
d. CPM 0295-015, Supplier Selection for Critical Parts
e. CPM 0295-020, Approved Source Listing - Worldwide
f. Parts and Assembly Names Manual, Cummins Engine Company

3. Definitions
There are no unique definitions in this standard. Terms used in this standard that have a general
definition for usage in Cummins Engineering Standards are defined in CES 10056, General
Glossary.

4. Specification
4.1. Significance and Use

4.1.1. This specification consists of the body of the specification which defines
responsibilities and procedures. It also provides guidelines for the identification and source control
of critical items of product.

4.1.2. The body of the specification defines responsibilities and procedures. It also provides
guidelines for the identification and source control of critical items of product.

4.1.3. The responsibilities and procedures involved in listing suppliers of critical parts on
Cummins’ Approved Source Listing is defined in CPM 0295-020. For related procedures
pertaining to supplier selection refer to CPM 0295-015. For methods of approving new sources
refer to CES 10500.

Current Release Number Std. Revision Level

982021-040 4356 Page 5 of 11
CUMMINS CONFIDENTIAL
This document (and the information shown thereon) is CONFIDENTIAL AND PROPRIETARY and shall not be disclosed to others in hard copy
or electronic form, reproduced by any means, or used for any purpose without written consent of Cummins Engine Company, Inc.
 Engineering
Standards
Engineering Standard Number
Name LISTING,APPROVED SOURCE

ADMINISTRATIVE SPECIFICATION 10012

Identifier
(SOURCE CONTROL)

4.2. Source Control Categories

4.2.1. There are two categories of parts which require source control: Critical Parts and
Proprietary Parts.

4.2.2. The sources of critical parts are controlled by the listings appended to this specification
as indicated in 4.3. Critical Parts on page 6.

4.2.3. Sources for proprietary parts are controlled by the engineering drawing as indicated in
4.4. unless they are also critical. If proprietary parts are also critical, sources are controlled by the
listing appended to this specification as indicated in 4.3. Critical Parts on page 6.

4.3. Critical Parts

4.3.1. Critical parts are those part noun names whose failure would result in a mission
disabling failure of the engine, system or subsystem in which the Product Item was used.

4.3.1.1. When designated as critical, the part noun name is contained in IMS Screen
"EFEL CEC"

4.3.1.2. If source control is not required on an item using a critical noun name, the statement
"Source Control Not Required" is added to the item number in the Source Approval Database (IMS
transaction "EFEM CEC").

4.3.1.3. Critical parts require evaluation in accordance with an appropriate source approval
method.

4.3.1.4. The engineering drawing for a critical part shall specify CES 10012.

4.3.2. In addition to finished parts, castings or forgings for some parts may be listed as critical.

4.3.3. Source control of critical finished gaskets is based upon the supplier of the material and
not the cutter of the gasket.

4.4. Proprietary Parts

4.4.1. Proprietary parts are those items for which the drawings do not contain enough
information to produce the part due to the supplier’s proprietary rights. Although all engineering
information is not specified, these items shall be controlled in the Source Approval database if they
are deemed critical.

Current Release Number Std. Revision Level

982021-040 4356 Page 6 of 11
CUMMINS CONFIDENTIAL
This document (and the information shown thereon) is CONFIDENTIAL AND PROPRIETARY and shall not be disclosed to others in hard copy
or electronic form, reproduced by any means, or used for any purpose without written consent of Cummins Engine Company, Inc.
 Engineering
Standards
Engineering Standard Number
Name LISTING,APPROVED SOURCE

ADMINISTRATIVE SPECIFICATION 10012

Identifier
(SOURCE CONTROL)

4.4.2. If the proprietary part noun name is listed as critical, it shall be treated in accordance
with 4.3. Critical Parts on page 6.

4.4.3. If the proprietary part is not critical, the engineering drawing shall contain a note stating
that the part "Must be purchased from (specific supplier)."

4.5. Release of New Items

4.5.1. Items that have been deemed critical and whose noun name is listed in the IMS
transaction "EFEL CEC" shall have approved sources listed against that item.

4.5.2. Items of Product for P (Production) Release

4.5.2.1. All items requiring source approval and being initially released at P (Production)
phase code must have an approved source stated in the Engineering Release.

4.5.2.2. For items of product originated within an engineering agency, the agency shall
provide the initial approved source for this item. Documentation of the source approval evaluation
or a waiver by the responsible Executive Engineer or his/her disignee shall be included. The
agency shall have the responsibility to get the initial source added to the Source Approval
Database.

4.5.2.3. Plants originating items of product must perform all necessary source approval
documentation. When appropriate a waiver of the source approval method for the initial source
may be obtained from the responsible Executive Engineer or his/her designee.

4.5.2.4. If an item of product replaces or obsoletes an existing item of product, the engineering
agency releasing the new item must insure that its source(s) are approved. Sources must have
sufficient capacity to meet the requirements for the item which it replaced.

4.5.3. Items of Product for L (Production with Limitations) Release

4.5.3.1. Items in the L (Production with Limitations) phase require that CES 10012 be placed
on the Engineering Drawing.

4.5.3.2. All items requiring source approval and being initially released at L (Production with
Limitations) phase code must have the approved source stated in the Engineering Release.

Current Release Number Std. Revision Level

982021-040 4356 Page 7 of 11
CUMMINS CONFIDENTIAL
This document (and the information shown thereon) is CONFIDENTIAL AND PROPRIETARY and shall not be disclosed to others in hard copy
or electronic form, reproduced by any means, or used for any purpose without written consent of Cummins Engine Company, Inc.
 Engineering
Standards
Engineering Standard Number
Name LISTING,APPROVED SOURCE

ADMINISTRATIVE SPECIFICATION 10012

Identifier
(SOURCE CONTROL)

4.5.3.3. Items at L (Production with Limitations) phase must have a Product Release
Approval Form completed in one of the following manners:

a. A statement that all source approval requirements have been completed with the
responsible Executive Engineer or his/her designee signing the form.
b. If source approval is currently in process, a statement must be included stating when the
source approval process will be completed. The form must once again be signed off by the
responsible Executive Engineer or his/her designee.
c. If source approval testing is not intended to be completed for this release, a waiver of the
source approval method must be obtained from the responsible Executive Engineer or his/
her designee.

4.5.4. Items of Product for E or D (Experimental or Developmental) Release

Items for E (Experimental) or D (Developmental) phase must have CES 10012 referenced on the
drawing. No change to the Source Approval Database is required.

4.5.5. Items of Product for O (Obsolete) Release

Sources of items of product at O (Obsolete) phase code shall be removed from the Source Approval
database.

4.5.6. Plants sourcing new items of product have the responsibility to complete their portion
of the source approval (i.e., Supplier Quality Assurance approval) prior to full production. A
waiver of source approval may be obtained from the responsible Executive Engineer or his/her
designee.
4.6. Approval of New Sources

4.6.1. For existing items of product, engineering agencies have the only authority for the
addition of a new source to the Source Approval database.

4.6.2. New sources can be added only after all necessary source approval documentation has
been completed. A waiver of the source approval method must be obtained from the responsible
Executive Engineer or his/her designee.

Current Release Number Std. Revision Level

982021-040 4356 Page 8 of 11
CUMMINS CONFIDENTIAL
This document (and the information shown thereon) is CONFIDENTIAL AND PROPRIETARY and shall not be disclosed to others in hard copy
or electronic form, reproduced by any means, or used for any purpose without written consent of Cummins Engine Company, Inc.
 Engineering
Standards
Engineering Standard Number
Name LISTING,APPROVED SOURCE

ADMINISTRATIVE SPECIFICATION 10012

Identifier
(SOURCE CONTROL)

4.7. Changes to Approved Items of Product

4.7.1. If an approved supplier is presently supplying an item of product in one material and/
or process, and wishes to change to another material and/or process; the supplier must be
reapproved by complying with the appropriate source approval method. If appropriate a waiver of
source approval may be obtained from the Executive Engineer or his/her designee for the item of
product.

4.7.2. Revisions to Items of Product

4.7.2.1. If an Item of Product is being revised at the P (Production) phase code, source
approval on this revised Item must be completed or waived by the Executive Engineer or his/her
designee responsible.

4.7.2.2. If an Item of Product is being revised at the L (Production with Limitations) phase
code, source approval must be documented as described in Section 4.5.3.3. on page 8 of this
standard.

4.8. Reevaluation

4.8.1. Approved sources listed in the Source Approval database which have not been utilized
for a period of two (2) years by a Cummins plant must be reevaluated. Product Engineering,
Purchasing and Supplier Quality Insurance shall do the reevaluation before production quantities
are purchased. If changes have been made in the supplier’s personnel, equipment, processes, etc.,
it is the responsibility of the evaluating team as to whether the supplier shall be retested. The
reevaluation is to be documented in memo form with a copy sent to the appropriate Executive
Engineer or his/her designee.
4.8.2. If the supplier to be reevaluated is currently shipping production quantities of similar
parts using identical technology, reevaluation will not be necessary.

4.8.3. Initiation of reevaluation is the responsibility of Product Engineering.

4.9. Distribution

The information contained in the Source Approval database is unrestricted.

Current Release Number Std. Revision Level

982021-040 4356 Page 9 of 11
CUMMINS CONFIDENTIAL
This document (and the information shown thereon) is CONFIDENTIAL AND PROPRIETARY and shall not be disclosed to others in hard copy
or electronic form, reproduced by any means, or used for any purpose without written consent of Cummins Engine Company, Inc.
 Engineering
Standards
Engineering Standard Number
Name LISTING,APPROVED SOURCE

ADMINISTRATIVE SPECIFICATION 10012

Identifier
(SOURCE CONTROL)

This page intentionally left blank.

Current Release Number Std. Revision Level

982021-040 4356 Page 10 of 11
CUMMINS CONFIDENTIAL
This document (and the information shown thereon) is CONFIDENTIAL AND PROPRIETARY and shall not be disclosed to others in hard copy
or electronic form, reproduced by any means, or used for any purpose without written consent of Cummins Engine Company, Inc.
 Engineering
Standards
Engineering Standard Number
Name LISTING,APPROVED SOURCE

ADMINISTRATIVE SPECIFICATION 10012

Identifier
(SOURCE CONTROL)

Appendix A: Listing of Noun Names Requiring Source Approval

OBSOLETED PER ER 982021-040

SUPERSEDED BY IMS DATABASE EFES CEC.

Current Release Number Std. Revision Level

982021-040 4356 Page 11 of 11
CUMMINS CONFIDENTIAL
This document (and the information shown thereon) is CONFIDENTIAL AND PROPRIETARY and shall not be disclosed to others in hard copy
or electronic form, reproduced by any means, or used for any purpose without written consent of Cummins Engine Company, Inc.