Alstom: Supplier Quality Manual Quality Requirements

ALSTOM
SUPPLIER QUALITY MANUAL

QUALITY REQUIREMENTS
SCG-STD-006 version 2
INTRODUCTION
Purchased materials and services provided by our suppliers have a significant impact on the quality and
delivery of the products, solutions and services we offer to our customers. To maintain a high level of
quality, from supplier selection to the end of contractual warranty, we are determined to establish and
develop a close and long lasting relationship with our suppliers.
Alstom’s involvement with its suppliers is managed through this manual, which describes Alstom
standardized global approach and sets out the basic tools & requirements.
In particular, with the focus on continuous improvement “Right the First Time - On Time deliveries” and to
facilitate teamwork with its suppliers, Alstom has developed a Supplier Quality Portal. We are convinced
that full mutual use of this portal with our suppliers will provide shared benefits. This will contribute to a
successful win-win business with Alstom.
This Quality Manual issue supersedes former issues.
Alstom worldwide policy is mandatory in achieving our targets, satisfying our customers and establishing
common sustainable growth with our supplier panel.
In the event of gaps or inconsistencies between the clauses of this “Supplier Quality Manual” document and
any contract agreements with Alstom regarding the supply of products or services, the most demanding
document prevails.
Leon LINDERS Olivier BARIL Alain HOMASSEL

Quality & Sourcing Supplier Quality
Continuous Improvement Vice-President Director
Vice-President
SCG-STD-006 version 2 -2-

DOCUMENT CONTENTS
INTRODUCTION................................................................................................................................................... 2
DOCUMENT CONTENTS ....................................................................................................................................... 3
1 ALSTOM REQUIREMENTS ............................................................................................................................ 4
2 OUR WAY OF WORKING ............................................................................................................................. 5
3 OUR TOOL: “THE SUPPLIER QUALITY PORTAL” ............................................................................................ 6
4 SUPPLIER QUALITY MANAGEMENT PROCESS .............................................................................................. 8
4.1 PANEL ENTRANCE PROCESS .............................................................................................................................9
Quality Management System certification .........................................................................................................10
Sustainable development charter & Corporate Social Responsibility performance ...............................................11
Industrial capability qualification .......................................................................................................................12
Product / system / software qualification ..........................................................................................................14
Supply chain qualification..................................................................................................................................15
Engineering Services qualification .....................................................................................................................16
Installation Constractors Management ..............................................................................................................17
4.2 PREVENTION PROCESS MANAGEMENT (DURING PRODUCT & PROCESS DEVELOPMENT) ..........................................18
Development For Quality cycle (Trains & TIS) ....................................................................................................19
Development For Quality cycle (TIS SOFTWARE) ..............................................................................................19
Supplier product quality development activities .................................................................................................20
Tier 2-Supplier management .............................................................................................................................21
Special and key processes management ...........................................................................................................22
Return oN experience ........................................................................................................................................23
Product risk analysis .........................................................................................................................................24
Process risk analysis..........................................................................................................................................25
Product & process control plan ..........................................................................................................................26
Pre- FAI / GO production milestone ...................................................................................................................27
First article Inspection (FAI) / Factory acceptance test (FAT) .............................................................................28
4.3 SUPPLIER PERFORMANCE MANAGEMENT .........................................................................................................31
Modification management ................................................................................................................................32
Delivery under WAIVER ....................................................................................................................................33
NC Detection & NC Report ................................................................................................................................34
Cost of non-quality (CONQ) Management .........................................................................................................36
Quality Wall ......................................................................................................................................................37
Warranty basic rules: 8D MODULE ...................................................................................................................38
4.4 GLOBAL PERFORMANCE MANAGEMENT ............................................................................................................39
Global Performance & Improvement Management ............................................................................................39
Supplier color status, escalation process and RESIdent ......................................................................................40
Color code assignment criteria ..........................................................................................................................41
Return to Green status for Yellow and Red suppliers .........................................................................................42
5 APPENDIX: FAI STATUS ............................................................................................................................. 43
6 TERMS AND ABBREVIATIONS ................................................................................................................... 46

1 ALSTOM REQUIREMENTS
Our requirements
 Achievement of Quality targets at all stages of the product life cycle
 “Right the First Time & On Time” deliverables during development & execution phases
 Teamwork behavior
 Ensure documentation traceability for a 20 year period
Our common basics

 No product safety issues or regulation concerns
 No issues impacting Alstom premises & fields.
 No product or process changes without Alstom agreements
 Sub suppliers under control to Alstom standards
 No delay in project quality deliverables
 Key product/process characteristics under control
 Cost of non-quality (CONQ) reduced yearly
 Customer security, reactivity to issues & root cause eradication
 Proactive quality approach & improvement plan
 Return On Experience (REX) integration
 Use of Alstom standard templates and tools
 Use of Alstom IT tools (ALTeS, Supplier Quality Portal…)
 Compliance to Alstom design (if applicable) and industrial requirements

2 OUR WAY OF WORKING
Our supplier quality approach is aligned with our sourcing processes, according to the three main pillars of
our relationship with the supplier:
 Panel entrance and management: to qualify our suppliers,
 Prevention in product & process before deliveries: to support quality ramp-up during project
phases,
 Performance management: to meet defined quality targets.
In order to improve collaboration and transparency with our supplier partners, Alstom has developed the
“Supplier Quality Portal” covering the following topics:
 Qualification audits results
 Supplier Product Quality Development schedule and deliverables
 Communication and management of the Non Conformity
 Waiver request management
 Warranty issues management
 “Yellow” and “red” supplier status management
 Action plan management
 Performance indicators
The use of the Supplier Quality Portal is mandatory for all Alstom suppliers.
This Supplier Quality Manual describes:

 Alstom’s requirements towards suppliers for each of these steps,
 The expected way of working and way of managing the activities,
 The associated quality tools to be implemented,
 Key Performance Indicators (KPIs*) that will allow users to assess achievement of targets.
*N.B: As a note, all acronyms are referenced in the TERMS & ABBREVIATIONS section on page 45.

3 OUR TOOL: “THE SUPPLIER QUALITY PORTAL”
Purpose
 The Supplier Quality Portal has been created to share data and processes more efficiently with the
following benefits:
 Up-to-date information sharing,
 Greater reactivity,
 Anticipation through greater visibility.
Content:
 It contains seven business modules:
 Audit (on view mode):
 SPQD Plan
 Waiver
 Non-Conformity Report (NCR)
 8D/Warranty: only on view mode
 Yellow/Red status suppliers
 Action plan management
This is a non-exhaustive list; going forward other modules may be developed.
 Business modules key points:

 Audit:
 Audit report and qualification status are shared in real time.
 All CARs (Corrective Action Request) are directly presented and classified under
major/minor status and monitored for time to close, on time/not on time status.
 SPQD Plan:
 All SPQD plans / FAI results and action plans are visible.
 Open Issue List is shared from business award up to FAI/FAT GO.
 All major deliverables must be uploaded by the supplier and accepted by Alstom
according to a defined schedule.
 Waiver:
 All waivers must be requested through Alstom Supplier Quality Portal.
 Implementation of a common process and standard waiver declaration.
 All waivers are presented by status with clear description and expiration date.
 Non-Conformity Report:
 Problem characterizations.
 Continuous improvement.
 Visual Management on the progress of Non-Conformities.
 Containment activities are monitored in the Supplier Quality Portal.

 Root cause/corrective and preventive actions.
 8D/Warranty:
 All 8D processes assigned to a supplier are shared in real time.
 All supplier actions are presented and classified according to criticality level.
 8D files are shared with the supplier through the portal.
 Yellow/Red status suppliers

 These suppliers’ status is shared in real time.
 The suppliers are notified.
 The reasons and the exit conditions are formalized.
 Action plan management

 Action plans shared by Alstom and suppliers in real time.
 The suppliers and Alstom are notified.
 It contains also one Communication/dashboard module:

 All these modules generate a set of KPIs available in the Communication module through
ALTeS platform.
 To connect to the Communication module, go to:
https://www.altes.transport.alstom.com/
 Deliverables:
 Display monthly reporting.
 Share common KPIs sorted by Quality trades with all Alstom suppliers.
 Filters available for all KPIs (area, site, domain…).

4 SUPPLIER QUALITY MANAGEMENT PROCESS
Panel entrance: Approved Supplier Process – a supplier will be introduced in the Alstom panel,
according to a list of pre-requisites, system certifications, co-development & industrial assessments, special
processes audits and management requirements.
Prevention management: process held during the product & process development phases to
guarantee the sustainable compliance of the product and processes within the Quality/Cost/Delivery
objectives.
Performance management in execution: process of supplier assessment according to the quality

performance of the deliveries.
Global performance management: process of supplier assessment according to the performance in

product/process development and in execution phases.
 This performance is summarized by a color code.

4.1 PANEL ENTRANCE PROCESS
A supplier is integrated into the approved vendor list “panel” with a panel status provided they comply with
Alstom business criteria, i.e.: financial strength, industrial footprint, technical expertise and when he has
successfully demonstrated the following items:
 Alstom Sustainable Development Charter signed,
 Process qualification on know-how:
o generic process audits
o special process audits,
 Product /system / software qualification (if the supplier is required to develop the part design),
 Supply chain and capacity management qualification.
Alstom Supplier Quality is in charge of performing the qualification audits and to pronounce the GO/NO GO
quality status prior to Business Award, according to the audit results.
For all audit types, the qualification granted to the supplier is valid for a period of 3 years. This validity
period may be extended another 2 years based on supplier’s performance and business trend. Reversely,
Alstom might suspend this qualification, in case of major issues. In such instances, a robust containment
action plan is required in order to secure deliveries to Alstom, at the supplier’s own expense.

QUALITY MANAGEMENT SYSTEM CERTIFICATION
Purpose
 To verify that the supplier’s Quality Management System aligns with Alstom requirements for the
product to be supplied.
Requirements
 As a key member of the UNIFE, Alstom expects its suppliers to be IRIS certified (railway industry
standard). No generic process audit, except in case of major issues, is performed by Alstom in such
manufacturing units (special process audits remain applicable).
 At any time, Alstom retains the right to ask for the latest IRIS audit report and the related action
plan.
 For suppliers not yet IRIS-certified, Alstom retains the right to perform its standard generic process
audit.
 When a new supplier is considered to start onto the panel entrance process, the minimum quality
system certification required is ISO 9001.
 An audit compliance is mandatory prior to any business award.

SUSTAINABLE DEVELOPMENT CHARTER & CORPORATE SOCIAL RESPONSIBILITY
PERFORMANCE
Purpose
 To respond proactively to the societal needs of Alstom’s stakeholders and anticipating new
environmental, social and economic developments.
 To have suppliers commitment to the same values as Alstom and cascade to their suppliers.
Requirements
The supplier commits to sign Alstom Sustainable Development Charter and undertakes to respect the
principles contained herein, especially in terms of:
 Labor standards,
 Ethics,
 Environment,
 Regulations (Hazardous Substances…), according to the country,
 Occupational health and safety,
 Product and services life cycle.
Alstom is member of RAILSPONSIBLE, a sustainable procurement initiative gathering other railway industry
companies. It aims at improving the Corporate Social Responsibility (CSR) throughout the entire supply
chain, through sharing best practices and processes, driving a common understanding across the industry,
and using and sharing common tools, creating efficiencies.
Suppliers are requested to demonstrate their CSR performance throughout assessments made by a third
party. In case of non-compliance, they shall implement an action plan to reach Alstom’s requirements.

INDUSTRIAL CAPABILITY QUALIFICATION
Purpose
A process audit is performed in order to:
 Assess supplier’s ability to manufacture and supply parts according to Alstom’s requirements,
 Ensure that supplier processes are under control.
It is the supplier’s responsibility to qualify his own suppliers.

If materials provided are manufactured using special processes, it is the supplier’s responsibility to qualify
his processes and those of his suppliers & subcontractors, according to applicable standards and/or
Alstom requirements. The supplier must provide all evidences related to such qualifications. In this regard,
the document IRIS-Guideline 6 Special Processes gives a good overview of special processes management
supplier responsibilities.
This process audit includes 2 types of questionnaires:
 Generic Audit applicable to any supplier’s production facility;
 Special Processes Audits (one questionnaire per type of special process).
The generic process audit deals with:

1. Process (or project) management, control of in/out data,
2. Purchasing, procurement,
3. Production, workstations,
4. Final products inspection and testing,
5. Planning and logistics,
6. Non conformity and problem solving management,
7. Personnel, training, skills management.
The key Special Processes Audits (one questionnaire per process) are available from the following list:
Casting, welding, stratification, rubber metal, wiring, printed circuit board.
forging, PCBA gluing, Assembled & magnetic particle testing, torque tightening,
extrusion, riveting, electronic board, Glued, painting & coating, surface treatment,
machining, brazing, heat treatment, winding, coating.
This list is not exhaustive and could be extended.
Requirements
 A score of 80% or greater on each audit questionnaire,
 No major “Corrective Action Request”.
 If the supplier is not qualified – score < 80% and/or major corrective actions, then:

o Supplier is required to close all blocking item (majors) within six months following audit
completion date,
o Supplier is also required to close all items (minors) within one year of the audit.

PRODUCT / SYSTEM / SOFTWARE QUALIFICATION
Purpose
The product / system / software audit is performed to assess the ability of the supplier involved partially or
totally in product / system / software development activities with Alstom to:
 Perform development and/or industrialization activities under Alstom intellectual properties,
 Develop product / system / software based on an Alstom specification.
For product / system, this audit is divided into five main sections:
1. Project management, control of input / output data
2. Purchasing
3. Product / process Development
4. Industrialization and test
5. Safety Development
For software, this audit is divided into four main sections:

1. Certification, applicable processes, return of experience
2. Project management
3. In house software development
4. Safety development
Requirements
 An overall score on questionnaire above 80% and,
completion date,

SUPPLY CHAIN QUALIFICATION
Purpose
 If needed, to evaluate supplier’s ability to control his supply chain and production planning, using
supply chain audit.
It has to be noted that the QSCA (Quick Supply Chain Audit) is integrated in the generic process audit
questionnaire. As a result no QSCA will be performed if a generic process audit has been performed or is
planned.
These audits are focused on the management of all supply chain-related activities:
1. Long & Medium term planning,
2. MRP (Materials Requirements Planning),
3. Scheduling of production,
4. Change management,
5. Inventories,
6. Capacity of equipment, manpower…
Requirements
completion date,

ENGINEERING SERVICES QUALIFICATION
Purpose
 To assess the ability of the engineering services subcontractors as suppliers, who do not have
production activities to:
 Work and deliver services according to Alstom requirements,
 Control their processes,
 Continuously monitor their performance in order to improve it.
Content
This audit is divided into five main sections:
1. Project management, control of in/out data,
2. Purchasing, procurement,
3. Process,
4. Inspection, delivery and Non-Conformity management,
5. Personnel, training, skills management.
Requirements
completion date,

INSTALLATION CONTRACTORS MANAGEMENT
Purpose:
The Installation Contractor Audit is performed to assess the ability of the installation contractor to:
 Install equipment according to Alstom’s requirements.
 Ensure that the contractor processes, related to project management, including special processes
management, quality & EHS, are under control.
Content:
This installation process audit includes 3 main sections:
 Project & Execution
 Quality Management System
 EHS Management System
Requirements
To be qualified, the contactor needs:
 A global Performance Level (PL) score > 4
 A global number of Risky Points (RP) ≤ 5
 On each applicable special processes ( PL > 4 and RP ≤ 5)

4.2 PREVENTION PROCESS MANAGEMENT
(DURING PRODUCT & PROCESS DEVELOPMENT)
Purpose:
An FAI (First Article Inspection) or FAT (Factory Acceptance Test) must be carried out for the key product
and/or process defined by Alstom according to risk analysis methodology. No delivery is authorized before
an FAI GO and/or an FAT GO, unless a validated waiver is issued.
Prevention process purpose is to achieve product and process maturity at FAI/FAT stage, and to ensure that
serial deliveries are at the expected level of quality and supported by robust processes.
The activities which enable this prevention process have to be defined and scheduled according to a quality
review cycle called Development for Quality Cycle (DfQ). The DfQ quality requirements are animated
through a Supplier Product Quality Development Plan called SPQD plan.
The “SPQD plan” formalizes the project quality targets and requirements. The “SPQD Plan” is defined
jointly with the supplier at the beginning of the project and includes all necessary activities for risks
prevention and planning.
The DfQ cycle is based on milestones measuring product and process development maturity steps
completion.
Requirements:
 Specifications: technical, quality, purchasing, maintenance, environment,
 Product and process Return On Experience (REX) analysis based on NCR, warranty issues,
 Drawings,
 List of sub-suppliers and subcontractors (focus on the critical parts and processes),
 Critical characteristics issued from product and process risk assessments (FMEA or other),
 Control plan,
 Routine and type tests procedures and results,
 Internal qualification files for special processes,
 Registrations: conformity reports, final inspection reports.

DEVELOPMENT FOR QUALITY CYCLE (TRAINS & TIS)
Supplier activity
SGR-GO_ORDER
Supplier preliminary design
PGR-GO_DESIGN
Detailed design & prototype
GO_QUALIF (for TIS)
Qualification and validation
CGR-DESIGN_FR
Industrialization
GO_PROD
Manufacturing of pre-series
FAI (First Article Inspection)
Type tests (TIS) / Static and dynamic tests
IQA_SOURCING
Manufacturing of series (TIS) / reliability validation
FQA_SOURCING
DEVELOPMENT FOR QUALITY CYCLE (TIS SOFTWARE)
Supplier activity
SGR-GO_ORDER
Software specification
GO Specification
Software design
GO Production
Software validation
GO Validation

SUPPLIER PRODUCT QUALITY DEVELOPMENT ACTIVITIES
Alstom Supplier Product Quality Development representative monitors the SPQD plan, thus ensuring high-
quality and timely target achievement, from business award to FAI GO or to FAT GO.
Special focus is put on product & process risk assessment and on associated control plan efficiency.
Supplier performance during development phase leads to Supplier’s evaluation based on a color code
described in the Supplier Performance Dashboard chapter.
SPQD plan requirements for parts under FAI:

 Specifications: quality, technical, maintenance, logistics, purchasing …
 Analysis on product / process return of experience,
 Routine test procedures,
 General and / or definition drawings,
 Risk analysis’ for product and for process,
 List of critical characteristics for product and for manufacturing process issued from risk
analysis,
 List of sub suppliers and subcontractors for which risks are identified,
 Control plan,
 Internal qualification for special processes,
 Type test reports,
 Registrations for product conformity and final product inspections.

TIER 2-SUPPLIER MANAGEMENT
Purpose
To ensure that the Supplier
 Transmits to Alstom product and process requirements to his own suppliers,
 Manages his own critical products/suppliers using a quality plan aligned with Alstom’s
expectations.
Requirements
 Critical products/suppliers list identified,

 Critical suppliers qualified for their process scope with focus on special & key processes,
 FAI process implemented for these products,
 Sub-supplier “NO GO” FAI waiver process exists including containment to secure deliveries,
 Required documents list exists for each delivery,
 Tier 2 product/process control plan available and validated,
 Critical product characteristics identified for bought parts,
 Incoming inspection instructions defined and consistent with critical characteristics,
 Measurement means defined, adapted and managed properly,
 Product segregation rules, according to quality status, defined and applied,
 Non Conformity management rules defined and applied.
If an audit or an FAI/FAT leads to failure to validate a tier-2-supplier, Alstom can request participation in
audit or FAI on sub-supplier’s premises (all travel and hourly fees being invoiced to the supplier).
If the supplier wishes to change one of his sub-suppliers, a written request has to be sent to Alstom.
Alstom’s agreement is required before any change can be implemented.

SPECIAL AND KEY PROCESSES MANAGEMENT
Purpose
 To demonstrate qualification of special and key processes pertaining to purchased parts
manufacturing.
Requirements
 Prior to producing the first part to be inspected during FAI, present Alstom with:
 A list of purchased parts manufacturing special and key processes, including the sub-suppliers’.
 Specific application qualification evidence for these special and key processes (i.e.:
WPS/WPQR for all welding joints, BPS/BPQR for all brazing joints, tensile testing for
crimping…).
 Involved operators training evidence.
N.B: Refer to Alstom special and key processes list on page 12.

RETURN ON EXPERIENCE
Purpose
 To guarantee non-recurrence of past issues.
Requirements:
 Carry out a root-cause analysis of previous deviations found, in relation to similar types of products,
so as to forbid carry over in the new development.
 Use REX Analysis results to define project quality targets and take them into account while
performing the Product & Process risk analyses.

PRODUCT RISK ANALYSIS
Purpose
 To take into account product life cycle-related risks, during design phases.
 To define the design validation route.
 To determine critical product characteristics.
Requirements
 Provide evidence of product risk analysis integration in design activity.
 Demonstrate existence of a critical product characteristics identification process.
 Perform preferably product risk analysis using Design Failure Modes and Effects Analysis (D-
FMEA).
 Obtain activity validation from Alstom Supplier Quality function.
 Address Product risk analysis issues in the Product & Process Control plan. (Cf. page 26)

PROCESS RISK ANALYSIS
Purpose
 To take into account product production process-related risks, during design and manufacturing
phases.
 To determine the critical process characteristics.
Requirements
 Give evidence of process risk analysis integration in the design activity.
 Demonstrate existence of a process to identify critical Process characteristics.
 Perform preferably Process risk analysis using a Process Failure Modes and Effects Analysis (P-
FMEA).
 Get validation from Alstom Supplier Quality function on activities carried out.
 Address in the Product & Process Control plan, the issues brought out in the process risk analysis.
(Cf. page 26)

PRODUCT & PROCESS CONTROL PLAN
Purpose
 To describe the product & process control activities during manufacturing of the product and the
reaction rules in case of drift.
Requirements
 Encompasses the complete manufacturing process from raw material reception to end product
dispatch activities.
 Details product & process control operations, frequency, person in charge and related recording
documents.
 Aligns to work and quality instructions.
 Gets validated by Alstom’s Supplier Quality function.
 Mandatory elements:
 Process type or operation description,  Control records,
 Machine, device or tool use,  Control Methods,
 Product and/or process characteristics to  Reaction rules in case
keep under control, of Non Conformity
 Product and/or process specifications and detection.
tolerances,
 Evaluation/measurement technique,
 Person in charge,
 Sampling (size and frequency),

PRE- FAI / GO PRODUCTION MILESTONE
Purpose
To validate product/process maturity before launching formal First Article Inspection, it can be decided
to perform a “Go-Production” and/or a Pre-FAI.
Requirements
 Check product & process maturity in accordance with technical & documentation requirements,
using a product & process checklist.
 Issue action plans based on identified deviations, to reach FAI pass conditions.

FIRST ARTICLE INSPECTION (FAI) / FACTORY ACCEPTANCE TEST (FAT)
Purpose
 To ensure product and process compliance to Alstom’s requirements.
 To authorize the product delivery to Alstom.
Content for FAI

 Based on a product & process checklist, the FAI enables to check the product & process compliance
against technical & documentation requirements. FAI is also performed for carry-over parts which
were validated over a year ago.
 Alstom requires a FAI in case of key product and/or process. Alstom keeps the right to require a
new FAI in other cases: non satisfactory initial FAI, manufacturing place change, manufacturing
process change, product change, Non Conformity reoccurrence, tier 2-supplier change, stop of
production for more than one year... Alstom requires notification of such changes prior to
implementation.
 The final FAI status is based on the product & process qualification level, following an X-Y-N code,
where:
X Letter linked to the qualification level of the manufacturing process of the FAI part.
Y Letter linked to the qualification level of the product conception validation of the FAI part.
N Figure linked to the ownership of the corrective action plan (Alstom or supplier).
Refer to the “Appendix” section where all the details of the product and process qualification status X, Y, N
are explained.

FAI status
For X :
Accepted Manufacturing process of the FAI part is qualified. No major/ minor open point(s)
Optimized Manufacturing process to be optimized. Only minor open point(s)
Rejected Manufacturing process of the FAI part is not qualified. Presence of major open point(s)
For Y:
Product conception is able to guarantee specifications compliance. No major/ minor open

Accepted point(s)
Product conception is not able to guarantee specifications compliance on minor deviations,

External not jeopardizing safety, reliability and fitting. Nevertheless, correction expected. Only minor
use possible open point(s)
Product conception is not able to guarantee specifications compliance on major deviations

Internal (outside of safety) or conformity not fully demonstrated (long term test results missing).
use only Product can be approved with a waiver. Presence of major open point(s).
Product conception does not guarantee the function or compliance to specifications.

Rejected Presence of major open point(s)
For N:
0 Product/process FAI accepted, no need for additional action plan

1 Action plan needed, blocking points are supplier’s ownership
2 Action plan needed, blocking points are Alstom’s ownership
N.B: Refer to the Appendix section for more information related to FAI status

Content for FAT
 In addition to Alstom’s customer potential specific requirements about FAT, FAT is
mandatory for all parts/material/machine listed in the project’s procurement list. The
Project Manager has to include FAT into the project master schedule as key milestones of
project sourcing process.
 The content is to assure for each equipment built, that it is compliant functionally and in
conformity to the specifications requested by Alstom.
 Testing
The tests are executed according to a specific testing procedure defined in the specification
or (if not) by the supplier’s standards.
This verification could be performed by sampling or on all parts in the batch according to
the FAT procedure.
Only the supplier representative is allowed to execute the tests with supplier testing
devices.
 Documentation control
All documents requested in the order or specifications have to be reviewed such as:
 Administration documents, i.e. : certificates, legal documents, … ;
 Type test reports;
 Control, testing and calibration reports;
 Installation, user, and maintenance handbooks; final control plan, all
conformity reports, material and components certificates;
 All documents related to shipping / transport / customs clearance.

4.3 SUPPLIER PERFORMANCE MANAGEMENT
Supplier performance is consolidated by commodity and monitored by the Supplier Quality representatives.
It is measured using the following indicators:
 Qualification status.
 Number of FAI/FAT GO on time, deliverables on time, number of open issues and on time
resolution thereof.
 Number of issues during execution: number of Non-Conformities (NCE, NCE/M€ invoiced),
supplier ranking vs. competitors, reactivity to contain, solve and close the issues.
 Number of issues during revenue service, reactivity to contain, solve and close the issues.
 Cost of Non-Quality (CONQ) due to supplier issues.
 Any other indicators set out according to businesses (installation performance…)
The supplier performance assessment is summarized through a color code: Green, Yellow or Red. These
color rules are defined on page 40.

MODIFICATION MANAGEMENT
Purpose
 To inform Alstom and get formal approval regarding any product or process modifications.
Formal Alstom acceptance is mandatory before any implementation or delivery affected by this
change.
Requirements
 Assess impacts on QCD performance and contractual requirements, before submitting the product
and/or process validation plan to Alstom, with up-to-date documentation.
 Any new validation plan is at supplier own expense.
 Modifications include (but are not limited to):
 Relocation of the production  Tools change,
site (manufacturing transfer),  Material change,
 Production process change,  Subcontractors change.
 Alstom retains the right to assess the modified process, either on supplier’s or on subcontractor’s
premises.
 In case of product modification, the supplier has to contact Alstom in order to know if a part
number modification has to be done or not.
 In case of transfer (relocation from one production site to another), audits have to be performed if
qualification status is not already achieved for the new site. A clear written communication to the
commodity manager has to be done 3 to 6 months prior to the transfer. When validated, the
modification is formalized in the contractual documentation.
 The configuration management of the product is under the supplier’s responsibility. The
modification is controlled and monitored using the following information:
 Reference(s) impacted,  If applicable, state of hardware
 Serial number of the first modified and software (revision level),
product (including sub-assemblies  Alstom’s modification number,
if impacted),  If applicable, Alstom’s waiver
 Production date, reference.
 The supplier informs Alstom about any obsolescence concerns.

DELIVERY UNDER WAIVER
Purpose
 To allow delivery of non-compliant parts detected on supplier premises, under very exceptional
circumstances.
 A waiver can be granted for one batch and/or for a certain delivery period.
Requirements
 Send the waiver to Alstom through the Supplier Quality Portal by including:
 Characterization of the Non Conformity,
 Root cause of this Non Conformity,
 Traceability information (batch number, serial number…),
 Quantity of affected parts,
 Estimated waiver expiration date,
 Corrective & preventive actions to be taken.
 No delivery is allowed prior to Alstom’s approval.
 The parts delivered under waiver have to be identified. The supplier must ask Alstom whether
specific marking is required.
 The signed waiver must be attached to the delivery sheet and a copy has to be visible on the
packaging.

NC DETECTION & NC REPORT
Purpose
A Non Conformity (NC) is the elementary metric used to measure disturbances caused by suppliers. This
might be:
 A wrong identification number or no identification number,
 A damaged product due to transport or packaging,
 A gap in quantity (missing parts in a kit versus delivery notes content agreed),
 A non-compliant product to an agreed definition & specification.
When a Supplier Non Conformity is detected, Alstom sends a Non Conformity Report (NCR) to the Supplier
through the Supplier Quality Portal.
A Non Conformity Event (NCE) gathers all NCRs concerning the same Non Conformity and same reference
number, identified within 48 hours (time for the Supplier to implement a containment action after first
detection). After 48 hours, a new NCE will be issued if the problem reoccurs.
Requirements:
 Step D4: Containment
 Implement a containment action plan within 48 hours of having been notified of the
problem, while keeping on working.
 The containment action plan protects Alstom by ensuring absence of further defective parts
either manufactured and/or delivered to Alstom.
 Perform it also on all parts already delivered or in transit to the final customer.
 It is under the full responsibility of the supplier, who may delegate it to a third-party.
 If no containment action is done by the supplier (or his delegate), Alstom may undertake
the containment activity and invoice back all incurred costs to the supplier.
 Step D6: Problem Solving
 Send to Alstom an NC corrective action plan, within 15 days of notification. It takes into
account root cause analysis for both non detection and occurrence. It lays out a schedule
for product/process actions to be implemented, in order to guarantee that the problem
doesn’t ever occur again. All corrective actions must be closed within 30 days of NC
notification.

 Step D8: REX & Closure
 Provide evidence that process has been improved so that a Non Conformity will not re-
occur on same or any other concerned piece of equipment
D4 D6 D8
Target Protect Alstom Find root cause and Prevent recurrence

implement corrective actions
Lead-time 48 hours 15 days (define action plan) As of D6 action plan
30 days (implement)
Case of Mandatory (except All major/critical issues and All major/critical issues and
application when non recurrent when requested when requested
functional issue)

COST OF NON-QUALITY (CONQ) MANAGEMENT
Purpose
 Alstom holds its suppliers liable for the financial impact of a non-conform delivery, either detected
on Alstom’s premises (called CONQ S1) or during Revenue Service* (called CONQ S2).
CONQ S1 includes but is not limited to:

 NC management standard administrative cost, i.e. 350€** per NCE since 2012, covering
preliminary characterization, procurement, and logistic tasks…,
 NC management variable cost such as further characterization, sorting out, repair, …,
 Production impact variable cost such as line stoppage, additional functional or water tightness…
tests.
CONQ S2 includes but is not limited to:
 NC management variable cost such as retrofitting, reworking, …,
 Potential penalties requested by the customer.
 Financial impact, from supply chain Non Conformity, such as blocking production or delivery,
includes:
 A fixed fee per working day impacted,
 Potential penalties requested by the customer,
 Other potential costs such as exceptional transportation….
All financial impacts will be systematically re-invoiced to the supplier.
*N.B.: Defined in the TERMS & ABBREVIATIONS section.

**N.B.: Amount given here for European countries. May be adapted on a country by country basis.

QUALITY WALL
Purpose
 In the event of an unsecured control plan, or of non-conform parts delivery reoccurrence, Alstom
may request temporary implementation of a Quality Wall that can be animated by a third party to
secure delivered product quality.
Requirements
 Quality Wall is managed by a third party mandated to carry out checks according to a checklist
validated by Alstom Supplier Quality.
 Quality Wall costs are invoiced to the supplier.
 Quality Wall removal conditions are defined from the start (i.e.: number of parts without Non-
conformity found and for how long).
 Checks results are recorded and communicated to Alstom.
 Meanwhile, the supplier commits to corrective action implementation and internal issues solving.
 Quality Wall is removed upon initially defined targets completion.
 A third party could be dedicated to full-time supplier management or problem solving support.

WARRANTY BASIC RULES: 8D MODULE
Purpose
 To manage warranty issues under supplier responsibility with the same methodology as execution
phase critical issues (8D).
 To solve revenue service problems:
 Impact on safety (K1)
 Immobilization or impact on customer or Alstom’s image (K2)
 Contractual agreements (K3)
All issues classified K1, K2 and K3 are notified to the supplier and recorded in the Supplier Quality Portal 8D
module.
Requirements
 Safety related issues to be contained within 15 calendar days (actions defined, approved by final
customers and deployment started).
 Non safety related issues must be contained within 30 calendar days (actions defined, approved by
final customers and deployment started).
 All issues must be solved within 8 months.
 Preventive actions and return on experience required from the supplier to close the 8D analysis.

4.4 GLOBAL PERFORMANCE MANAGEMENT
GLOBAL PERFORMANCE & IMPROVEMENT MANAGEMENT
Purpose
 To increase performance at every development and production stage.
Content
 Alstom to communicate periodically on Quality targets.
 Results are shared with the supplier through the Supplier Quality Portal.
 Supplier performance is measured and deviation against target monitored.
Requirements
 Submit a global improvement plan to Alstom, based on Non Conformity typology and weaknesses
analysis during development and execution phases.
 It is regularly reviewed and challenged by Alstom Supplier Quality representatives.
 Alstom also re-assesses suppliers’ compliance with its panel criteria, every 3 years or less according
to “Panel Entrance” rules. Any deviation identified during these audits is managed through the
improvement plan. However, if risks are identified, a Supplier Quality Development representative
can ask for an immediate containment action plan to permit parts delivery.

SUPPLIER COLOR STATUS, ESCALATION PROCESS AND RESIDENT
Purpose
 To grade suppliers in terms of Quality target achievement and reactivity during development and
execution phases.
 To focus on the “non-performing” suppliers to make them react according to requirements and to
give them support in term of issue solving.
Content
 Supplier Quality status is assigned using a color code (Green, Yellow or Red), provided on the next
page.
 Status change is notified through the supplier quality portal by the sites or by the central
organization along with reasons why and exit conditions.
 Alstom schedules periodic supplier performance and action progress review meetings, based on the
color code status.
 When a supplier under Red status is demonstrating a poor level of performance, or in case of
severe degradation, a resident is put in place by Alstom, on the supplier site to ensure containment,
a strong corrective action plan and to verify that a long term recovery action plan is implemented
(status “Red with resident”).
 “Green” status suppliers, which are the best performers (NCE, FAI, Warranty), could be labelled
“trusted”. In that case minimum development follow-up is performed by Alstom Supplier Quality
teams.

COLOR CODE ASSIGNMENT CRITERIA
Supplier performance color code Tools and Management Requirements
 Presentation of a global improvement plan.

 For Audits, NCE, FAI, and Warranty: best in class, best performer
Trusted
against the average of the commodity.

 Recognized by certificators (IRIS, ISO…).
 Used to co-develop with Alstom.
 Supplier is on target in terms of NCE, FAI….

Green
 Product and process modifications are managed without risk and in

full transparency,
 No safety warranty issue.
 8D managed locally.
 Product and process modifications not managed (information to
 Management review involving supplier management,
Alstom and Alstom validation obligation) AND/OR
local quality and sourcing representatives.
 Off target in terms of NCE, FAI or such quality performance indicator.
Yellow
 Improvement plan managed by local Quality and

 However:
Sourcing representatives.
- Proven reactivity,
 Audit plan and corrective action process.
- No safety or recurrent warranty issue.
 Audit CAR’s blocking items not closed < 6 months.
 Audit CAR’s not closed in 12 months (included Minors).
 8D managed locally,
 Yellow status for 3 months AND/OR,
 Reinforced locally managed control plan,
 Yellow on several Alstom sites for a given month AND/OR,
 Definition, by Alstom Supplier Quality, of red status
 Execution results on Alstom premises are off target and in chronic
exit conditions (performance targets and due date),
deterioration over the last 3 months, AND/OR,
 Upgrading plan managed by Alstom Quality and
 Safety related issue, AND/OR,
Sourcing representatives,
 2 major warranty issues within the last 3 months, AND/OR,
 Management review involving Supplier management,
Red
 Repeated violation of product and process modification requirements

Commodity manager or Domain Director, Supplier
(information to Alstom and Alstom validation obligation) AND/OR,
Quality Development representative,
 Recurrences in warranty issues AND/OR,
 Quality wall implemented on supplier’s site by a third
 Product Development results off target, i.e.:
party,
- At least 2 FAI NOGO on the same product, involving supplier
 NBOH (New Business On Hold) to be considered by
responsibility,
Alstom.
- At least 3 successive FAI NOGO on various products.
 AND in all cases, no proven reactivity, ineffective action plan.
 8D managed locally,
 NCE level above the average of the commodity,
Red with resident
 Quality wall,
 Recurrent FAI “NO GO”,
 Global quality improvement plan.
 Major corrective actions,
 Poor reactivity and capability to contain the issues and to implement
corrective actions,
 Non robust manufacturing & testing processes in place.

RETURN TO GREEN STATUS FOR YELLOW AND RED SUPPLIERS
Purpose
 Alstom requires from “Yellow and Red” status suppliers to develop a strong recovery quality plan in
order to get back to “Green” status and to be maintained in Alstom panel.
Requirements
 A robust corrective and preventive action plan, to get upgraded from “Yellow” status within 3
months and from “Red” status within 5 months,
 Validated and monitored on premises by Alstom Sourcing and Supplier Quality Development
representatives, including training and workshops as necessary,
 Regular follow-up meetings,
 Mandatory Quality Wall for “Red” status supplier before start of production,
 Associated Alstom costs charged to the supplier.

5 APPENDIX: FAI STATUS
Product
Process
Conception Comments
Qualification Responsibility Criteria FAI Status
validation Reaction rules
status
status
Product conforming to the definition
FAI validated no need of
A 0 and specifications, complying with the
additional action plan.
GO
usage conditions.
A corrective action plan
1 Minor non conformities, not has to be defined and
GO
jeopardizing Safety, Reliability or implemented by the
E Fitting, but correction requested as owner. A delivery waiver
with minor
open points
2 soon as possible. can be required by SPQD
Manager.
has to be defined and
A 1 Major non conformity, not jeopardizing
implemented by the
NO GO
owner. A waiver must be
I Safety & Regulation items or long term
signed by PrQM, SPQD
with major
test results missing. open points
Manager and person in-
2 charge before allowing
delivery.
1 Product not conforming to the

definition or specifications (safety NO DELIVERY
R regulation), and/or not complying with ALLOWED
NO GO
usage conditions.
2

Product
Process
Conception Comments
status
status
Product conception guarantees the
has to be defined and GO
compliance to the specifications, but
implemented by the with minor
A 1 the process must be improved. No
owner. A delivery waiver open
major point only minor points are
can be required by SPQD points
open but no risk on repeatability.
Manager.
Minor product Non-conformities not

1 jeopardizing safety or reliability nor
has to be defined and GO
fitting but corrections needed right
implemented by the with minor
E away.
owner. A delivery waiver open
The process must be improved. No
can be required by SPQD points
2 major point only minor points are
Manager.
open but no risk on repeatability.

Major product Non-conformities but
O 1 not jeopardizing safety or regulation,
implemented by the NO GO
OR long term test results missing.
owner. A waiver must be with major
I The process must be
signed by PrQM, SPQD open
improved. No process major point
Manager and person in points
only minor points are open but no
2 risk on repeatability.
charge before allowing
delivery.
1
Product not conforming to the
definition or the specifications
R (safety/regulation), and/or not
NO DELIVERY ALLOWED NO GO
complying with usage conditions.
2

Product
Process
Conception Comments
status
status
Product conception guarantees the
compliance to the specifications, but NO GO
implemented by the
the process is not capable to with
owner. A waiver must be
A 1 guarantee the reproducibility of
signed by PrQM, SPQD
major
conforming parts. No delivery open
Manager and person in-
without reinforced Quality checks & points
charge before allowing
Quality Wall.
delivery.
Minor product Non-conformities not A corrective action plan
jeopardizing safety or reliability or has to be defined and
1 fitting but corrections needed asap... implemented by the NO GO
The process is not capable to owner. A waiver must be with major
E guarantee the reproducibility of signed by PrQM, SPQD open
conforming parts. No delivery Manager and person in- points
2 without reinforced Quality checks & charge before allowing
Quality Wall. delivery.
R
Major product Non-conformities but A corrective action plan
1 not jeopardizing safety or regulation, has to be defined and
or long term test results missing. implemented by the NO GO
The process is not capable to owner. A waiver must be with major
I guarantee the reproducibility of signed by PrQM, SPQD open
conforming parts. No delivery Manager and person in- points
2 without reinforced Quality checks & charge before allowing
Quality Wall. delivery.
1 Product not conforming to the

definition or the specifications
R (safety / regulation), and/or not
NO DELIVERY ALLOWED NO GO
2 complying with usage conditions.

6 TERMS AND ABBREVIATIONS
8D: 8 Disciplines
Problem solving methodology allowing the identification of the root causes of a problem (root causes of
non-detection and root causes of creation)
BPQR: Brazing Procedure Qualification Record
BPS: Brazing Procedure Specifications
CAR: Corrective Action Request
CGR: Critical Gate Review
CONQ: Cost Of Non Quality
D-FMEA: Design Failure Mode and Effects Analysis
FAI: First Article Inspection
FAT: Factory Acceptance Test
FQA: Final Quality Approval
FSCA: Full Supply Chain Audit
IQA: Initial Quality Approval
IRIS: International Railway Industry Standard
KPI: Key Process Indicators
MRP: Materials Requirements Planning
NBOH: New Business On Hold
NC: Non Conformity
NCE: Non Conformity Event
NCR: Non Conformity Report
OIL: Open Issue List
P-FMEA: Process Failure Mode and Effects Analysis
PrQM: Project Quality Manager
QAF: Quality Assurance File
QSCA: Quick Supply Chain Audit
RAMS: Reliability, Availability, Maintainability, Safety
REX: Return on Experience
RFQ: Request For Quotation
Requirement: need or expectation that is stated, generally implied or obligatory

Revenue Service: covers all issues or problems reported by the client during the warranty period.
Rework: action on a nonconforming product to make it conform to the requirements
Special process: a process where the conformity of the resulting product cannot be readily or economically
verified is referred to as a “special process”
SPL: Supplier Part List
SPQD: Supplier Product Quality Development
SQA: Supplier Quality Assurance
TIS: Transport Information Solutions
UNIFE: Union of European Railway Industries
Waiver: permission to use or release a product that does not conform to the specified requirements.
WPQR: Welding Procedure Qualification Record
WPS: Welding Procedure Specifications

TRANS/MQUALI/TRANSP/eng/Transv/January 2016/FR - ©ALSTOM 2016 - ALSTOM, the ALSTOM logo and any alternative version thereof are trademarks and service marks
of ALSTOM. The other names mentioned, registered or not, are the property of their respective companies. The technical and other data contained in this document is provided
for information only. ALSTOM reserves the right to revise or change this data at any time without further notice. Photo credits: © Alstom Transport
SCG-STD-006 version 2
-48-
Alstom
www.alstom.com
48, rue Albert Dhalenne
Telephone: +33 1 57 06 90 00
93482 Saint-Ouen Cedex France

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ALSTOM

SUPPLIER QUALITY MANUAL

This Quality Manual issue supersedes former issues.

Leon LINDERS Olivier BARIL Alain HOMASSEL

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Our common basics

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This Supplier Quality Manual describes:

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This is a non-exhaustive list; going forward other modules may be developed.

 Business modules key points:

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 Yellow/Red status suppliers

 Action plan management

 It contains also one Communication/dashboard module:

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Performance management in execution: process of supplier assessment according to the quality

Global performance management: process of supplier assessment according to the performance in

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It is the supplier’s responsibility to qualify his own suppliers.

The generic process audit deals with:

This list is not exhaustive and could be extended.

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For software, this audit is divided into four main sections:

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DEVELOPMENT FOR QUALITY CYCLE (TIS SOFTWARE)

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SPQD plan requirements for parts under FAI:

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 Critical products/suppliers list identified,

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Content for FAI

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Optimized Manufacturing process to be optimized. Only minor open point(s)

Product conception is able to guarantee specifications compliance. No major/ minor open

Product conception is not able to guarantee specifications compliance on minor deviations,

Product conception is not able to guarantee specifications compliance on major deviations

Product conception does not guarantee the function or compliance to specifications.

0 Product/process FAI accepted, no need for additional action plan

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 Step D6: Problem Solving

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Target Protect Alstom Find root cause and Prevent recurrence

Lead-time 48 hours 15 days (define action plan) As of D6 action plan