Supplier Quality Requirements Guide – Canoga Park March 2007

1. Supplier Quality Requirements Guide – Canoga ParkMarch 2007

2. Quality Requirements Guide • Scope/Purpose of Supplier Quality Requirements Guide • Quality Requirement Elements • Philosophy • Process • Detailed Characteristic Risk Analysis Worksheet (CRAW) • Characteristic Accountability Worksheet (CAW) • Validation Plans: Procured Product Acceptance Requirements (PPAR) or Supplier Technical Requirements (STR’s) • Quality Clause Provisions • Data Package Submittal • Hardware Submittal • Acronyms /Glossary

3. Disclaimer • Nothing in this Information Guide shall be construed as giving your company contractual coverage or direction whether expressed or implied. If there are any conflicts between the language in this booklet and the language in your contract the language in your contract will prevail. Your contract contains the entire agreement of the parties and supersedes any and all prior agreements, understandings and communications between Buyer and Seller related to the subject matter of your specific contract.

4. Scope/Purpose of Guide Scope • This guide outlines primarily “high risk” hardware purchases • Lower risk hardware may not require every step outlined Purpose • The purpose of this guide is to help users successfully navigate their way through the Quality Requirements contained within the Purchase Contract • It will provide users with an understanding of: • The quality philosophy in establishing and meeting requirements • Steps in the process • Tips on successful accomplishment of quality requirements • Most frequent rejections • Acronyms and language used

5. Quality Requirement Elements • The Purchase Contract is used to communicate Quality Requirements to suppliers which includes the following: • The elements: • Characteristic Risk Analysis Worksheet (optional based upon program requirements) • Procured Product Acceptance Requirements (PPAR) or Supplier Technical Requirements (STR) • Includes Characteristic Accountability Worksheet based upon program requirements • Quality Clause Provisions

6. Philosophy • Spending time up front understanding requirements, assessing risk, and establishing proper controls improves quality, safety and First Time Through success • Prevention costs should be in proportion to benefit • Higher safety, cost, and schedule risk warrants higher prevention costs • Working together and good communication delivers a better result for everyone

7. Operating Principles • Communication, knowledge and planning between all stakeholders up front is critical to Supplier, Procurement, Quality, Integrated Product Team and Product Acceptance • Utilize available data, knowledge, and experience to understand operational and manufacturing risks associated with using/building/processing hardware • Assure proper controls are in place to mitigate those risks before production begins

8. SSME Program Process Flow PWR Q.E. identifies Inspection requirements PWR performs initial Characteristic Risk Assessment (CRAW) & PPIA determination Buyer sends RFQ’s , receivesbids, and selects supplier QE & Product Team performs CRAW with supplier 1 2 3 4 QE creates Characteristic Accountability Worksheet (CAW) & fills out left hand side Supplier identifies controls for each CAW line item (work with Sub-Tier if applicable) Supplier fills out right hand side of CAW and gives to QE (work shall not begin until right side is approved) P.O. is released to supplier 5 6 7 8 Supplier builds hardware Call for Source Inspection if applicable (Code Q203/Q223) Call for Government insp. If req’d per contract Assemble Data Package and scan into Electronic Certificate of Conformance Submit E C of C for PWR Review 9 10 11 12 PWR notifies supplier of OK to Ship when E C of C is approved Supplier sends hardware to PWR Receiving Inspection assures documentation complete, checks I.D. and damage R.I. shows acceptance in database, sends part to stock, and supplier is paid 13 14 15 16

9. PWR QE Identifies Product Acceptance Requirements PWR Q.E. identifies Inspection requirements • Hardware need is identified • Hardware is classified: • High risk • Low risk • Based on risk level, varying levels of inspection requirements are applied • Pratt & Whitney Rocketdyne Inspection Requirements are located in the Procured Product Acceptance Requirements (PPAR or STR) 1

10. PWR Performs Risk Assessment PWR performs initial Characteristic Risk Assessment (CRAW) • The most critical characteristics are identified • Critical characteristics are those drawing or specification requirements which if nonconforming: • Lead to SSME explosion and therefore loss of life and Shuttle • Potential process pitfalls are identified with their impact • Risk is assessed to determine • The likelihood of ‘Occurrence’ of the nonconformance • The ‘Severity’ of risk if the nonconformance occurs • Ability to ‘Detect’ the flaw before the hardware is used • High risk numbers require more control • The Preliminary CRAW is performed by PWR 2

11. Overview: Characteristic Risk Analysis Worksheet (CRAW) PWR performs initial Characteristic Risk Assessment (CRAW) 2 1234567 Characteristics Variation & Effect Risk Numbers Controls Characteristics Listed Here

12. Overview: CRAW PWR performs initial Characteristic Risk Assessment (CRAW) Important CRAW Classifications: • Critical Characteristic: Final level verification of a FMEA/CIL inspection or test (e.g. last time performed) • Primary Characteristic: Interim level verification of a FMEA/CIL inspection or test (e.g. 2nd to last time performed) • Key Characteristic: Important characteristic to be managed using statistical process control (SPC) • Significant Characteristic: Important characteristic requiring special controls/management 2

13. Buyer Sends RFQ & Selects Supplier Buyer sends RFQ’s , receivesbids, and selects supplier • Buyer will send out a Request for Quote with: • Drawings, specifications, Partial PPAR/STR and documentation requirements • Buyer informs supplier change control - supplier designed (RF020) or Buyer Designed (RF021) • Buyer informs supplier that contract will be awarded after CRAW and Characteristic Accountability Worksheet (CAW) are Preliminary/Complete and approved by PWR Quality Clause (Q235*) 3 *SSME quality clause

14. PWR Performs CRAW with Supplier QE & Product Team performs CRAW with supplier 4 • A face-to-face or teleconference meeting with the supplier is set up • PWR Engineering, Manufacturing, and Quality review the CRAW with the supplier • The supplier adds their expertise to the discussion including non-conformance history • The CRAW is revised to reflect any additional concerns voiced by the supplier

15. CAW is CreatedCharacteristic Accountability Worksheet QE creates Characteristic Accountability Worksheet (CAW) & fills out left hand side Supplier identifies controls for each CAW line item (work with Sub-Tier if applicable) Supplier fills out right hand side and gives to QE CAW (work should not begin until right side is filled out) 5 6 7 Widget, Casting Name 1234567 PWR Fills Out Requirements Supplier Fills Out Process Control, Acceptance Method Selected Characteristics From CRAW are listed Here

16. CAW is CreatedCharacteristic Accountability Worksheet QE creates Characteristic Accountability Worksheet (CAW) & fills out left hand side Supplier identifies controls for each CAW line item (work with Sub-Tier if applicable) Supplier fills out right hand side and gives to QE CAW (work should not begin until right side is filled out) 5 6 7 • QE takes high risk items identified in CRAW and lists them on the left hand side of the Characteristic Accountability Worksheet (CAW) • The supplier is required to identify appropriate controls on the right hand side of the CAW • No work can begin on any particular characteristic listed until the controls for that characteristic are identified and approved by PWR

17. CAW is CreatedCharacteristic Accountability Worksheet QE creates Characteristic Accountability Worksheet (CAW) & fills out left hand side Supplier identifies controls for each CAW line item (work with Sub-Tier if applicable) Supplier fills out right hand side and gives to QE CAW (work should not begin until right side is filled out) 5 6 7 • For NDT Technique Sheets (T.S.): • Prime supplier sends T.S. to the QE focal • QE focal will submit to PWR NDT for approval • Any issues should be worked directly between NDT and Supplier performing the NDT operation • Approved T.S. is returned to QE Focal and flowed back to Prime Supplier • Note: Technique Sheet must be submitted on E C of C and with the hardware Frequent Rejection

18. CAW is CreatedCharacteristic Accountability Worksheet QE creates Characteristic Accountability Worksheet (CAW) & fills out left hand side Supplier identifies controls for each CAW line item (work with Sub-Tier if applicable) Supplier fills out right hand side and gives to QE CAW (work should not begin until right side is filled out) 5 6 7 • For CAW’s Quality Provision Q235 requires: • Controls to be utilized as listed in “Control” block • Verifications to be performed as listed in “Verification” block • Any changes to controls or verifications be submitted to PWR for approval prior to implementation • Submit the approved CAW along with a statement on their Certificate of Conformance that they have processed the hardware as documented on the CAW Frequent Rejection

19. P.O. is Released P.O. is released to supplier • P.O. is released with: • Quality Clause Provisions • PPAR/STR including CAW if required • Drawings and Specifications, Outstanding Engineering Orders • No changes should be made to supplier drawings, processes or CAW characteristic controls without notification and approval from PWR • Controlling Configuration Codes • Q235, RF020, RF021 • The following pages provide tips on navigating through the Quality Clause Provisions, PPAR/STR and CAW 8

20. P.O. is Released P.O. is released to supplier • Understand the requirements • Quality Clause Provisions noted • Drawings, specifications and Outstanding Engineering Orders • PPAR/STR & CAW (as applicable) • Assure proper documentation is maintained throughout build • Certifications • Processing • Inspections • Contact the Buyer if there are any discrepancies or inconsistencies with RFQ package 8

21. Quality Provisions Text P.O. is released to supplier Steps to reading & understanding Quality Provisions Line 0001 Notes ADDITIONAL TEXT: EARLY DELIVERY CLAUSE C001 IS APPLICABLE TO THIS ITEM. C001 IS MADE AVAILABLE AT: HTTP://WWW.ROCKETDYNETECH.COM/SUPPLIERINFO/ (USE LOWER CASE LETTER WHEN ENTERING ADDRESS) QUALITY PROVISIONS: / IN ACCORDANCE WITH BUILD TO PACKAGE (BTP) / PART NUMBER BTP ID REV SEQ BTP TYPE / ---------------------- --------- --- -------- --------------- / R085659D1 BTP-001 009 1 PRODUCTION Q008 Q019 Q072 Q078 Q093 Q205 Q207 Q217 Q218 Q227 Q232 ROCKETDYNE UNIQUE SERIALIZATION REQUIREMENTS: / PART NUMBER QTY TYPE PROVIDED BY ----------------- ------ -------- ----------- ------------------- { R085659D1 } { 1X } F/R FOUNDRY 8 1. Look Up Quality Clause Provisions 2. Obtain proper BTP or PPAR Rev & Seq. Contract will state either a BTP with an embedded PPAR/STR or Standalone PPAR 3. Note serialization requirements Frequent Rejection

22. P.O. is released to supplier 8 Quality Provision Clauses • Most Frequent Quality Code Rejections • Code Q219 (All Programs) • Material Review statement not on C of C • Code Q220 (SSME program) • Technique sheets not included • NDT certifications missing • Traceability from inspection to hardware is missing • Dates are incorrect • Code Q235 (SSME Program) • Approved CAW not submitted with E C of C or data package • Missing statement on Certificate of Conformance that hardware has been processed as documented on the CAW Frequent Rejections

23. P.O. is released to supplier 8 Access Technical Information through Supplier Portal 1234567 Widget, Casting Name Full PDF view Or specific Sections of Validation Plan (PPAR) viewing

24. Access Technical Information P.O. is released to supplier QE xxx 818-586-xxxx 8 PWR Inc. Stamp/Date 1234567 Widget, Casting Name Technical Documents Link to Image Supplier Portal User clicks on Hyper link and Technical document is displayed

25. P.O. is released to supplier 8 Access Technical Information Technical Documents Link to Image Supplier Portal User clicks on Hyper link and Dwg. displayed Widget, Casting Name 1234567 1234567.drw 1.33.01.cgm 1234567.drw 1.33.02.cgm 1234567.drw 1.33.03.cgm 1234567.drw 1.33.03.cgm 1234567.drw.1.33.04.cgm 1234567.drw.1.33.05.cgm 1234567.drw.1.33.06.cgm RR-1234567 1234567-asm 1.12.igs

26. P.O. is released to supplier 8 Read Drawings & Specifications • Suppliers are required to work to the drawing or specification revision identified in the Reference Documents section of the PPAR/STR • If not specifically listed in Reference Document Section use the latest revision of drawings and specifications at time of release of contract • SSME also requires per RL00144 that where called out on drawing, certain revisions of specifications be used as listed in the RL00144 specification • Do not use superseding industry standards in lieu of obsolete military standards • Obsolete specifications can and should be used if called out on drawing • If unable to use obsolete standard, contact PWR QE for suitable replacement which requires a design change Current Problem

27. P.O. is released to supplier 8 PPARProcured Product Acceptance Requirements • The PPAR/STR contains most of the elements that will be used to accept the hardware (excluding the Quality Clauses) • Verify Requirements (first page) • CSP verifications • Material • ASL verifications • Identification & Serialization requirements • Reference Documents • Drawings, Specs and revisions to be used, as applicable Outstanding Engineering Orders • Special Instructions • Helpful notes regarding complex requirements • Characteristic Accountability Worksheet • Identifies agreed upon controls in the way of tooling, planning, NDT technique sheets etc. • Change Revision Record • Notes changes made to PPAR • Inspection Requirements • Source • NDT Source • NDT Receiving • Receiving Inspection Note: The PPAR/STR does not contain all requirements but all requirements must be met.

28. P.O. is released to supplier 8 PPARVerify Requirements Verify Requirements Tips • Assure approved sources are used for ASL and CSP related processes and materials • Assure certifications contain proper specification numbers, revisions, and dates • Assure hardware is identified properly (#1 rejection at receiving) Frequent Rejection Widget, Casting Name 1234567 PWR Inc. 1234567

29. P.O. is released to supplier 8 PPARReference Documents Reference Document Tips • Work to the revision listed – if not listed then use latest revision • Do not use superseding specifications – stick with basic spec number • Specification RL00144 requires certain first and second tier spec revisions to be used – check drawing bug note and specs to determine which specs are affected. 1234567 1234567 Widget, Casting Name

30. P.O. is released to supplier 8 PPARSpecial Instructions Special Instruction Tips • Read Special Instructions to get some helpful clarification on: • Requirements that may not be listed on drawings/specs • Sequence of operations • Complex requirements • Government & NDT Source requirements

31. P.O. is released to supplier 8 PPARChange Activity Change Record Tips • Identifies why revisions are made Widget, Casting Name 1234567

32. P.O. is released to supplier 8 PPARCAW CAW Tips • Assure that controls listed are in fact used including proper revision • Any changes to controls must be approved by PWR as required per *Q235 • Submit approved CAW on E C of C and with data package Frequent Rejection 1234567 Widget, Casting Name Spec1 Housing per xxx Spec2 Material per xxx Allowable alternate Spec3 *SSME Quality Clause

33. PPARSource Inspection Report P.O. is released to supplier Inspection Tips • Assure that all Source Inspections are performed and a copy of those buy-offs is submitted • Review all inspection requirements to understand what will be required and inspected for approval 8 1234567 Widget, Casting Name

34. PPARReceiving Inspection Report P.O. is released to supplier 8 Widget, Casting Name 1234567

35. Example STR (Supplier Technical Requirements)

36. Completion State: Partial state only for Bids, Preliminary Or Complete Supplier may work to ABC company or Generic 1234567 1234567 Widget, Casting Name Configuration Baseline • STR number & rev • Supplier Name & Approvals • Drawing & Part number • Part name • Outstanding EOs 1234567, Rev. 001, Seq. 1

37. STR Applicable Requirements List

38. Supplier Technical Requirements – Validation Plan Applicable Requirements List – The Integrated Product Team lists out The applicable first tier and lower tier Spec’s required for product acceptance Applicable Requirements List General Provisions • Applicable specifications

39. Supplier Technical Requirements – Validation Plan R1234567 R1234567-1 Applicable Requirements List Product Requirements • The set of documents required to build and validate the product • Critical process and material specifications are identified • Applicable CSP/ASL special management requirements (Requires Cert.)

40. STR CharacteristicsAccountability

41. Supplier Technical Requirements – Validation Plan Marking and Identification Per ….. A summary document of the . . . • Classified characteristics – Key, Critical or Significant product characteristics • Process Control -- the methods and in-process verifications used to monitor and manage the variation inherent in the production processes • Seller ProductValidation - Final product acceptance and related data requirements

42. Product Characteristics Product Verification & Data Basic Info Item No.—Dwg. Ref. — Char. Type 1. Product Verification 2. Data Maintenance 3. Data Submittal Characteristics, targets,(specifications and requirements as reference only) 1. 100% inspect 10 3G Lower edge trim 0.005 +/- .005 2. Maintain inspection data 3. Histogram -- distribution of all parts shipped Key 1. Verify use of CP790; Accept and ship based on SPC data 20 5F Upper edge trim 0.005 +/- .005 2. Maintain SPC data Key 3. none 1. 100% verify process performed per MPP NP98765 30 BN3 2. DNA SIG 3. Submit C of C with each shipment Characteristic Accountability (as applicable) Product Verification & Data 1. Acceptance requirements performed by the supplier prior to shipment 2. Data to be maintained by the supplier relative to the product acceptance 3. Related data that mustbe submitted with the product to PWR-Canoga Park Material Integrity -- Plating adhesion SIG(Protect from hydrogen embrittlement)

43. STR Receiving and Source Product Verification

44. Supplier Technical Requirements – Validation Plan Source Validation Plan • Validation items that will be accomplished by PWR representative at the supplier facility

45. Supplier Technical Requirements – Validation Plan Receiving Validation Plan • Completed at receipt

46. Supplier Builds Hardware Supplier builds hardware 9 • For any quality issues during build, please contact the Buyer • The Buyer will contact the responsible Quality Engineer • The Quality Engineers name and phone number can be found on the PPAR • For any other issues contact your Buyer listed on the P.O. • The Buyers name and phone number can be found on the face of the Purchase Order

47. Supplier Builds Hardware Call for Source Inspection if applicable (Code Q203) Call for Government insp. If req’d (Code *Q202) 10 • When PWR Source inspection is required as denoted by Code Q203/Q223 use Supplier Portal to request source visit • When Government inspection is required as denoted by Code *Q202 call the local DCMA and arrange the visit • Government Inspection Definitions • Witness: Watch contractor perform operation, inspection, test, process, etc. • Inspect: Independent, hands-on government Inspection. • Verify: Review of recorded data (inspection, test, etc.) for conformance to specifications, procedures, test plans drawing requirements, etc. *SSME Quality Code

48. Supplier Builds Hardware Call for Source Inspection if applicable (Code Q203) Call for Government insp. If req’d (Code Q202) 10 • PWR Inspection Definitions • Witness: To be present during and to observe an inspection, test, or other examination performed by the supplier at the supplier’s facility. • Inspect: To obtain dimensional or other data by means of direct measurement, gauging, testing, or examination of product hardware, and then to compare that data with applicable requirements to determine compliance. • Verify: To examine or review inspection or test data, documentation or other evidence of compliance that is furnished by the supplier along with the product hardware to which it refers.

49. Assemble the Data Package Assemble Data Package and scan into Electronic Certificate of Conformance • Tips on Assembling the Data Package • C of C • Include Q219 MR Statement • Include Q235 CAW Statement • Include RF020 or RF021 - No changes made statement • Certifications • Assure all certifications are included in E C of C • Assure certs complete, accurate and dates match • Assure Q220 NDT certs are compliant with code • Approved Technique Sheets are submitted • PPAR • Submit complete PPAR (all pages) • Acceptance • Submit evidence of all buy offs including Government 11 Frequent Rejections Frequent Rejections

50. Tips to Improve E C of CFirst Time Through Assemble Data Package and scan into Electronic Certificate of Conformance 11 • Frequent Rejections of Electronic Certificate of Conformance • Violations of Quality Code Q220 • Assure technique sheets are included • Assure all NDT certs are included • Assure information required per Q220 is on the cert • Missing Documentation • Documentation errors • Dates incorrect • Assure dates on certs and in E C of C are in sync • Violations of Quality Code Q219 • Assure MR statement is on C of C • Violations of Quality Code Q235 Frequent Rejections