Audit Checklist Production Management2

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Checklist for production management

Text of Audit Checklist Production Management2

INTENDED FOR USE WITH EXCEL 2003 OR 2007

Includes the following translations; Chinese-Simple, ChineseTraditional, Dutch, English, French, German, Russian & Spanish.

Table of Contents Contents What's new with this revision? Language Instructions Typical Audit Cycle ISO / TS Cross Reference Supplier Profile & Audit Record Standard Checklist Audit Scores & Findings Supplier Corrective Actions RoHS Requirements REACH Compliance Added Requirements Checklist Audit Scores & Findings Supplier Corrective Actions Audit Results Audit Team Recommendation Final Disposition Auditor Notes & Attachments Upload Audit Results to Database Quick Links Sign-in to ESAC Database ESAC Auditor Training Materials ESAC Help Request Request ESAC Database Access Sign up for ESAC Training Workbook Compatibility w/ Excel EU REACH Documents Auditor QualificationsContents Page: 1 of 64

Revision Level: ESAC 2008-06

Emerson Supplier Audit ChecklistESAC provides a standardized evaluation of a supplier's quality potential. It is based on ISO 9001 & TS16949 and strongly emphasizes manufacturing process/quality control. The audit process typically reveals opportunities for improvement and corrective actions are implemented to help reduce quality risks and improve supply chain reliability. In addition, the ESAC Workbook provides a means to upload audit results, corrective actions and audit team recommendation to a central database. The Emerson Supplier Audit Checklist is sponsored by the Emerson Quality Council and endorsed by Emerson Corporate Procurement. Divisions are encouraged to use the ESAC Database to view audit results from other Emerson Divisions or Supply Chain Organizations to assist in making sourcing decisions. We believe you will find ESAC to be a valuable tool for both supplier selection and supplier improvement. Emerson personnel should be properly trained prior to leading a supplier audit. If auditor training is not available within your Division, we recommend professional organizations, such as the American Society for Quality (ASQ). The ESAC Core Team has developed a 4-hour training course and ESAC Scoring Guidelines. The "Auditing with ESAC" course provides experienced auditors with instructions on how to use the ESAC assessment tool and scoring guidelines. Please follow the "Typical Audit Cycle" specified on the Instructions page. (Need more information? Use the Quick Links on this page or go to the Instructions tab.) Key information from each ESAC audit is available on the ESAC Database. Click links below to request access or to sign-in if you have already registered.

Request ESAC Database Access

Sign-in to ESAC Database

General Instructions: a.) Set the Excel macro security to medium. Click "Enable Macros" when opening this file.) b.) Use the "Language" and "Show-Hide" buttons as necessary to facilitate use. c.) Read "Instructions" before using the ESAC Workbook. d) You must be registered to the ESAC Database to upload audit data.Note: Use Excel 2003 or 2007 (or newer). Using Excel 2000 (or older) will cause malfunctions to occur.

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Sponsored by the Emerson Quality Council (Emerson Proprietary)

Emerson Proprietary 130039525.xls.ms_office

Date Printed: 2/19/2013

What's new with this revision? Here are the highlights .1 REACH Compliance requirements added. Five questions are now available on the Std Checklist and included in the Audit Results. Application Instructions for REACH (Checklist Section 18.0) Beginning June 1, 2008, ESAC audits must include Standard Checklist Section 18.0, "REACH Compliance" except when Division management has positively verified that the parts provided by this supplier will not be used in Emerson products sold in European Union countries. Requirement 18.5 may be marked as "n/a" if the supplier is not currently providing parts to Emerson with Substances of Very High Concern (SVHC) that exceed 0.1% wt./wt. Link to 'EU REACH Documents' added to Quick Links on the Contents page. Also added more links for requesting ESAC database access and sign-in to the database. Example questions provided on the 'Added Requirements' page for topics like labor relations, business ethics, environmental and quality management in greater detail. DUTCH is now available on the Instructions, Supplier Profile and Std Checklist tabs. ESAC now supports eight languages. Commodity Family area expanded on the Supplier Profile to allow input of two Commodity Family names when applicable. ESAC is no longer compatible with Excel 2000 or earlier versions. What are your options? 1. Upgrade to a more current version of Excel, like Excel 2003 or 2007. 2. Click on the "ESAC Help Request" link (below) to inquire about availability of an ESAC that is compatible with older Excel versions.

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Workbook Compatibility with Older Excel Versions

ESAC Help RequestThe following will occur when using this workbook with older Excel versions. - "Run Time error 1004" message will appear after using the "Select Language" buttons on "Language" tab. It may appear at other times also. - Continued use of the file may cause formula malfunctions resulting in miscalculation of scores, etc. - Filters on the Standard Checklist and Added Requirements tabs may not function. - May not be able to adjust row or column heights or insert Division logo.

Emerson Proprietary 130039525.xls.ms_office

Date Printed: 2/19/2013

Contents Page: 2 of 64

Auditor Qualifications Q: How well trained and experienced should someone be before leading an ESAC audit? A: See the recommendations below & the "ESAC Auditor Training Materials" link.The recommendations below help ensure that Emerson auditors are appropriately trained and qualified before leading an ESAC audit. These guidelines are intended to promote consistency and professionalism. Each Division and Supply Chain Organization should establish their own requirements for auditor qualification and then monitor auditor performance. 1. Completion of an ISO 9001/TS16949 auditor training course (typ. 3 to 5 days), either lead auditor or internal auditor training, provided by a reputable registrar or consulting/training provider. Or, attend the ESAC Core Team's "Comprehensive Auditor Training" class (1-day plus ESAC audit participation). 2. Attend "Auditing with ESAC" class to learn about how to use ESAC and to properly apply scoring. Must pass written test to confirm training effectiveness. (This class is optional if the auditor has attended the "Comprehensive Auditor Training" class.) 3. Participate on one or two ISO based quality system audits of suppliers or Emerson production facilities (ie., internal audits). Recommended that at least one of the audits be an ESAC audit. (Note: Confirmation to lead an audit must come from the auditor's Division.) 4. It is always advisable to participate in re-training on ESAC or generic quality system auditing or take the ASQ "Certified Quality Auditor" exam. (This would be monitored by the Division.) In addition to training, Emerson auditors should have excellent interpersonal skills and general business knowledge. Source: ASQ.org, "Minimum Expectations for a Certified Quality Auditor" Must possess the knowledge and ability to effectively conduct different types of audits in a professional, ethical and objective manner using and interpreting applicable standards/requirements, with an awareness of potential legal and financial ramifications. Must be able to effectively plan, develop, communicate and execute an audit within a defined scope, including resource scheduling, conducting necessary meetings in performance of the audit and using appropriate auditing techniques. Must be able to verify, document and communicate audit results, develop an audit report and evaluate the effectiveness of corrective action/follow-up. Must possess interpersonal skills to resolve conflict, conduct interviews and make presentations effectively. Must be able to participate in, lead and facilitate teams. Must understand how quality principles relate to business processes and be able to explain the importance of aligning the audit function to the organization. Must be able to select and use a wide variety of quality and auditing tools and techniques in practical applications.TOC

Have technical knowledge of the processes being audited and the ability to effectively use an process audit checklist when required.

Emerson Proprietary 130039525.xls.ms_office

Date Printed: 2/19/2013

Contents Page: 3 of 64

Available LanguagesChineseSimple ChineseTraditional

Language Selection Instruction "&"""

Language Selection ButtonsChinese-Simple ()

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ChineseTraditional (

Dutch

Nederlands

LEVERANCIERSINSTRUCTIES: Klik op de knop rechts in de taal die u verkiest om de verschillende onderdelen van deze vragenlijst te tonen. Vervolledig de in lichtgroen gekleurde velden op de bladzijden "Leveranciersprofiel & Auditplan" and "Standaard vragenlijst". SUPPLIER INSTRUCTION: Click button to the right to display portions of this workbook in the language you choose. Complete the areas highlighted in light-green on the "Supplier Profile & Audit Plan" and "Standard Checklist" pages. INSTRUCTIONS FOURNISSEUR : Cliquer sur le bouton de droite pour afficher les diffrentes parties de ce questionnaire dans la langue de votre choix. Complter les zones repres en vert clair sur les onglets Renseignements fournisseur et plan d'audit et Questionnaire standard . LIEFERANTEN-ANWEISUNG: Knopf rechts anklicken um die Ansicht dieses Arbeitsbuches in der Sprache Ihrer Wahl anzuzeigen. Vervollstndige die hellgrn unterlegten Bereiche in den Seiten des Audit-Planes, Lieferanten-Profiles- und in den Standardchecklisten. : . , - " "