Audit Checklist Production Management2

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Checklist for production management

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<p>INTENDED FOR USE WITH EXCEL 2003 OR 2007</p> <p>Includes the following translations; Chinese-Simple, ChineseTraditional, Dutch, English, French, German, Russian &amp; Spanish.</p> <p>Table of Contents Contents What's new with this revision? Language Instructions Typical Audit Cycle ISO / TS Cross Reference Supplier Profile &amp; Audit Record Standard Checklist Audit Scores &amp; Findings Supplier Corrective Actions RoHS Requirements REACH Compliance Added Requirements Checklist Audit Scores &amp; Findings Supplier Corrective Actions Audit Results Audit Team Recommendation Final Disposition Auditor Notes &amp; 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</p> <p>Revision Level: ESAC 2008-06</p> <p>Emerson Supplier Audit ChecklistESAC provides a standardized evaluation of a supplier's quality potential. It is based on ISO 9001 &amp; 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.</p> <p>Request ESAC Database Access</p> <p>Sign-in to ESAC Database</p> <p>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.</p> <p>Place Division Logo here</p> <p>Sponsored by the Emerson Quality Council (Emerson Proprietary)</p> <p>Emerson Proprietary 130039525.xls.ms_office</p> <p>Date Printed: 2/19/2013</p> <p>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.</p> <p>2 3 4 5</p> <p>Workbook Compatibility with Older Excel Versions</p> <p>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.</p> <p>Emerson Proprietary 130039525.xls.ms_office</p> <p>Date Printed: 2/19/2013</p> <p>Contents Page: 2 of 64</p> <p>Auditor Qualifications Q: How well trained and experienced should someone be before leading an ESAC audit? A: See the recommendations below &amp; 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</p> <p>Have technical knowledge of the processes being audited and the ability to effectively use an process audit checklist when required.</p> <p>Emerson Proprietary 130039525.xls.ms_office</p> <p>Date Printed: 2/19/2013</p> <p>Contents Page: 3 of 64</p> <p>Available LanguagesChineseSimple ChineseTraditional </p> <p>Language Selection Instruction "&amp;"""</p> <p>Language Selection ButtonsChinese-Simple ()</p> <p> &amp;</p> <p>ChineseTraditional (</p> <p>Dutch</p> <p>Nederlands</p> <p>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 &amp; 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 &amp; 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. : . , - " " " ". INSTRUCCION AL PROVEEDOR: Haga clic en el boton de la derecha para mostrar partes de este archivo en el idioma que escoja. Llene las areas en verde claro en las paginas "Supplier Profile &amp; Audit Plan" y "Standard Checklist."</p> <p>Dutch (Nederlands)</p> <p>English</p> <p>English</p> <p>English</p> <p>French</p> <p>Franais</p> <p>French (Franais)</p> <p>German</p> <p>Deutsch</p> <p>German (Deutsch) (intentionally</p> <p>Russian</p> <p>Russian () Spanish (Espaol) (intentionally</p> <p>Spanish</p> <p>Espaol</p> <p>Company Confidential 130039525.xls.ms_office Language</p> <p>Date Prined: 2/19/2013</p> <p>Page: 4 of 64</p> <p>Supplier to complete light-green cells</p> <p>Emerson to complete light-yellow cells</p> <p>1 Supplier to complete as indicated. Answer all questions in the Supplier Quality Capabilities section. Explain any answered with "No" or "Not Applicable". 2 Supplier to complete "Self-Audit" on Std Checklist (if requested by Division). Use column labeled "Supplier Self-Audit Score". Click column heading for guidelines.</p> <p>Emerson Supplier Audit ChecklistSupplier Profile &amp; Audit Plan3 Return the ESAC file and any requested documentation to the Division or Supply Chain Organization within 7 days or per their instruction. 1.0 SUPPLIER PROFILE (Supplier to Complete) Supplier (Company name) Facility Address Facility Address (cont) City State / Province Country Mail Code Remit to Address Remit to Address (continued) Remit to Address (continued) Supplier's Telephone No. Supplier's Fax No. Supplier's E-mail Address Supplier's Web-site Year Started Operations Other Location 1 Other Location 2 Other Location 3 Supplier Contacts President Plant Manager Quality Manager Customer Service Manager Sales Manager Engineering Manager Other - Type Title here. Other - Type Title here.</p> <p>^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ Name Phone email Address ^ ^ ^ ^ ^ ^ ^ ^</p> <p>Emerson Proprietary 130039525.xls.ms_office</p> <p>Date Printed: 2/19/2013</p> <p>Supplier Profile &amp; Audit Plan Page: 5 of 64</p> <p>Supplier to complete light-green cells</p> <p>Emerson to complete light-yellow cells</p> <p>1 Supplier to complete as indicated. Answer all questions in the Supplier Quality Capabilities section. Explain any answered with "No" or "Not Applicable". 2 Supplier to complete "Self-Audit" on Std Checklist (if requested by Division). Use column labeled "Supplier Self-Audit Score". Click column heading for guidelines.</p> <p>Emerson Supplier Audit ChecklistSupplier Profile &amp; Audit Plan3 Return the ESAC file and any requested documentation to the Division or Supply Chain Organization within 7 days or per their instruction. ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ Quality System Certification Status ^ ^ ^ ^ ^ Annual Sales (USD) Capacity/Year (Units) Plant Size (total) Actual Capacity Total Employees Management QA Personnel Direct Labor Labor Union Contract Expiration Quality System Certification Status Quality Standard Location Certified Expiration Date ISO / TS Registrar Accreditation Body</p> <p>Emerson Proprietary 130039525.xls.ms_office</p> <p>Date Printed: 2/19/2013</p> <p>Supplier Profile &amp; Audit Plan Page: 6 of 64</p> <p>Supplier to complete light-green cells</p> <p>Emerson to complete light-yellow cells</p> <p>1 Supplier to complete as indicated. Answer all questions in the Supplier Quality Capabilities section. Explain any answered with "No" or "Not Applicable". 2 Supplier to complete "Self-Audit" on Std Checklist (if requested by Division). Use column labeled "Supplier Self-Audit Score". Click column heading for guidelines.</p> <p>Emerson Supplier Audit ChecklistSupplier Profile &amp; Audit Plan3 Return the ESAC file and any requested documentation to the Division or Supply Chain Organization within 7 days or per their instruction. 2.0 SUPPLIER QUALITY CAPABILITIES (Supplier to Complete) Yes No or N/A Supplier to Explain All "No" or "Not Applicable" Responses Place "X" in appropriate column. Explain any "No" or "Not Applicable" answers. 1 Are specifications reviewed and production methods established that ensure applicable customer and regulatory requirements can be met on a consistent basis? 2 When required, is the customer notified of changes to items that may adversely affect quality or reliability, such as, manufacturing site, process methods, raw materials, etc.?</p> <p>3 Is there a documented corrective action system in use that focuses on elimination of problem root cause? 4 Are defined methodologies used to actively pursue cost containment and other continual improvement activities? (e.g., Lean, Six Sigma, Kaizen, 5S, etc.) 5 Are control plans (or equivalent) maintained that show the process steps, key inspection points, inspection/test method, sample size and frequency? 6 Are process capability studies, SPC or other statistical methods used to monitor and control production processes?</p> <p>7 Are documented methods used to qualify and approve machinery, process equipment, inspection/test equipment and production tooling? 8 Is product conformance to specified requirements verified prior to further processing or shipment and are records maintained? 9 Are precautions taken to control and monitor the condition of product during storage, handling and shipping to prevent loss or damage? (e.g. shelf-life or ESD sensitive materials, etc.)</p> <p>10 Are the materials and parts produce...</p>