Emerson Supplier Chain Audit

Emerson Proprietarydocument.xls Date Printed: 04/07/2023 Contents

Page: 1 of 68

INTENDED FOR USE WITH EXCEL 2003 OR 2007 Table of Contents

Revision Level: ESAC 2008-06

Emerson Supplier Audit Checklist

(Need more information? Use the Quick Links on this page or go to the Instructions tab.)

Quick Links

Place Division Logo here

Sponsored by the Emerson Quality Council (Emerson Proprietary)

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

Contents

What's new with this revision?

ESAC 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.

Language

Instructions

Typical Audit Cycle

ISO / TS Cross Reference

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.

Supplier Profile & Audit Record

Standard Checklist

Audit Scores & Findings

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.

Supplier Corrective Actions

RoHS Requirements

REACH Compliance

Added Requirements Checklist

Please follow the "Typical Audit Cycle" specified on the Instructions page. Audit Scores & Findings

Supplier Corrective Actions

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.

Audit Results

Audit Team Recommendation

Request ESAC Database Access Sign-in to ESAC Database Final Disposition

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.

Auditor Notes & Attachments

Upload Audit Results to Database

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 Qualifications

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mailto:[email protected]?subject=ESAC%20Help%20Request

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Descriptions: Place cursor over the cells containing a red triangle to see a description of each tab.

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EMERSON: Complete the Audit Plan & hide tabs as appropriate prior to sending ESAC to supplier.

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Contents: A table of contents that contains several hyperlinks to workbook topics and web locations.

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Language tab: Allows selection of various languages. Effects text shown on pages used by suppliers.

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Instructions tab: Provides general instructions for using ESAC. Use Quick Links for additional information.

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Supplier Profile & Audit Plan: Division name, dates & other information about the audit. Supplier information; location, size & quality capabilities.

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Standard Checklist: Contains the audit Requirements (questions), audit scores, findings, observations & the supplier's corrective action plan.

E18

Additional Requirements: An OPTIONAL checklist used to record additional audit questions, results & supplier corrective actions. Can pertain to a production process or general business.

E21

Audit Results: View audit scores, audit team recommendation & final disposition.

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Auditor Notes: Observations, photos & comments from the Emerson auditor.

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Upload: FOR EMERSON USE ONLY.

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Quick Links: Click underlined phrase. Some links require internet connection.

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EMERSON: Place Division logo here. (optional)


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Workbook Compatibility with Older Excel Versions

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.

The 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.

What's new with this revision? Here are the highlights ….

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 Help Request

mailto:[email protected]?subject=ESAC%20Help%20Request


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Auditor Qualifications

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 select and use a wide variety of quality and auditing tools and techniques in practical applications.

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

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 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.

TOC

Company Confidential document.xls Language

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Language Selection Instruction

中国简单

中國傳統

Dutch Nederlands

English English

French Français

German Deutsch

Russian Русско

Spanish Español

Available Languages

Language Selection Buttons

Chinese-Simple

供应商指示：点击右边按钮这本作业簿会以您选择语言显示。请填妥在"评审计划&供应商背景"和"标准清单"页浅绿色突出的区域。

Chinese-Traditional

供应商指示：點擊右邊按鈕這本作業簿會以您選擇語言顯示。請填妥在““評審計劃&供應商背景”和“標準清單”頁淺綠色突出的區域。

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 différentes parties de ce questionnaire dans la langue de votre choix. Compléter les zones repérées 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. Vervollständige die hellgrün unterlegten Bereiche in den Seiten des „Audit-Planes, Lieferanten-Profiles-“ und in den „Standardchecklisten“.

ИНСТРУКЦИЯ ДЛЯ ПОСТАВЩИКА: Щелкните кнопкой справа чтобы данный текст отобразился на выбранном языке. Заполните поля , выделенные светло-зеленым на листе "План проверки и Профиль Поставщика" и "Программма оценки".

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 & Audit Plan" y "Standard Checklist." Spanish (Español)

Chinese-Simple ( )中国简单

Chinese-Traditional (中國傳

)統

English

Dutch (Nederlands)

French (Français)

German (Deutsch)

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Russian (Русско)

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Emerson Proprietarydocument.xls

Date Printed: 04/07/2023 InstructionsPage: 5 of 68


Instructions

GENERAL INSTRUCTIONS FOR USING ESAC

总概述

使用ESAC评审表格- 搜寻技巧


Instructions

GENERAL INSTRUCTIONS FOR USING ESAC Key Word Search

Using the ESAC Workbook - Navigation Tips

The Contents tab contains several links to other tabs and to external sources of information.

Show/Hide buttons on "Contents"

General InformationESAC is an assessment of the supplier's quality management system.

ESAC is based on ISO 9001:2000 and ISO/TS 16949:2002. A cross-reference table has been provided below.

ESAC supports three auditing events.

Supplier Self-Audit: A supplier's assessment of their quality system in preparation for the Emerson audit.

On-Site Audit: An on-site audit conducted by Emerson personnel.

Use the hyperlinks to get around quickly. Move from tab to tab by clicking the dark blue underlined text in the corner of each page.

Additional hyperlinks in the larger sheets provide an easy way to move top to bottom or side to side on the same sheet. For instance, on the Standard Checklist, the far left column and the row just below the header are filled with hyperlinks. Clicking hyperlink to move to another tab will not automatically open that tab if it is hidden. When this occurs the hyperlink will appear to be nonfunctional. Use show/hide buttons to ensure that the destination tab is not hidden.

Click "Contents' in the upper left corner.

Use the macro buttons for various functions, such as, choosing language, hiding unnecessary tabs (like this sheet) prior to sending the ESAC Workbook to a supplier.

ISO / TS Cross-References

General quality system auditor training is a necessary first step to effectively using any formalized audit protocol. Recommended minimum training for ESAC auditors and lead auditors are as follows;

Auditor: 16 hour general auditor course and 4 hours of training on how to use ESAC. Internal Auditor training and participation is acceptable.

Lead Auditor: 40 hours of general auditor training and 4 hours of training on how to use ESAC. Experience should include participation in at least three quality system audits as an auditor-in-training where at least one audit is an ESAC audit.

Corrective Action Verification: Emerson reviews evidence provided by the supplier to verify the effectiveness of the supplier's corrective actions. Follow-up on-site audits may be necessary to complete the verification.




Instructions

典型的评审周期1

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Instructions

The ESAC Workbook contains two checklists that define Emerson's minimum requirements.

Standard Checklist: Must be used at each audit.

Checklists have two main features.

Requirements: Emerson's expectations for a variety of quality system attributes.

The Typical Audit Cycle1 Emerson plans audit & prepares ESAC Workbook

Complete the "Audit Plan". Be sure to fill in the required fields marked with red text.

Check the requested "Documentation to be Provided by Supplier". Return to this area to indicate items received.

Fill-in the "Personnel Involved in Audit". You may need to complete this after the audit begins.

Hide any unnecessary tabs. Typically, you should hide all tabs that have "Show / Hide" buttons on the Contents tab.

2 Supplier completes Supplier Profile & Self-Audit

Additional Requirements Checklist: An OPTIONAL checklist used for an in-depth verification of manufacturing processes or business practices needed to meet Emerson's customer requirements.

Typical Objective Evidence: Examples of audit evidence often used to demonstrate compliance to the requirements. It is not all inclusive and meant only as an aid to ensure full understanding of the requirement.

Audit Plan

Supplier Provided Documentation

Personnel Involved in Audit

Prepare Workbook

Send ESAC to supplier with instructions to complete the Supplier Profile and the Supplier Self-Audit scores. Also instruct supplier to send the requested documentation and return the ESAC Workbook.

Supplier Profile: Supplier to follow instructions provided at the top of the Supplier Profile. Complete Supplier Profile and Supplier Quality Capability sections.

Supplier Profile Instructions

Supplier Self-Audit: Supplier uses the "Supplier Self-Audit SCORE" column on the Standard Checklist to indicate level of compliance to each Requirement. Use scoring instructions below. Supplier may place "x" in Not Applicable column, however final determination is made by Emerson.

Supplier Self-Audit Score




Instructions

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Instructions

Supplier to use scoring instructions below when assigning Supplier Self-Audit Score.

Scoring Instructions for Supplier Self-Audit:

0 = REQUIREMENT NOT ADDRESSED

40 = RARELY COMPLIES; Corrective actions planned or in-progress

60 = SOME NON-COMPLIANCES; Corrective actions planned or in-progress

70 = NO NON-COMPLIANCES; Meets Minimum Requirement / No CA required

80 = NO NON-COMPLIANCES; Exceeds Minimum Requirement / No CA required

The supplier returns the completed ESAC Workbook and requested information prior to the audit.

3 Emerson conducts On-Site audit

Holding an opening meeting with the supplier's management team is recommended.

Emerson auditor to use scoring instructions below when assigning On-Site Audit Score.

Scoring Instructions for Emerson On-Site Audit:

0 = NO EVIDENCE PROVIDED; Corrective action required

40 = RARELY COMPLIES; Corrective action required

60 = SOME NON-COMPLIANCES; Corrective action required

Based on knowledge of your quality system, select score that best describes level of compliance to the Requirement. If Requirement does not apply, place "x" in the "Not Applicable" column. Note that some Requirements are mandatory.

Most auditors find it easier to note their observations and scores on a printed copy of the checklist and transfer the information to the file afterward.

Emerson auditor types "x" in the “Not Applicable” column when appropriate. This must be based on product requirements, not size of supplier.

Not Applicable

Emerson auditor types "x" in the "Not Verified" column when appropriate. Use this only if time ran short and audit was incomplete for that requirement. Must be verified at next audit.

Not Verified

Based on On-Site audit evidence, select score that best describes level of compliance to the Requirement. If Requirement does not apply to product to be purchased, place "x" in the "Not Applicable" column. Note that some Requirements are mandatory.




Instructions

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Instructions



100 = NO NON-COMPLIANCES; Excellent / Highly commendable

4 Audit Findings & Audit Team Recommendation

If entering an Observation, enter "No" in the "Corrective Action Required" column.

Emerson auditor completes the “Audit Team Recommendation” and date on the Audit Results tab.

Use the filter arrow at the Finding column to display the Finding rows only by selecting "non-blank" rows.

Hide any unnecessary tabs. Typically, you should hide all tabs that have "Show / Hide" buttons on the Contents tab.

5 Supplier Corrective Action & /Preventive Action plan (CAPA)

Supplier Corrective Action & Preventive Action (CAPA) plan must address:

Root Cause of the problem; should look beyond specific incident cited in Finding

Remedial Action; actions to resolve immediate issue

Corrective Action; actions to address root cause and prevent recurrence

Preventive Action; actions to prevent the occurrence of similar problems in other areas

Emerson auditor records Findings and related information on the Standard Checklist (to right of the score columns). The same is done on the Added Requirements Checklist when applicable.

Standard Checklist Findings

Space is provided at the bottom of the Findings column for additional Findings if needed. Be sure to type in the Requirement reference number.

Additional Findings/Observations

Corrective Action Required

Space is provided at the bottom of the Findings column for additional Observations if needed. Be sure to type in the Requirement reference number.

Additional Findings/Observations


Prepare Workbook

Send ESAC Workbook to supplier with instructions to complete the Supplier Corrective and Preventive Action section on the Standard Checklist. It's to the right of the Findings column. (Be sure to hide unnecessary tabs.)

Supplier must record their corrective and preventive actions that will address each Finding. This is typed in the columns to the right of Findings on the Standard Checklist.

Supplier CAPA Plan




Instructions

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Instructions

Controls; controls & self-monitoring steps to ensure continued CA/PA effectiveness

Supplier to return the completed ESAC Workbook to the Emerson auditor by the date agreed upon.

6 Data and ESAC file are uploaded

Follow instructions provided on the Upload tab.

7 Emerson verifies supplier CAPA & adjusts scores

Adjusted scores are used to make the Final Disposition.

Emerson auditor to use scoring instructions below when assigning After CAPA Verification Score.

Scoring Instructions for Emerson :

0 = NO EVIDENCE PROVIDED; CA Remains Open / Score Unchanged

40 = INSUFFICIENT EVIDENCE; CA Remains Open / Score Unchanged

60 = INSUFFICIENT EVIDENCE; CA Remains Open / Score Unchanged

Supplier to provide documented objective evidence that each CAPA has been implemented by the completion date specified. Examples: Procedures, inspection/test records, photos, etc.

Emerson auditor may choose to upload the audit data and the ESAC Workbook into the ESAC database at this point if the supplier's CAPA plan has been reviewed.

Upload Preliminary Audit Record (Emerson Only)

Uploaded data and ESAC Workbook will need to be updated once the CAPA is verified and the Final Disposition is made.

Emerson auditor reviews the objective evidence of the corrective actions taken by the supplier and determines if an additional follow-up on-site visit is needed.

If reviewed evidence is sufficient, the auditor presses the “Copy On-Site Audit Scores” button on the appropriate Checklist page. This copies all of the On-Site scores into the appropriate cells.

"Copy On-Site Scores" button (Emerson Only)

Emerson auditor adjusts the scores in the "After CAPA Verification Score" column based on the evidence provided. See scoring instructions below.

After CAPA Verification Score (Emerson Only)

Based on evidence of the supplier's corrective action, select score that best describes level of compliance to the Requirement.




Instructions

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Instructions



Final Disposition is noted on the Audit Record tab and the ESAC file is saved in preparation for uploading.

8 Upload audit data & completed ESAC to database

Emerson auditor uploads the final audit data and the ESAC Workbook into the ESAC database.

Emerson audit to delete previous audit record if one was created prior to Final Disposition.

Follow instructions provided on the Upload tab.

Database Key Features

Export data to Excel or email views.

Download the latest ESAC Workbook.

ESAC Database

See instructions contained within the database for further details.

Reference - ESAC to ISO/TS 9000 (Underlined=TS).1.0 QUALITY MANAGEMENT

1.1 4.1, 4.2.1, 4.2.2, 5.1, 5.3, 5.4.21.21.31.4 5.6.1, 5.6.2, 5.6.3

2.0 CONTINUOUS IMPROVEMENT2.12.2 8.2.22.3

Final Disposition

Upload Final Audit Record (Emerson Only)

List supplier audits, auditor contact information, completed audit files, ESAC training materials, latest version of ESAC files in several languages, Emerson Quality Council members and much more.

Access to the ESAC database is granted to Emerson employees only. Use the External Link on the Contents tab to request access.

List all audit records by supplier name or Commodity Family, supplier, country, etc. by selecting views from the dropdown menus.

5.5.3, 5.6.2, 5.6.3, 5.6.1.1, 8.4, 8.54.2.1, 5.1, 5.4.1, 5.4.1.1

5.2, 6.1, 7.2.3, 8.2.2.1, 8.5.1, 8.5.1.1

5.2, 8.2.1, 8.5.2, 8.5.2.3, 8.5.2.4




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Instructions3.0 TRAINING & EDUCATION

3.1 6.2.2 3.23.3

4.0 OCCUPATIONAL HEALTH & SAFETY4.1 5.1, 6.3, 6.4, 6.4.14.2 5.1, 6.3, 6.4, 8.5.1, 6.4.14.3 6.3, 6.4, 6.4.1

5.0 DESIGN DEVELOPMENT & SUPPORT5.1 7.1.1, 7.1.2, 7.2.1, 7.2.2, 7.2.35.25.35.4 7.2.3.1

6.0 QUALITY PLANNING6.16.2 7.5.2, 6.3, 8.2.3, 8.2.46.3 8.3, 8.5.16.4 8.2.4, 7.3.6

7.0 DRAWINGS & SPECIFICATIONS7.1 4.2.3.17.2 4.2.37.37.4

8.0 PROCUREMENT8.1 7.4.1, 7.4.28.2 7.4.1 8.3 8.4, 8.5.18.4 7.4.1.18.5 7.5.4

9.0 INCOMING MATERIAL9.19.2 7.5.39.3 8.5.2, 8.5.3

10.0 MANUFACTURING QUALITY10.1 7.3.3.210.210.310.4 8.2.410.5 7.1, 7.5.310.6 8.3, 8.3.3

6.2.2, 6.2.2.26.2.2, 6.2.2.2

7.3.3, 7.2.2.1, 7.3.3.1, 7.3.27.3.4, 7.3.6, 7.2.1.1, 7.2.2.2, 7.3.2.2, 7.3.3.1, 8.2.3.1

8.2.4, 8.2.4.1

7.2.2, 7.1.44.2.4, 4.2.4.1

7.4.1, 7.4.3, 7.4.3.1

7.1, 8.1, 7.3.2.3, 7.3.3.2, 7.5.1.1, 8.1.17.1, 8.2.3, 8.2.4, 7.3.3.2, 7.5.1




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Instructions11.0 PROCESS CONTROL

11.1 8.1, 8.2.311.211.3 8.111.4 8.1, 8.5.2

12.0 NONCONFORMING MATERIAL12.112.212.3 8.312.4 7.5.3, 8.5.212.5

13.0 MEASUREMENT EQUIPMENT13.113.2 7.613.3 7.613.413.5 7.6

14.0 PREVENTIVE MAINTENANCE14.114.214.3

15.0 ENVIRONMENTAL15.1 7.2.1, 5.115.2 7.2.1, 5.115.3 7.2.115.4 7.2.1, 8.5.1

16.0 HOUSEKEEPING, STORAGE & PACKAGING 16.116.2 7.5.516.316.4 7.5.5, 7.3.616.5 7.5.516.6 6.3.2

8.1, 8.5.1, 8.5.1.2

8.3, 8.3.28.3, 8.3.2

8.3, 8.3.3

7.6, 7.6.1

7.6, 7.6.1

6.3, 7.5.1.5, 7.5.4.16.3, 7.5.1.46.3, 7.5.1.4

6.4, 6.4.2

7.5.5, 7.5.5.1

Emerson Proprietarydocument.xls Date Printed: 04/07/2023

Supplier Profile & Audit PlanPage: 13 of 68

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Supplier Profile & Audit Plan 3

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

Name Phone email Address Supplier Contacts^ President^ Plant Manager^ Quality Manager^ Customer Service Manager^ Sales Manager^ Engineering Manager^^

Supplier to completelight-green cells

Emerson to completelight-yellow cells

Supplier to complete as indicated. Answer all questions in the Supplier Quality Capabilities section. Explain any answered with "No" or "Not Applicable".

Supplier to complete "Self-Audit" on Std Checklist (if requested by Division). Use column labeled "Supplier Self-Audit Score". Click column heading for guidelines.

Return the ESAC file and any requested documentation to the Division or Supply Chain Organization within 7 days or per their instruction.

Other - Type Title here.Other - Type Title here.



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^ 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 System Certification Status^ Quality Standard^ Location Certified^ Expiration Date^ ISO / TS Registrar^ Accreditation Body



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2.0 SUPPLIER QUALITY CAPABILITIES (Supplier to Complete)

Yes No or N/A Place "X" in appropriate column. Explain any "No" or "Not Applicable" answers.

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Supplier to Explain All "No" or "Not Applicable" Responses

Are specifications reviewed and production methods established that ensure applicable customer and regulatory requirements can be met on a consistent basis?

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.?

Is there a documented corrective action system in use that focuses on elimination of problem root cause?

Are defined methodologies used to actively pursue cost containment and other continual improvement activities? (e.g., Lean, Six Sigma, Kaizen, 5S, etc.)

Are control plans (or equivalent) maintained that show the process steps, key inspection points, inspection/test method, sample size and frequency?

Are process capability studies, SPC or other statistical methods used to monitor and control production processes?

Are documented methods used to qualify and approve machinery, process equipment, inspection/test equipment and production tooling?

Is product conformance to specified requirements verified prior to further processing or shipment and are records maintained?

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.)

Are the materials and parts produced in accordance with applicable environmental and product safety regulations, laws and directives? (ie., RoHS, UL)



1


2







3.0 AUDIT PLAN (Emerson to Complete)^ Division Name^ Supply Chain Organization^ Supplier Self-Audit Date^ On-Site Audit Date^ Corrective Action Verification Date^ SQA Reference No.^ Commodity Family (Primary / Secondary)^ Commodity Codes^ Supplier Code^ Purpose of Audit^ Project Reference

Contact #1 Contact #2 Contact #3 Contact #4 ^ Emerson Contacts^ Name^ Title^ Contact Phone No.^ Email Address

4.0 DOCUMENTATION NEEDED (Emerson to Complete)NOTES REQUESTED RECEIVED Requested / Received

x ^ Quality Manual (typically is policy manual - not work instructions)

x ^ ISO / TS Certificate (must state registrar & accreditation body)

x ^ Supplier Profile (or similar form provided by auditing Division)^ Supplier Self-Audit (ESAC)^ Supplier Self-Audit (C-TPAT Checklist provided separately)^ Major Customers & Competitors^ Test & Inspection Equipment List^ Quality Organizational Chart^ Process Quality Control Plan^ Process Capability Study ^ Reliability Test Plan^ Marking Descriptions^ Major Suppliers and Raw Materials List^ Regulatory Agency Certificates, as applicable



1


2







5.0 PERSONNEL INVOLVED IN AUDIT (Emerson to Complete)Emerson Audit Team Emerson Audit Team

First Name Last Name Title First Name / Last Name / Title^ Lead Auditor^^^^^

Supplier Personnel Supplier Personnel Involved in AuditFirst Name Last Name Title First Name / Last Name / Title

^^^^^


Std ChecklistPage: 18 of 68

Brown = Revised

STANDARD CHECKLIST

30-Dec-99

Requirements Typical Objective Evidence



1.0

QU

AL

ITY

MA

NA

GE

ME

NT

1.1

1.0

QU

AL

ITY

MA

NA

GE

ME

NT

1.2

1.3

1.0

QU

AL

ITY

MA

NA

GE

ME

NT

1.4

2.0

CO

NT

INU

OU

S I

MP

RO

VE

ME

NT

2.1

The quality system is documented, controlled, and maintained to clearly describe current practice. Documented procedures required. Records required.

Quality manual and all QS procedures show revision control (sign-offs & dates), history of changes, quality organization's responsibilities

Quality reports, trend charts and data analysis identify areas of opportunity and are used by management on a routine basis. Records required.

Product quality yield data, top problems and corresponding improvement actions, status of preventive/corrective actions taken, internal audit results

1.0

QU

AL

ITY

M

AN

AG

EM

EN

T

Quality performance targets are clearly defined, included in the business plan and monitored for improvements.

Strategic and tactical objectives, goals, action plans, etc.

Executive management participates in periodic quality system reviews that address quality related feedback from customers and internal quality metrics. Records required.

Analysis of field failures, inspection yields, resource needs, internal audit results, corrective action status, etc.

Preventive actions are taken based on the analysis of significant business trends, design reviews, customer satisfaction surveys or other meaningful inputs. Documented procedures required. Records required.

Management review meetings, goal setting, performance measurement, internal audits, action plans, customer surveys

No

t V

erif

ied

StatusNo

tA

pp

licab

le

Supplier Self-Audit SCOREOn-Site Audit SCOREAfter CAPA Verif. SCORE

Supplier CA-PA Req'd?(Y / N)

Completion Date

(mm/dd/yy)

AUDIT FINDINGS & OBSERVATIONS

BR3

AUDITOR: Type "Y" if there is a Finding. Type "N" if you are recoding an Observation.

BQ4

Enter Findings or Observations when On-Site Audit Scores are less than 70.



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




2.0

CO

NT

INU

OU

S I

MP

RO

VE

ME

NT 2.2

2.0

CO

NT

INU

OU

S I

MP

RO

VE

ME

NT

2.3

3.0

TR

AIN

ING

& E

DU

CA

TIO

N

3.1

3.0

TR

AIN

ING

& E

DU

CA

TIO

N

3.2

A formal approach is used to actively pursue cost containment and other continual improvement activities throughout the organization. Documented procedures required. Records required.

Employee involvement / recognition program, Lean, Six Sigma, kaizen, SPC, 5-S, cost reduction program, preventive actions

A corrective action system is in place that provides root cause analysis and takes timely and effective action to prevent recurrence. Documented procedures required. Records required.

Corrective action records, trend charts, meeting minutes, nonconformance frequency & cost analysis. Does CA system cover customer, internal & supplier issues?

The skill and education level required for each job is documented and appropriate training / re-training is provided. Records required.

Job descriptions, job skills assessment, training records, training manuals. Look for use of training aids & work instructions at work stations.

Employee qualification / certification is maintained where the quality outcome of the process cannot be verified and is strongly dependent upon operator skill. Records required.

Qualification records, certification history, etc.

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




3.0

TR

AIN

ING

& E

DU

CA

TIO

N

3.3

4.1

4.2

4.3

5.1

Suitable methods are used to verify training effectiveness. Records required.

Records of student testing, production quality records, audit records, interview workers to validate training records. Look for use of training aids & work instructions at work stations.

4.0

OC

CU

PA

TIO

NA

L H

EA

LT

H &

S

AF

ET

Y

The Occupation Health & Safety (OHS) management system addresses the safety of personnel without comprising the achievement of product quality requirements.

Procedure for OHS training, communications, emergency preparedness and response, monitoring and performance measurements

4.0

OC

CU

PA

TIO

NA

L H

EA

LT

H &

S

AF

ET

Y

The Occupation Health & Safety (OHS) policy states the organization’s health and safety objectives and management's commitment to continual improvement of OHS metrics.

Policies and procedures, health & safety trend charts, accident rate improvement history, etc.

4.0

OC

CU

PA

TIO

NA

L

HE

AL

TH

& S

AF

ET

Y

Procedures are used for the on-going identification of hazards, the assessment of risks, and the implementation of necessary control measures.

Safety committee or group meeting minutes, accident investigation reports, safety audit reports

5.0

DE

SIG

N D

EV

EL

OP

ME

NT

&

SU

PP

OR

T

Customer needs and requirements are incorporated into product designs and/or manufacturing processes. Critical-to-Quality (CTQ) characteristics are identified and understood. Records required.

Market studies, customer/end-user surveys, technical design reviews, mfg process capability studies, formal process qualification plan, manufacturing verification tests, pilot runs, etc.

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




5.2

5.0

DE

SIG

N D

EV

EL

OP

ME

NT

& S

UP

PO

RT

5.3

5.4

6.0

QU

AL

ITY

PL

AN

NIN

G 6.1

6.0

QU

AL

ITY

PL

AN

NIN

G

6.2

5.0

DE

SIG

N D

EV

EL

OP

ME

NT

&

SU

PP

OR

T

Product specifications and drawings are generated, controlled and maintained for new or changed product designs. Records required.

Complete product characteristics, application requirements, and other information essential for its safe and proper use and eventual disposal, etc.

Design validation is an integral part of the design process and occurs prior to production release. Records required.

Design results, manufacturability, productivity and cost studies, confirmation that product fulfills its specified requirements or intended use or applications, design-FMEA, etc.

5.0

DE

SIG

N D

EV

EL

OP

ME

NT

&

SU

PP

OR

T

Human and technical resources are adequate to meet Emerson’s requirements for design collaboration, tooling design and electronic drawing and data exchange.

Qualification of technical staff. Equipment/software capabilities; CAD, PRO-E, etc.

Production samples are inspected and provided to customers upon request. Records required.

Completed PPAP or similar forms, inspection reports, availability of qualified resources

Customer production requirements and quality specifications are reviewed to ensure they can be met on a consistent basis. Records required.

Procedures, design / process review minutes, FMEA's, mfg capacity plans, resource plans that address all product test, storage, packaging and shipment requirements

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




6.0

QU

AL

ITY

PL

AN

NIN

G

6.3

6.0

QU

AL

ITY

PL

AN

NIN

G

6.4

7.1

7.2

7.0

DR

AW

ING

S &

SP

EC

IFIC

AT

ION

S

7.3

Reliability test plans are developed and routinely followed. Testing is used to verify design spec's, drive design improvements and provide an on-going check of materials and workmanship. Documented procedures required. Records required.

Reliability test plans, test reports, improvement/corrective actions taken, design changes implemented

Product reliability test data is available upon request and historical test performance data shows a highly stable process and product design. Records required.

Reliability test summary reports/charts

7.0

DR

AW

ING

S &

S

PE

CIF

ICA

TIO

NS

New and revised customer specifications are reviewed and implemented in a timely manner. Documented procedures required.

Technical review of methods to be used, capability studies on similar parts, documented review procedure, ie., APQP, PPAP.

7.0

DR

AW

ING

S &

S

PE

CIF

ICA

TIO

NS

Current process control documents are in place and used for production start-up and continuing production. Documented procedures required.

Customer specifications, engineering drawings, change notices, work instructions and specifications as applicable.

Customer notification / approval occurs for changes to Control Plans, manufacturing site, product transfers, raw material or product obsolescence. Records required.

Customer notification procedure on major changes & compliance to Jedec standards JESD 46 and JESD 48 (or equivalent, if app.). Signed material / process change requests. Customers are notified of RoHS compliance status change.

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




7.0

DR

AW

ING

S &

SP

EC

IFIC

AT

ION

S 7.4

8.0

PR

OC

UR

EM

EN

T

8.1

8.0

PR

OC

UR

EM

EN

T

8.2

8.0

PR

OC

UR

EM

EN

T

8.3

8.0

PR

OC

UR

EM

EN

T

8.4

Quality records are maintained. A record control system is in place for the identification, storage, protection, retrieval, retention time, and disposition of quality records.

Procedures, list of records to be kept with retention periods specified

A formal process is used for the selection, qualification and re-qualification of suppliers. Records required.

Supplier quality system audits and related corrective actions, engineering testing and approval records, plant production trials

Purchases from unapproved suppliers are prevented by a properly controlled and available Approved Supplier List (ASL). Records required.

ASL, procedures for control and use of ASL, production material receipt records

Preventive actions are taken to continuously improve performance of the supplier base. Records required.

Supplier quality performance analysis, performance trends, supplier audit reports, Inflation Model, documented goals regarding raw material cost containment

A supplier quality assurance system ensures that all purchased product or material conforms to defined specifications and applicable regulatory or customer requirements. Records required.

Receiving inspection, supplier audits, source inspection, qualification testing, Certificate of Compliance (COC), component marking, labeling, etc.

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




8.0

PR

OC

UR

EM

EN

T

8.5

9.1

9.0

IN

CO

MIN

G M

AT

ER

IAL 9.2

9.0

IN

CO

MIN

G M

AT

ER

IAL

9.3

10.0

M

AN

UF

AC

TU

RIN

G Q

UA

LIT

Y

10.1

A system exists for the identification, verification and protection of customer supplied product that includes notifying the customer if product is damaged or lost. Records required.

Procedures, segregation during storage, limited and controlled access to stored inventories

9.0

IN

CO

MIN

G

MA

TE

RIA

L

Receiving inspection is performed per documented procedures and detailed work instructions. Records required.

Procedures, inspection instructions resources (manpower and equipment) allocated for incoming inspection

Inspected material is adequately identified as to acceptance or rejection and traceable to receiving inspection report. Records required.

Quality Control label, marking or use of designated hold area as indicated in the procedure

Supplier corrective action requests require root cause investigation and records show responses are analyzed. Documented procedures required. Records required.

Availability of written procedure, standardized Corrective Action form, analysis of corrective action cycle time and closure measurements

There is a formal method used to qualify new or rebuilt production equipment prior to production use.

Qualification plan that includes established goals for process yields/up-time, etc. and record of process capability, review and approval, etc.

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




10.0

M

AN

UF

AC

TU

RIN

G Q

UA

LIT

Y

10.2

10.3

10.0

M

AN

UF

AC

TU

RIN

G Q

UA

LIT

Y 10.4

10.5

10.0

M

AN

UF

AC

TU

RIN

G Q

UA

LIT

Y 10.6

Control Plans are used to plan and deploy inspection and test functions throughout the production process.

Process flow diagram, statistical tools to be used, key inspection points, inspection frequency, records, control responsibility, inspection/test method, gaging used, acceptable yield rates

10.

0 M

AN

UF

AC

TU

RIN

G

QU

AL

ITY

Appropriate work instructions are available where needed that accurately describe all work methods including inspections and tests to be done during production.

Sample size, frequency, method, document control dates/revision level, etc. Handling procedures for Electro-Static Discharge (ESD), RoHS compliant materials & other process conditions.

Appropriate inspections, tests and process adjustments are made per applicable work instructions to verify conformance at key points throughout the process and prior to shipment. Records required.

Records of inspections performed at incoming, first piece, in-process and/or final inspection or test. Capability study, material test, RoHS and other regulatory tests, etc.

10.

0 M

AN

UF

AC

TU

RIN

G

QU

AL

ITY

The inspection and process status of product is identified and maintained throughout the production process. Records required.

Batch records, travelers, tags, labels, product markings or use of designated & identified areas.

Customers are notified of low yield production lots or issues that affect product reliability. Documented procedures required. Records required.

Corrective actions, records of customer notifications, reliability test data, etc.

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




11.0

P

RO

CE

SS

CO

NT

RO

L

11.1

11.2

11.3

11.4 Control charts

12.1

12.2

Key part characteristics and process parameters are reviewed and statistically based controls and/or problem solving tools are used to control variation.

Histograms, run charts, SPC charts, pareto analysis, cause & effect diagrams, DOE, mistake proofing, documented reaction plan & process corrections.

11.

0 S

TA

TIS

TIC

AL

P

RO

CE

SS

CO

NT

RO

L

Written improvement plans are implemented to reduce sources of variation.

Documented reaction plan & process corrections. SPC trend charts showing current status vs. goals. Improvement plan.

11.

0 S

TA

TIS

TIC

AL

P

RO

CE

SS

CO

NT

RO

L Process capability is measured and actions are taken to maintain established minimum Cpk/Ppk targets.

Documented process capability studies and results (actual vs target Cpk/Ppk)

11.

0 S

TA

TIS

TIC

AL

PR

OC

ES

S

CO

NT

RO

L

Out of control conditions are noted on charts and documented corrective action is taken to bring the process back into control. Documented procedures required. Records required.

12.

0

NO

NC

ON

FO

RM

ING

M

AT

ER

IAL

Nonconforming materials, parts and assemblies are segregated (where practical) and identified to prevent unapproved use. Documented procedures required. Records required.

Tags, marking, controlled staging areas, etc. Look for mixing of RoHS compliant & non-compliant materials.

12.

0 N

ON

CO

NF

OR

MIN

G

MA

TE

RIA

L

Reworked material, parts and assemblies are re-inspected or re-tested to confirm compliance to requirements. Records required.

Inspection record, tag, stamp, etc.

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




12.3

12.0

N

ON

CO

NF

OR

MIN

G M

AT

ER

IAL

12.4

12.5

13.0

M

EA

SU

RE

ME

NT

EQ

UIP

ME

NT 13.1 GR&R studies, reports

13.0

M

EA

SU

RE

ME

NT

EQ

UIP

ME

NT

13.2

12.

0 N

ON

CO

NF

OR

MIN

G

MA

TE

RIA

L

Use of nonconforming material is documented under a formal waiver or concession system. Records required.

Written procedure, waiver or concession records

Product traceability is maintained (to the extent required by Emerson) to facilitate problem evaluation and corrective action. Documented procedures required. Records required.

Serial number records, lot number, date of manufacture, labeling and marking of containers or product, etc. Look for mixing of RoHS compliant & non-compliant materials.

12.

0 N

ON

CO

NF

OR

MIN

G

MA

TE

RIA

L

There is a positive recall system to notify customers of nonconforming product that has already been shipped. Records required.

Documented procedure and review of system

Gage Repeatability & Reproducibility studies are conducted to verify suitability of measuring devices for their use in checking product quality or control of processes. Records required.

Measuring devices, gaging and test equipment are routinely calibrated and controlled per documented procedures. Records required.

Gage calibration stickers, calibration records, positive identification or segregation of out-of-calibration devices, and inventory, location & status records, etc.

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




13.3

13.4

13.0

M

EA

SU

RE

ME

NT

EQ

UIP

ME

NT

13.5

14.0

P

RE

VE

NT

IVE

MA

INT

EN

AN

CE 14.1

14.2

13.

0 M

EA

SU

RE

ME

NT

E

QU

IPM

EN

T

Gages and test equipment are calibrated against standards traceable to a recognized regulatory body or agency. Records required.

Calibration procedures, and calibration stickers and other records.

13.

0 M

EA

SU

RE

ME

NT

E

QU

IPM

EN

T

Assessments are made to check the validity of previous measurements done on products where out-of-calibration measuring devices were used. Records required.

Assessment records, corrective actions, etc.

Appropriate controls are in place to verify the suitability and accuracy of computer software prior to initial use in checking product quality or control of processes. Software is re-verified when revised. Records required.

Verification methods and records, revision levels, distribution/use control, etc.

Tools are stored in an appropriate, clearly defined area, with systematic tracking that provide traceability, particularly of customer-owned tools and equipment. Records required.

Review of storage area, labeling, tooling records

14.

0 P

RE

VE

NT

IVE

M

AIN

TE

NA

NC

E

A formal Preventive Maintenance system exists for production equipment, tools and fixtures.

Review of system, PM plans, PM schedule and compliance results

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




14.0

P

RE

VE

NT

IVE

MA

INT

EN

AN

CE 14.3

15.0

E

NV

IRO

NM

EN

TA

L

15.1

15.0

E

NV

IRO

NM

EN

TA

L

15.2

15.0

E

NV

IRO

NM

EN

TA

L

15.3

Preventive Maintenance schedule is followed. Product cannot be made with tools that are outside of maintenance period. Performance is audited

No equipment, tools, or fixtures are in use that are outside TPM schedule, or have unclear status

A documented environmental policy exists that includes a commitment to comply with relevant environmental legislation and regulations and to continual improvement and pollution prevention.

Environmental policy statement document

There is an environmental management system that ensures compliance to all applicable government regulations and there are no outstanding, unresolved violations of these regulations.

Records of agency/gov inspection or certification, doc'd procedures for measuring and monitoring environmentally sensitive activities w/ list of mtl's and areas where used, tracking of hazardous mtl's or waste.

A system is in place to minimize the use, disposal and emissions of hazardous chemicals and to ensure that Class I ozone depleting chemicals are not used in the manufacturing process.

Record of purchases, waste stream and consumption; inventory control procedures.

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




15.0

E

NV

IRO

NM

EN

TA

L

15.4

16.0

ST

OR

AG

E &

PA

CK

AG

ING

16.1

16.2

16.0

ST

OR

AG

E &

PA

CK

AG

ING

16.3

16.0

ST

OR

AG

E &

PA

CK

AG

ING

16.4

An on-going emphasis is placed on using materials that are; compliant with applicable regulations like RoHS & WEEE, biodegradable, recyclable, re-usable, reduces pollutant emissions at the point of use.

Records/use of; non-hazardous (RoHS/WEEE compliant) materials in production, biodegradable materials, returnable containers or packaging, recycling program, packaging materials made of recycled materials.

Areas around the facility are clean and orderly. Tools and equipment are properly stored and readily available for use. Lighting and air quality are adequate.

Observe production, office & product storage areas for use of 5S/6S principles (Sort, Set-in-order, Shine, Standardize, Sustain + Safety)

16.

0 S

TO

RA

GE

&

PA

CK

AG

ING

Proper equipment and methods are used to prevent product damage or loss in all phases of the material handling process.

Observe handling and transit of raw material, work-in-process, and finished goods.

Documented procedures are followed to ensure proper control and preservation of handling, storage (FIFO), packaging, and delivery of product.

FIFO practices are defined, packaging specifications, test results, handling and storage procedures.

Suitability of product packaging is reviewed and any concerns are communicated to the customer prior to initial production shipment. Packaging tests if required. Records required.

Technical review, packaging/shipping tests, packaging work instructions, carton strength tests

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




16.0

ST

OR

AG

E &

PA

CK

AG

ING

16.5

16.0

ST

OR

AG

E &

PA

CK

AG

ING

16.6

17.1

17.2

17.3

Stored product/material is periodically inspected, and where applicable, actions are taken to prevent deterioration per documented procedures.

Doc'd list of shelf-life sensitive products/materials (e.g., sealants, adhesives, solder paste, paint/varnish, o'rings). Look for poor storage conditions & damage (e.g., rust or water damage). Handling procedures for Electro-Static Discharge (ESD) & other sensitive conditions.

Contingency plans have been developed that describe actions to be taken in the event of a major interruption of the manufacturing process.

Process covering utility interruptions, labor shortages, key equipment failures, major production issues.

17.

0 R

ES

TR

ICT

ION

OF

HA

ZA

RD

OU

S

SU

BS

TA

NC

ES

(R

oH

S)

A RoHS compliance policy is documented and maintained that defines the requirements for material and process qualification, on-going compliance verification, manufacturing controls, declaration of compliance and records.

Documented procedures that set requirements for planning, verification, on-going control, record keeping & customer communications. Supplier's management support.

17.

0 R

ES

TR

ICT

ION

OF

H

AZ

AR

DO

US

S

UB

ST

AN

CE

S (

Ro

HS

) Technical & customer requirements for RoHS compliance are reviewed and communicated prior to production start-up.

Records, plans, updates, presentations, meeting minutes.

17.

0 R

ES

TR

ICT

ION

OF

H

AZ

AR

DO

US

SU

BS

TA

NC

ES

(R

oH

S)

Test methods are established for each RoHS controlled hazardous substance. Test sampling plan is based on analysis of risk for each commodity and/or manufacturing process used.

Assessment of risk by part-type or manufacturing process used. Procedures, test methods, sampling plan, control plan.

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




17.4

17.5

17.6

17.7

17.8

17.

0 R

ES

TR

ICT

ION

OF

HA

ZA

RD

OU

S

SU

BS

TA

NC

ES

(R

oH

S)

Qualified personnel are available to implement and sustain all aspects of RoHS compliance.

Training & education records. Interview engineering, technical, quality control personnel. Number of qualified personnel is adequate to prevent unacceptable delays.

17.

0 R

ES

TR

ICT

ION

OF

H

AZ

AR

DO

US

S

UB

ST

AN

CE

S (

Ro

HS

) RoHS technical requirements and inspection criteria are documented and available where needed, e.g. solder fillet, tin whiskers..

Test methods/procedures, tin whisker analysis instructions, XRF work instructions, QC audits, etc. Ref to Jedec/IPC Joint publication JP-002.

17.

0 R

ES

TR

ICT

ION

OF

H

AZ

AR

DO

US

S

UB

ST

AN

CE

S (

Ro

HS

) Test methods and acceptance limits follow recognized standards and RoHS requirements.

Acceptance limits do not exceed RoHS limits. References to recognized standard test protocols, such as, ISO, IEC, EPA.

17.

0 R

ES

TR

ICT

ION

OF

HA

ZA

RD

OU

S

SU

BS

TA

NC

ES

(R

oH

S)

Incoming materials and finished goods are periodically tested with appropriate equipment to confirm RoHS compliance. Compliance declarations and test records are maintained for a minimum of 5 years.

RoHS testing procedure, sampling plan/frequency, test records. Use of XRF analyzer, atomic absorption analyzer, UV-VIS equipment, etc.. Qualified independent chemical lab w/A2LA accreditation or equivalent

17.

0 R

ES

TR

ICT

ION

OF

HA

ZA

RD

OU

S

SU

BS

TA

NC

ES

(R

oH

S)

Effective identification and handling methods are in place to prevent commingling or inappropriate use of both RoHS non-compliant and RoHS compliant items.

Documented procedures. Observation of handling / labeling techniques in use. Production operators are aware in distinguishing RoHS materials and processes versus non-RoHS. Look for mixing of RoHS compliant & non-compliant materials.

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




17.9

17.10

18.0

RE

AC

H C

om

pli

ance

18.1 Policy statement or procedure.

18.0

RE

AC

H C

om

pli

ance

18.2

18.3

18.0

RE

AC

H C

om

pli

ance

18.4

17.

0 R

ES

TR

ICT

ION

OF

HA

ZA

RD

OU

S

SU

BS

TA

NC

ES

(R

oH

S)

There are documented procedures in handling the screening, rework or refurbishing of finished goods returned from the field and customers.

Observation of handling / labeling techniques in use. Production operators are aware in distinguishing RoHS materials and processes versus non-RoHS. Documented procedures.

17.

0 R

ES

TR

ICT

ION

OF

H

AZ

AR

DO

US

S

UB

ST

AN

CE

S (

Ro

HS

) A spreadsheet or equivalent system is used to monitor the status of RoHS compliance and the declarations for each part number effected.

Database or other means is maintained to track RoHS compliance status by part number & declarations to customers.

REACH compliance policy is documented and maintained that defines the requirements for REACH compliance and on-going verification.

Responsibilities for REACH have been clearly defined and assigned to appropriate personnel.

Look for identification of an individual or individuals (i.e.., naming an entire department is not acceptable). Record the names and titles of the responsible individuals.

18.

0 R

EA

CH

C

om

plia

nc

e

REACH Compliance Documents and instructions for their use are established and followed.

Compliance Plan, Supplier Letters, Customer Letters

Supplier must have a system in place to communicate safe handling information (such as a Material Safety Data Sheet) for any dangerous substances contained in or on it's products.

Database/files. Records of communication to customers of the Material Safety Data Sheet (MSDS) or Safety Data Sheet (SDS) in the EU which may include Exposure Scenario (ES) and/or Risk Management Measures (RMM).

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


N83

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.

P83

REACH申请注意事项 (参考评审表部分 18.0) 从2008年6月1日起, ESAC评审中必须执行在ESAC评审表18.0部分的REACH法规；除非子公司管理层有明确证实供应商所提供的材料/零件不会用于EMERSON在欧盟国家中出售的产品内。如果供应商当前并没有提供超出0.1%wt./wt. SVHC (高度关注物质) 标准的材料/零件给EMERSON，请在要求栏18.5内记录“不适用”。

T83

REACH申請注意事項 (參考評審表部分 18.0) 從2008年6月1日起, ESAC評審中必須執行在ESAC評審表18.0部分的REACH法規；除非子公司管理層有明確證實供應商所提供的材料/零件不會用于EMERSON在歐盟國家中出售的産品內。如果供應商當前并沒有提供超出0.1%wt./wt. SVHC(高度關注物質) 標準的材料/零件給EMERSON，請在要求欄18.5內記錄“不適用”。

X83

Vanaf 1 juni 2008 dienen ESAC audits de Standaard Controlelijst Sectie 18.0, "REACH naleving" te bevatten, behalve wanneer het Afdelings management positief heeft onderzocht dat de onderdelen, geleverd door deze leverancier niet worden gebruikt in Emerson produkten die verkocht worden in landen van de Europese Unie. Vereiste 18.5 zou kunnen aangeduid worden als niet van toepassing(n/a) wanneer de leverancier op dat ogenblik geen onderdelen levert aan Emerson met zeer zorgwekkende stoffen (SVHC) die 0.1% g/g overschrijden

AF83

Instructions pour l'utilisation des exigences REACH (section 18.0 du questionnaire) A compter du 1er Juin 2008, les audits ESAC doivent inclure la section 18.0 "Conformité REACH" sauf si la division a vérifié au préalable que les produits achetés au fournisseur ne seront pas vendus dans les pays de l'Union Européene. L'exigence 18.5 peut être identifiée comme "non applicable" si le fournisseur ne fournit pas de produits contenant plus de 0,1 % en poids de substances dangereuses (Substances of Very High Concern").

AJ83

REACH Anwender Anweisungen (Checklist Kapital 18.0): Seit Anfang Juni 2008 muss die ESAC Audit Checklist Kapital 18.0 "REACH Konformität" verwendet werden. Einzige Ausnahme: Division Management hat die Produkte der betroffenen Lieferanten verifiziert, die werden nicht für Emerson Produkte für die Europäische Gemeinschaft (EU) verwendet werden. Anforderung 18.5 gilt als nicht erforderlich, wenn der Lieferant an Emerson keine Produkte liefert, die besonders besorgniserregende Stoffe (SVHC) mit einem Grenzwert > 0,10% Gewicht bei Gewicht beinhalten.

AV83

Дополнительные инструкции для REACH C 01.06.08 проверка ESAC должна включать раздел 18.0 Программы оценки (Standart Checklist). Исключениедопускается в тех случаях, когда руководство Дивизиона уверено, что детали, поставляемыеданным поставщиком не будут использоваться в продукции Emerson поставляемой в страны ЕС. Пункт 18.5 может быть отмечен n/a (не применимо) если поставщик не поставляет детали в Emerson помеченные как "вещество с очень высокой концентрацией более 0,1% раствора"

AZ83

Instrucciones para la aplicacion REACH (Sección 18.0 de la lista de preguntas) Desde el 1 de junio de 2008 las auditorías del ESAC deben incluir la sección 18.0 de la lista de preguntas estándard, "Conformidad REACH" excepto cuando la gerencia de la División ha verificado positivamente que las partes proveídas por el suplidor no van a ser usadas en productos de Emerson que serán vendidos en países de la Comunidad Europea. El requerimiento 18.5 puede ser marcado como "n/a" si el suplidor no provee partes a Emerson con sustancias de muy alto concernimiento (Substances of Very High Concern SVHC) que excedan el 0.1% wt./wt.

BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




18.0

RE

AC

H C

om

pli

ance

18.5

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

TOTAL SCORES FOR THIS CHECKLIST ONLY

Maximum Total Score Available:

Standard Checklist Score:

The supplier has informed Emerson if they are providing (or will be providing) Emerson with products that contain Substances of Very High Concern (SVHC) that exceed 0.1% wt./wt.

If the official candidate list has been published by the ECHA (European Chemicals Agency), then look for records of communication to Emerson of the presence of SVHC, if applicable. Traceability of chemical identification.

Sum of Scores (excluding "n/a" & "Not Verified"):

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


Additional Findings

No

t A

pp

lica

ble

No

t V

erif

ied

On-Site Audit Findings

0 0 0

0 0 8100 8100 8100 Emerson Audit Leader (name & title):

0% 0% 0% Supplier QA Representative (name & title):

Supplier Self-Audit Std Chklst

SCORE

On-Site Audit Std

Chklst SCORE

After CAPA

Verif. Std Chklst SCORE

Corrective Action plans will be submitted on (date):

BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




Dates:

No

t V

erif

ied

StatusNo

tA

pp

licab

le



Completion Date

(mm/dd/yy)


CA-PA Verification & Finding Closure Date:

BR3


BQ4




Brown = Revised

STANDARD CHECKLIST

30-Dec-99




1.0

QU

AL

ITY

MA

NA

GE

ME

NT

1.1

1.0

QU

AL

ITY

MA

NA

GE

ME

NT

1.2

1.3

1.0

QU

AL

ITY

MA

NA

GE

ME

NT

1.4

2.0

CO

NT

INU

OU

S I

MP

RO

VE

ME

NT

2.1

The quality system is documented, controlled, and maintained to clearly describe current practice. Documented procedures required. Records required.

Quality manual and all QS procedures show revision control (sign-offs & dates), history of changes, quality organization's responsibilities

Quality reports, trend charts and data analysis identify areas of opportunity and are used by management on a routine basis. Records required.

Product quality yield data, top problems and corresponding improvement actions, status of preventive/corrective actions taken, internal audit results

1.0

QU

AL

ITY

M

AN

AG

EM

EN

T

Quality performance targets are clearly defined, included in the business plan and monitored for improvements.

Strategic and tactical objectives, goals, action plans, etc.

Executive management participates in periodic quality system reviews that address quality related feedback from customers and internal quality metrics. Records required.

Analysis of field failures, inspection yields, resource needs, internal audit results, corrective action status, etc.

Preventive actions are taken based on the analysis of significant business trends, design reviews, customer satisfaction surveys or other meaningful inputs. Documented procedures required. Records required.

Management review meetings, goal setting, performance measurement, internal audits, action plans, customer surveys

ROOT CAUSE & Scope of Problem Including

Other Areas

REMEDIAL ACTIONImmediate Actions Taken to

Address Issue / Finding

CORRECTIVE ACTION Taken to Address Root Cause &

Prevent Recurrence

PREVENTIVE ACTIONActions Taken to Prevent

Similar Issues in Other Areas

CONTROLSDeployed to Monitor CA/PA

Effectiveness



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




2.0

CO

NT

INU

OU

S I

MP

RO

VE

ME

NT 2.2

2.0

CO

NT

INU

OU

S I

MP

RO

VE

ME

NT

2.3

3.0

TR

AIN

ING

& E

DU

CA

TIO

N

3.1

3.0

TR

AIN

ING

& E

DU

CA

TIO

N

3.2

A formal approach is used to actively pursue cost containment and other continual improvement activities throughout the organization. Documented procedures required. Records required.

Employee involvement / recognition program, Lean, Six Sigma, kaizen, SPC, 5-S, cost reduction program, preventive actions

A corrective action system is in place that provides root cause analysis and takes timely and effective action to prevent recurrence. Documented procedures required. Records required.

Corrective action records, trend charts, meeting minutes, nonconformance frequency & cost analysis. Does CA system cover customer, internal & supplier issues?

The skill and education level required for each job is documented and appropriate training / re-training is provided. Records required.

Job descriptions, job skills assessment, training records, training manuals. Look for use of training aids & work instructions at work stations.

Employee qualification / certification is maintained where the quality outcome of the process cannot be verified and is strongly dependent upon operator skill. Records required.

Qualification records, certification history, etc.


Other Areas




Prevent Recurrence




Effectiveness



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




3.0

TR

AIN

ING

& E

DU

CA

TIO

N

3.3

4.1

4.2

4.3

5.1

Suitable methods are used to verify training effectiveness. Records required.

Records of student testing, production quality records, audit records, interview workers to validate training records. Look for use of training aids & work instructions at work stations.

4.0

OC

CU

PA

TIO

NA

L H

EA

LT

H &

S

AF

ET

Y

The Occupation Health & Safety (OHS) management system addresses the safety of personnel without comprising the achievement of product quality requirements.

Procedure for OHS training, communications, emergency preparedness and response, monitoring and performance measurements

4.0

OC

CU

PA

TIO

NA

L H

EA

LT

H &

S

AF

ET

Y

The Occupation Health & Safety (OHS) policy states the organization’s health and safety objectives and management's commitment to continual improvement of OHS metrics.

Policies and procedures, health & safety trend charts, accident rate improvement history, etc.

4.0

OC

CU

PA

TIO

NA

L

HE

AL

TH

& S

AF

ET

Y

Procedures are used for the on-going identification of hazards, the assessment of risks, and the implementation of necessary control measures.

Safety committee or group meeting minutes, accident investigation reports, safety audit reports

5.0

DE

SIG

N D

EV

EL

OP

ME

NT

&

SU

PP

OR

T

Customer needs and requirements are incorporated into product designs and/or manufacturing processes. Critical-to-Quality (CTQ) characteristics are identified and understood. Records required.

Market studies, customer/end-user surveys, technical design reviews, mfg process capability studies, formal process qualification plan, manufacturing verification tests, pilot runs, etc.


Other Areas




Prevent Recurrence




Effectiveness



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




5.2

5.0

DE

SIG

N D

EV

EL

OP

ME

NT

& S

UP

PO

RT

5.3

5.4

6.0

QU

AL

ITY

PL

AN

NIN

G 6.1

6.0

QU

AL

ITY

PL

AN

NIN

G

6.2

5.0

DE

SIG

N D

EV

EL

OP

ME

NT

&

SU

PP

OR

T

Product specifications and drawings are generated, controlled and maintained for new or changed product designs. Records required.

Complete product characteristics, application requirements, and other information essential for its safe and proper use and eventual disposal, etc.

Design validation is an integral part of the design process and occurs prior to production release. Records required.

Design results, manufacturability, productivity and cost studies, confirmation that product fulfills its specified requirements or intended use or applications, design-FMEA, etc.

5.0

DE

SIG

N D

EV

EL

OP

ME

NT

&

SU

PP

OR

T

Human and technical resources are adequate to meet Emerson’s requirements for design collaboration, tooling design and electronic drawing and data exchange.

Qualification of technical staff. Equipment/software capabilities; CAD, PRO-E, etc.

Production samples are inspected and provided to customers upon request. Records required.

Completed PPAP or similar forms, inspection reports, availability of qualified resources

Customer production requirements and quality specifications are reviewed to ensure they can be met on a consistent basis. Records required.

Procedures, design / process review minutes, FMEA's, mfg capacity plans, resource plans that address all product test, storage, packaging and shipment requirements


Other Areas




Prevent Recurrence




Effectiveness



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




6.0

QU

AL

ITY

PL

AN

NIN

G

6.3

6.0

QU

AL

ITY

PL

AN

NIN

G

6.4

7.1

7.2

7.0

DR

AW

ING

S &

SP

EC

IFIC

AT

ION

S

7.3

Reliability test plans are developed and routinely followed. Testing is used to verify design spec's, drive design improvements and provide an on-going check of materials and workmanship. Documented procedures required. Records required.

Reliability test plans, test reports, improvement/corrective actions taken, design changes implemented

Product reliability test data is available upon request and historical test performance data shows a highly stable process and product design. Records required.

Reliability test summary reports/charts

7.0

DR

AW

ING

S &

S

PE

CIF

ICA

TIO

NS

New and revised customer specifications are reviewed and implemented in a timely manner. Documented procedures required.

Technical review of methods to be used, capability studies on similar parts, documented review procedure, ie., APQP, PPAP.

7.0

DR

AW

ING

S &

S

PE

CIF

ICA

TIO

NS

Current process control documents are in place and used for production start-up and continuing production. Documented procedures required.

Customer specifications, engineering drawings, change notices, work instructions and specifications as applicable.

Customer notification / approval occurs for changes to Control Plans, manufacturing site, product transfers, raw material or product obsolescence. Records required.

Customer notification procedure on major changes & compliance to Jedec standards JESD 46 and JESD 48 (or equivalent, if app.). Signed material / process change requests. Customers are notified of RoHS compliance status change.


Other Areas




Prevent Recurrence




Effectiveness



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




7.0

DR

AW

ING

S &

SP

EC

IFIC

AT

ION

S 7.4

8.0

PR

OC

UR

EM

EN

T

8.1

8.0

PR

OC

UR

EM

EN

T

8.2

8.0

PR

OC

UR

EM

EN

T

8.3

8.0

PR

OC

UR

EM

EN

T

8.4

Quality records are maintained. A record control system is in place for the identification, storage, protection, retrieval, retention time, and disposition of quality records.

Procedures, list of records to be kept with retention periods specified

A formal process is used for the selection, qualification and re-qualification of suppliers. Records required.

Supplier quality system audits and related corrective actions, engineering testing and approval records, plant production trials

Purchases from unapproved suppliers are prevented by a properly controlled and available Approved Supplier List (ASL). Records required.

ASL, procedures for control and use of ASL, production material receipt records

Preventive actions are taken to continuously improve performance of the supplier base. Records required.

Supplier quality performance analysis, performance trends, supplier audit reports, Inflation Model, documented goals regarding raw material cost containment

A supplier quality assurance system ensures that all purchased product or material conforms to defined specifications and applicable regulatory or customer requirements. Records required.

Receiving inspection, supplier audits, source inspection, qualification testing, Certificate of Compliance (COC), component marking, labeling, etc.


Other Areas




Prevent Recurrence




Effectiveness



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




8.0

PR

OC

UR

EM

EN

T

8.5

9.1

9.0

IN

CO

MIN

G M

AT

ER

IAL 9.2

9.0

IN

CO

MIN

G M

AT

ER

IAL

9.3

10.0

M

AN

UF

AC

TU

RIN

G Q

UA

LIT

Y

10.1

A system exists for the identification, verification and protection of customer supplied product that includes notifying the customer if product is damaged or lost. Records required.

Procedures, segregation during storage, limited and controlled access to stored inventories

9.0

IN

CO

MIN

G

MA

TE

RIA

L

Receiving inspection is performed per documented procedures and detailed work instructions. Records required.

Procedures, inspection instructions resources (manpower and equipment) allocated for incoming inspection

Inspected material is adequately identified as to acceptance or rejection and traceable to receiving inspection report. Records required.

Quality Control label, marking or use of designated hold area as indicated in the procedure

Supplier corrective action requests require root cause investigation and records show responses are analyzed. Documented procedures required. Records required.

Availability of written procedure, standardized Corrective Action form, analysis of corrective action cycle time and closure measurements

There is a formal method used to qualify new or rebuilt production equipment prior to production use.

Qualification plan that includes established goals for process yields/up-time, etc. and record of process capability, review and approval, etc.


Other Areas




Prevent Recurrence




Effectiveness



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




10.0

M

AN

UF

AC

TU

RIN

G Q

UA

LIT

Y

10.2

10.3

10.0

M

AN

UF

AC

TU

RIN

G Q

UA

LIT

Y 10.4

10.5

10.0

M

AN

UF

AC

TU

RIN

G Q

UA

LIT

Y 10.6

Control Plans are used to plan and deploy inspection and test functions throughout the production process.

Process flow diagram, statistical tools to be used, key inspection points, inspection frequency, records, control responsibility, inspection/test method, gaging used, acceptable yield rates

10.

0 M

AN

UF

AC

TU

RIN

G

QU

AL

ITY

Appropriate work instructions are available where needed that accurately describe all work methods including inspections and tests to be done during production.

Sample size, frequency, method, document control dates/revision level, etc. Handling procedures for Electro-Static Discharge (ESD), RoHS compliant materials & other process conditions.

Appropriate inspections, tests and process adjustments are made per applicable work instructions to verify conformance at key points throughout the process and prior to shipment. Records required.

Records of inspections performed at incoming, first piece, in-process and/or final inspection or test. Capability study, material test, RoHS and other regulatory tests, etc.

10.

0 M

AN

UF

AC

TU

RIN

G

QU

AL

ITY

The inspection and process status of product is identified and maintained throughout the production process. Records required.

Batch records, travelers, tags, labels, product markings or use of designated & identified areas.

Customers are notified of low yield production lots or issues that affect product reliability. Documented procedures required. Records required.

Corrective actions, records of customer notifications, reliability test data, etc.


Other Areas




Prevent Recurrence




Effectiveness



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




11.0

P

RO

CE

SS

CO

NT

RO

L

11.1

11.2

11.3

11.4 Control charts

12.1

12.2

Key part characteristics and process parameters are reviewed and statistically based controls and/or problem solving tools are used to control variation.

Histograms, run charts, SPC charts, pareto analysis, cause & effect diagrams, DOE, mistake proofing, documented reaction plan & process corrections.

11.

0 S

TA

TIS

TIC

AL

P

RO

CE

SS

CO

NT

RO

L

Written improvement plans are implemented to reduce sources of variation.

Documented reaction plan & process corrections. SPC trend charts showing current status vs. goals. Improvement plan.

11.

0 S

TA

TIS

TIC

AL

P

RO

CE

SS

CO

NT

RO

L Process capability is measured and actions are taken to maintain established minimum Cpk/Ppk targets.

Documented process capability studies and results (actual vs target Cpk/Ppk)

11.

0 S

TA

TIS

TIC

AL

PR

OC

ES

S

CO

NT

RO

L

Out of control conditions are noted on charts and documented corrective action is taken to bring the process back into control. Documented procedures required. Records required.

12.

0

NO

NC

ON

FO

RM

ING

M

AT

ER

IAL

Nonconforming materials, parts and assemblies are segregated (where practical) and identified to prevent unapproved use. Documented procedures required. Records required.

Tags, marking, controlled staging areas, etc. Look for mixing of RoHS compliant & non-compliant materials.

12.

0 N

ON

CO

NF

OR

MIN

G

MA

TE

RIA

L

Reworked material, parts and assemblies are re-inspected or re-tested to confirm compliance to requirements. Records required.

Inspection record, tag, stamp, etc.


Other Areas




Prevent Recurrence




Effectiveness



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




12.3

12.0

N

ON

CO

NF

OR

MIN

G M

AT

ER

IAL

12.4

12.5

13.0

M

EA

SU

RE

ME

NT

EQ

UIP

ME

NT 13.1 GR&R studies, reports

13.0

M

EA

SU

RE

ME

NT

EQ

UIP

ME

NT

13.2

12.

0 N

ON

CO

NF

OR

MIN

G

MA

TE

RIA

L

Use of nonconforming material is documented under a formal waiver or concession system. Records required.

Written procedure, waiver or concession records

Product traceability is maintained (to the extent required by Emerson) to facilitate problem evaluation and corrective action. Documented procedures required. Records required.

Serial number records, lot number, date of manufacture, labeling and marking of containers or product, etc. Look for mixing of RoHS compliant & non-compliant materials.

12.

0 N

ON

CO

NF

OR

MIN

G

MA

TE

RIA

L

There is a positive recall system to notify customers of nonconforming product that has already been shipped. Records required.

Documented procedure and review of system

Gage Repeatability & Reproducibility studies are conducted to verify suitability of measuring devices for their use in checking product quality or control of processes. Records required.

Measuring devices, gaging and test equipment are routinely calibrated and controlled per documented procedures. Records required.

Gage calibration stickers, calibration records, positive identification or segregation of out-of-calibration devices, and inventory, location & status records, etc.


Other Areas




Prevent Recurrence




Effectiveness



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




13.3

13.4

13.0

M

EA

SU

RE

ME

NT

EQ

UIP

ME

NT

13.5

14.0

P

RE

VE

NT

IVE

MA

INT

EN

AN

CE 14.1

14.2

13.

0 M

EA

SU

RE

ME

NT

E

QU

IPM

EN

T

Gages and test equipment are calibrated against standards traceable to a recognized regulatory body or agency. Records required.

Calibration procedures, and calibration stickers and other records.

13.

0 M

EA

SU

RE

ME

NT

E

QU

IPM

EN

T

Assessments are made to check the validity of previous measurements done on products where out-of-calibration measuring devices were used. Records required.

Assessment records, corrective actions, etc.

Appropriate controls are in place to verify the suitability and accuracy of computer software prior to initial use in checking product quality or control of processes. Software is re-verified when revised. Records required.

Verification methods and records, revision levels, distribution/use control, etc.

Tools are stored in an appropriate, clearly defined area, with systematic tracking that provide traceability, particularly of customer-owned tools and equipment. Records required.

Review of storage area, labeling, tooling records

14.

0 P

RE

VE

NT

IVE

M

AIN

TE

NA

NC

E

A formal Preventive Maintenance system exists for production equipment, tools and fixtures.

Review of system, PM plans, PM schedule and compliance results


Other Areas




Prevent Recurrence




Effectiveness



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




14.0

P

RE

VE

NT

IVE

MA

INT

EN

AN

CE 14.3

15.0

E

NV

IRO

NM

EN

TA

L

15.1

15.0

E

NV

IRO

NM

EN

TA

L

15.2

15.0

E

NV

IRO

NM

EN

TA

L

15.3

Preventive Maintenance schedule is followed. Product cannot be made with tools that are outside of maintenance period. Performance is audited

No equipment, tools, or fixtures are in use that are outside TPM schedule, or have unclear status

A documented environmental policy exists that includes a commitment to comply with relevant environmental legislation and regulations and to continual improvement and pollution prevention.

Environmental policy statement document

There is an environmental management system that ensures compliance to all applicable government regulations and there are no outstanding, unresolved violations of these regulations.

Records of agency/gov inspection or certification, doc'd procedures for measuring and monitoring environmentally sensitive activities w/ list of mtl's and areas where used, tracking of hazardous mtl's or waste.

A system is in place to minimize the use, disposal and emissions of hazardous chemicals and to ensure that Class I ozone depleting chemicals are not used in the manufacturing process.

Record of purchases, waste stream and consumption; inventory control procedures.


Other Areas




Prevent Recurrence




Effectiveness



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




15.0

E

NV

IRO

NM

EN

TA

L

15.4

16.0

ST

OR

AG

E &

PA

CK

AG

ING

16.1

16.2

16.0

ST

OR

AG

E &

PA

CK

AG

ING

16.3

16.0

ST

OR

AG

E &

PA

CK

AG

ING

16.4

An on-going emphasis is placed on using materials that are; compliant with applicable regulations like RoHS & WEEE, biodegradable, recyclable, re-usable, reduces pollutant emissions at the point of use.

Records/use of; non-hazardous (RoHS/WEEE compliant) materials in production, biodegradable materials, returnable containers or packaging, recycling program, packaging materials made of recycled materials.

Areas around the facility are clean and orderly. Tools and equipment are properly stored and readily available for use. Lighting and air quality are adequate.

Observe production, office & product storage areas for use of 5S/6S principles (Sort, Set-in-order, Shine, Standardize, Sustain + Safety)

16.

0 S

TO

RA

GE

&

PA

CK

AG

ING

Proper equipment and methods are used to prevent product damage or loss in all phases of the material handling process.

Observe handling and transit of raw material, work-in-process, and finished goods.

Documented procedures are followed to ensure proper control and preservation of handling, storage (FIFO), packaging, and delivery of product.

FIFO practices are defined, packaging specifications, test results, handling and storage procedures.

Suitability of product packaging is reviewed and any concerns are communicated to the customer prior to initial production shipment. Packaging tests if required. Records required.

Technical review, packaging/shipping tests, packaging work instructions, carton strength tests


Other Areas




Prevent Recurrence




Effectiveness



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




16.0

ST

OR

AG

E &

PA

CK

AG

ING

16.5

16.0

ST

OR

AG

E &

PA

CK

AG

ING

16.6

17.1

17.2

17.3

Stored product/material is periodically inspected, and where applicable, actions are taken to prevent deterioration per documented procedures.

Doc'd list of shelf-life sensitive products/materials (e.g., sealants, adhesives, solder paste, paint/varnish, o'rings). Look for poor storage conditions & damage (e.g., rust or water damage). Handling procedures for Electro-Static Discharge (ESD) & other sensitive conditions.

Contingency plans have been developed that describe actions to be taken in the event of a major interruption of the manufacturing process.

Process covering utility interruptions, labor shortages, key equipment failures, major production issues.

17.

0 R

ES

TR

ICT

ION

OF

HA

ZA

RD

OU

S

SU

BS

TA

NC

ES

(R

oH

S)

A RoHS compliance policy is documented and maintained that defines the requirements for material and process qualification, on-going compliance verification, manufacturing controls, declaration of compliance and records.

Documented procedures that set requirements for planning, verification, on-going control, record keeping & customer communications. Supplier's management support.

17.

0 R

ES

TR

ICT

ION

OF

H

AZ

AR

DO

US

S

UB

ST

AN

CE

S (

Ro

HS

) Technical & customer requirements for RoHS compliance are reviewed and communicated prior to production start-up.

Records, plans, updates, presentations, meeting minutes.

17.

0 R

ES

TR

ICT

ION

OF

H

AZ

AR

DO

US

SU

BS

TA

NC

ES

(R

oH

S)

Test methods are established for each RoHS controlled hazardous substance. Test sampling plan is based on analysis of risk for each commodity and/or manufacturing process used.

Assessment of risk by part-type or manufacturing process used. Procedures, test methods, sampling plan, control plan.


Other Areas




Prevent Recurrence




Effectiveness



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




17.4

17.5

17.6

17.7

17.8

17.

0 R

ES

TR

ICT

ION

OF

HA

ZA

RD

OU

S

SU

BS

TA

NC

ES

(R

oH

S)

Qualified personnel are available to implement and sustain all aspects of RoHS compliance.

Training & education records. Interview engineering, technical, quality control personnel. Number of qualified personnel is adequate to prevent unacceptable delays.

17.

0 R

ES

TR

ICT

ION

OF

H

AZ

AR

DO

US

S

UB

ST

AN

CE

S (

Ro

HS

) RoHS technical requirements and inspection criteria are documented and available where needed, e.g. solder fillet, tin whiskers..

Test methods/procedures, tin whisker analysis instructions, XRF work instructions, QC audits, etc. Ref to Jedec/IPC Joint publication JP-002.

17.

0 R

ES

TR

ICT

ION

OF

H

AZ

AR

DO

US

S

UB

ST

AN

CE

S (

Ro

HS

) Test methods and acceptance limits follow recognized standards and RoHS requirements.

Acceptance limits do not exceed RoHS limits. References to recognized standard test protocols, such as, ISO, IEC, EPA.

17.

0 R

ES

TR

ICT

ION

OF

HA

ZA

RD

OU

S

SU

BS

TA

NC

ES

(R

oH

S)

Incoming materials and finished goods are periodically tested with appropriate equipment to confirm RoHS compliance. Compliance declarations and test records are maintained for a minimum of 5 years.

RoHS testing procedure, sampling plan/frequency, test records. Use of XRF analyzer, atomic absorption analyzer, UV-VIS equipment, etc.. Qualified independent chemical lab w/A2LA accreditation or equivalent

17.

0 R

ES

TR

ICT

ION

OF

HA

ZA

RD

OU

S

SU

BS

TA

NC

ES

(R

oH

S)

Effective identification and handling methods are in place to prevent commingling or inappropriate use of both RoHS non-compliant and RoHS compliant items.

Documented procedures. Observation of handling / labeling techniques in use. Production operators are aware in distinguishing RoHS materials and processes versus non-RoHS. Look for mixing of RoHS compliant & non-compliant materials.


Other Areas




Prevent Recurrence




Effectiveness



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




17.9

17.10

18.0

RE

AC

H C

om

pli

ance

18.1 Policy statement or procedure.

18.0

RE

AC

H C

om

pli

ance

18.2

18.3

18.0

RE

AC

H C

om

pli

ance

18.4

17.

0 R

ES

TR

ICT

ION

OF

HA

ZA

RD

OU

S

SU

BS

TA

NC

ES

(R

oH

S)

There are documented procedures in handling the screening, rework or refurbishing of finished goods returned from the field and customers.

Observation of handling / labeling techniques in use. Production operators are aware in distinguishing RoHS materials and processes versus non-RoHS. Documented procedures.

17.

0 R

ES

TR

ICT

ION

OF

H

AZ

AR

DO

US

S

UB

ST

AN

CE

S (

Ro

HS

) A spreadsheet or equivalent system is used to monitor the status of RoHS compliance and the declarations for each part number effected.

Database or other means is maintained to track RoHS compliance status by part number & declarations to customers.

REACH compliance policy is documented and maintained that defines the requirements for REACH compliance and on-going verification.

Responsibilities for REACH have been clearly defined and assigned to appropriate personnel.

Look for identification of an individual or individuals (i.e.., naming an entire department is not acceptable). Record the names and titles of the responsible individuals.

18.

0 R

EA

CH

C

om

plia

nc

e

REACH Compliance Documents and instructions for their use are established and followed.

Compliance Plan, Supplier Letters, Customer Letters

Supplier must have a system in place to communicate safe handling information (such as a Material Safety Data Sheet) for any dangerous substances contained in or on it's products.

Database/files. Records of communication to customers of the Material Safety Data Sheet (MSDS) or Safety Data Sheet (SDS) in the EU which may include Exposure Scenario (ES) and/or Risk Management Measures (RMM).


Other Areas




Prevent Recurrence




Effectiveness

N83


P83

REACH申请注意事项 (参考评审表部分 18.0) 从2008年6月1日起, ESAC评审中必须执行在ESAC评审表18.0部分的REACH法规；除非子公司管理层有明确证实供应商所提供的材料/零件不会用于EMERSON在欧盟国家中出售的产品内。如果供应商当前并没有提供超出0.1%wt./wt. SVHC (高度关注物质) 标准的材料/零件给EMERSON，请在要求栏18.5内记录“不适用”。

T83

REACH申請注意事項 (參考評審表部分 18.0) 從2008年6月1日起, ESAC評審中必須執行在ESAC評審表18.0部分的REACH法規；除非子公司管理層有明確證實供應商所提供的材料/零件不會用于EMERSON在歐盟國家中出售的産品內。如果供應商當前并沒有提供超出0.1%wt./wt. SVHC(高度關注物質) 標準的材料/零件給EMERSON，請在要求欄18.5內記錄“不適用”。

X83

Vanaf 1 juni 2008 dienen ESAC audits de Standaard Controlelijst Sectie 18.0, "REACH naleving" te bevatten, behalve wanneer het Afdelings management positief heeft onderzocht dat de onderdelen, geleverd door deze leverancier niet worden gebruikt in Emerson produkten die verkocht worden in landen van de Europese Unie. Vereiste 18.5 zou kunnen aangeduid worden als niet van toepassing(n/a) wanneer de leverancier op dat ogenblik geen onderdelen levert aan Emerson met zeer zorgwekkende stoffen (SVHC) die 0.1% g/g overschrijden

AF83

Instructions pour l'utilisation des exigences REACH (section 18.0 du questionnaire) A compter du 1er Juin 2008, les audits ESAC doivent inclure la section 18.0 "Conformité REACH" sauf si la division a vérifié au préalable que les produits achetés au fournisseur ne seront pas vendus dans les pays de l'Union Européene. L'exigence 18.5 peut être identifiée comme "non applicable" si le fournisseur ne fournit pas de produits contenant plus de 0,1 % en poids de substances dangereuses (Substances of Very High Concern").

AJ83

REACH Anwender Anweisungen (Checklist Kapital 18.0): Seit Anfang Juni 2008 muss die ESAC Audit Checklist Kapital 18.0 "REACH Konformität" verwendet werden. Einzige Ausnahme: Division Management hat die Produkte der betroffenen Lieferanten verifiziert, die werden nicht für Emerson Produkte für die Europäische Gemeinschaft (EU) verwendet werden. Anforderung 18.5 gilt als nicht erforderlich, wenn der Lieferant an Emerson keine Produkte liefert, die besonders besorgniserregende Stoffe (SVHC) mit einem Grenzwert > 0,10% Gewicht bei Gewicht beinhalten.

AV83

Дополнительные инструкции для REACH C 01.06.08 проверка ESAC должна включать раздел 18.0 Программы оценки (Standart Checklist). Исключениедопускается в тех случаях, когда руководство Дивизиона уверено, что детали, поставляемыеданным поставщиком не будут использоваться в продукции Emerson поставляемой в страны ЕС. Пункт 18.5 может быть отмечен n/a (не применимо) если поставщик не поставляет детали в Emerson помеченные как "вещество с очень высокой концентрацией более 0,1% раствора"

AZ83

Instrucciones para la aplicacion REACH (Sección 18.0 de la lista de preguntas) Desde el 1 de junio de 2008 las auditorías del ESAC deben incluir la sección 18.0 de la lista de preguntas estándard, "Conformidad REACH" excepto cuando la gerencia de la División ha verificado positivamente que las partes proveídas por el suplidor no van a ser usadas en productos de Emerson que serán vendidos en países de la Comunidad Europea. El requerimiento 18.5 puede ser marcado como "n/a" si el suplidor no provee partes a Emerson con sustancias de muy alto concernimiento (Substances of Very High Concern SVHC) que excedan el 0.1% wt./wt.



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




18.0

RE

AC

H C

om

pli

ance

18.5

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #

Req #


Maximum Total Score Available:

Standard Checklist Score:

The supplier has informed Emerson if they are providing (or will be providing) Emerson with products that contain Substances of Very High Concern (SVHC) that exceed 0.1% wt./wt.

If the official candidate list has been published by the ECHA (European Chemicals Agency), then look for records of communication to Emerson of the presence of SVHC, if applicable. Traceability of chemical identification.

Sum of Scores (excluding "n/a" & "Not Verified"):


Other Areas




Prevent Recurrence




Effectiveness

Supplier Corrective & Preventive Action Plan

Submitted by (name & title):Date Supplier CA-PA Plan Submitted:

Reviewed by (EMR name & title):



Brown = Revised

STANDARD CHECKLIST

30-Dec-99




Dates:


Other Areas




Prevent Recurrence




EffectivenessDate Supplier CA-PA Plan Reviewed:


Added Req'sPage: 54 of 68

No

t V

erif

ied

Status

30-Dec-99Requirements Typical Objective Evidence

ADDITIONALREQUIREMENTS

No

t A

pp

licab

le

Supplier Self-Audit SCOREOn-Site Audit SCOREAfter CAPA Verif. SCOREAUDIT FINDINGS & OBSERVATIONS

(To be Completed by Emerson)


Completion Date

(mm/dd/yy)

Type audit name here

Use the EXAMPLE QUESTIONS below or replace them with your own. Use this Checklist "as needed" per your Division's rules. Click "Instructions" for more detail.

A.

Lab

or

Rel

atio

ns

A-1

A-2

A.

Lab

or

Rel

atio

ns

A-3

A.

Lab

or

Rel

atio

ns

A-4

B-1

B-2

B.

Bu

sin

ess

Eth

ics

(Co

de

of

Co

nd

uct

) B-3

There is a company policy of upholding human rights of employees where all works are voluntary (no forced labor), no child labor, and harsh or inhumane treatment are prevented.

Company policies, labor related reports

A. L

abo

r R

ela

tio

ns

Freedom of association among employees is permitted and management has a system to eliminate any discrimination issues.


The supplier management complies to applicable wage laws and maximum working hour regulation, and has a formal document of not engaging into any kind of unlawful discrimination.

Workers' salary profile, overtime policy and procedures, company rules and regulations.

Open communication channels exist between management and labor where workers can freely discuss working conditions without fear of reprisal, intimidation or harassment.

Labor-management relations, committees. Labor-related reports

B. B

usi

nes

s E

thic

s

(Co

de

of

Co

nd

uct

) There is a business ethics policy or code of conduct where each employee are oriented and required to comply and uphold the integrity and ethical standards of the company.

Business ethics (code of conduct) policy and procedures

B. B

usi

nes

s E

thic

s (

Co

de

of

Co

nd

uct

)

There is a management system to ensure that the business ethics or code of conduct applies to applicable laws and regulations, identifies and mitigates risks related to the code, and facilitates continuous improvement.


Documented procedures are followed regarding conflict of interest, dealing with suppliers, customers and competitors, disclosure of sensitive, confidential and intellectual proprietary information, and compliance to government laws like the Foreign Corrupt Practices Act (FCPA)


F2

Audit Type: S = Supplier Self-Audit O = On-site Audit A = Adjust after CAPA

M2


B3

Type description of the Added Requirements or Process Audit here.

B6

TYPE SECTION NUMBERS & NAMES IN THIS COLUMN. Use Filters to Show/Hide rows. Choose "Non-Blank" to make this row disappear and "All" to make it reappear.

C6

TYPE QUESTION NUMBERS IN THIS COLUMN. Use Filters to Show/Hide rows



No

t V

erif

ied

Status



No

t A

pp

licab

le




Completion Date

(mm/dd/yy)


B-4

B-5 Community program reports

B-6

C-1 Safety procedures, list of PPE

C-2

C-3

C.

En

viro

nm

enta

l &

OH

S

C-4

C.

En

viro

nm

enta

l &

OH

S C-5

B. B

usi

nes

s E

thic

s

(Co

de

of

Co

nd

uct

) A formal procedure is in place where fair business, advertising, and competition are upheld; and there are means to safeguard customer proprietary information.


B. B

usi

nes

s E

thic

s

(Co

de

of

Co

nd

uct

) Community engagement programs are used to help foster social and economic development.

B. B

usi

nes

s E

thic

s (

Co

de

of

Co

nd

uct

)

A formal system is in place to report actual or perceived violations to the ethics policy and procedures where retaliation and harassment are prevented on employees (whistleblowers) who reported possible violations or concerns.

Ethics procedures include protection of whistleblower confidentiality

C. E

nv

iro

nm

en

tal &

O

HS

Worker exposure to hazards are identified and controlled, and where hazards cannot be adequately controlled, workers are provided with the appropriate personal protective equipment (PPE)

C. E

nv

iro

nm

en

tal &

O

HS

Physical guards, barriers and interlocks are provided and properly maintained on production equipment and machineries used by production operators.

Sire conditions, actual machineries

C. E

nv

iro

nm

en

tal &

O

HS

Physically demanding work (like manual material handling, prolonged standing and repetitive forceful tasks) are identified and controlled.

Works Instructions, actual work in progress

The canteen and dormitory are provided with clean toilet facilities, access to drinking water, sanitary food preparation and storage, adequate heat and ventilation, reasonable personal space and provided with emergency egress.

Site conditions, Company Policies

Wastewater and solid wastes generated from the production processes and sanitation facilities are properly monitored, controlled and treated as necessary prior to any disposal outside the factory.

Waste records and actual equipment and facilities used

F2


M2


B3




No

t V

erif

ied

Status



No

t A

pp

licab

le




Completion Date

(mm/dd/yy)


C.

En

viro

nm

enta

l &

OH

S

C-6

D-1 First pass yield trends

D-2

D-3

Air emissions from organic chemicals, aerosols, corrosives, particulates, ozone depleting chemicals, and combustion by-products from production processes and test laboratories are monitored, controlled and treated as necessary prior to any discharge to the environment.

Emission records and site facilities

D. Q

ua

lity

M

anag

em

en

t (2

) The supplier is regularly monitoring the first pass yields, reports of which are readily available.

D. Q

ua

lity

M

anag

em

en

t (2

) Structured Failure Analysis (FA) is used where tests are identified based on the analysis level, facilities and equipment, human resources and turn-around time (TAT).

FA procedures, FA TAT time records, Equipment availability, Third party FA records.

D. Q

ua

lity

M

anag

em

en

t (2

) Handling of customer rejects includes a Return Materials Authorization (RMA) process, generation of rework instructions and identification of repair resources.

Procedure on handling customer rejects, RMA procedure.

F2


M2


B3




No

t V

erif

ied

Status



No

t A

pp

licab

le




Completion Date

(mm/dd/yy)


Scores


No

t A

pp

licab

le

No

t V

erif

ied

On-Site Audit Findings:Scores Sum of Scores (excluding "n/a" & "Not Verified"): 0 0 0 ive Action plans will be submitted on (date): Scores Maximum Total Score Available: 0 0 1900 1900 1900 Emerson Audit Leader (name & title):

Scores Added Requirements Score: 0% 0% 0% Supplier QA Representative (name & title): Scores Dates: CA-PA Verification & Finding Closure Date:

Supplier Self-Audit

Std Chklst SCORE

On-Site Audit Std

Chklst SCORE

After CAPA

Verif. Std Chklst SCORE

F2


M2


B3


F87







Use the EXAMPLE QUESTIONS below or replace them with your own. Use this Checklist "as needed" per your Division's rules. Click "Instructions" for more detail.

A.

Lab

or

Rel

atio

ns

A-1

A-2

A.

Lab

or

Rel

atio

ns

A-3

A.

Lab

or

Rel

atio

ns

A-4

B-1

B-2

B.

Bu

sin

ess

Eth

ics

(Co

de

of

Co

nd

uct

) B-3

There is a company policy of upholding human rights of employees where all works are voluntary (no forced labor), no child labor, and harsh or inhumane treatment are prevented.


A. L

abo

r R

ela

tio

ns

Freedom of association among employees is permitted and management has a system to eliminate any discrimination issues.


The supplier management complies to applicable wage laws and maximum working hour regulation, and has a formal document of not engaging into any kind of unlawful discrimination.

Workers' salary profile, overtime policy and procedures, company rules and regulations.

Open communication channels exist between management and labor where workers can freely discuss working conditions without fear of reprisal, intimidation or harassment.

Labor-management relations, committees. Labor-related reports

B. B

usi

nes

s E

thic

s

(Co

de

of

Co

nd

uct

) There is a business ethics policy or code of conduct where each employee are oriented and required to comply and uphold the integrity and ethical standards of the company.


B. B

usi

nes

s E

thic

s (

Co

de

of

Co

nd

uct

)

There is a management system to ensure that the business ethics or code of conduct applies to applicable laws and regulations, identifies and mitigates risks related to the code, and facilitates continuous improvement.


Documented procedures are followed regarding conflict of interest, dealing with suppliers, customers and competitors, disclosure of sensitive, confidential and intellectual proprietary information, and compliance to government laws like the Foreign Corrupt Practices Act (FCPA)



Other Areas



CORRECTIVE ACTION Taken to Address Root Cause

& Prevent Recurrence




Effectiveness

B3


B6

TYPE SECTION NUMBERS & NAMES IN THIS COLUMN. Use Filters to Show/Hide rows. Choose "Non-Blank" to make this row disappear and "All" to make it reappear.

C6

TYPE QUESTION NUMBERS IN THIS COLUMN. Use Filters to Show/Hide rows






B-4

B-5 Community program reports

B-6

C-1 Safety procedures, list of PPE

C-2

C-3

C.

En

viro

nm

enta

l &

OH

S

C-4

C.

En

viro

nm

enta

l &

OH

S C-5

B. B

usi

nes

s E

thic

s

(Co

de

of

Co

nd

uct

) A formal procedure is in place where fair business, advertising, and competition are upheld; and there are means to safeguard customer proprietary information.


B. B

usi

nes

s E

thic

s

(Co

de

of

Co

nd

uct

) Community engagement programs are used to help foster social and economic development.

B. B

usi

nes

s E

thic

s (

Co

de

of

Co

nd

uct

)

A formal system is in place to report actual or perceived violations to the ethics policy and procedures where retaliation and harassment are prevented on employees (whistleblowers) who reported possible violations or concerns.

Ethics procedures include protection of whistleblower confidentiality

C. E

nv

iro

nm

en

tal &

O

HS

Worker exposure to hazards are identified and controlled, and where hazards cannot be adequately controlled, workers are provided with the appropriate personal protective equipment (PPE)

C. E

nv

iro

nm

en

tal &

O

HS

Physical guards, barriers and interlocks are provided and properly maintained on production equipment and machineries used by production operators.

Sire conditions, actual machineries

C. E

nv

iro

nm

en

tal &

O

HS

Physically demanding work (like manual material handling, prolonged standing and repetitive forceful tasks) are identified and controlled.

Works Instructions, actual work in progress

The canteen and dormitory are provided with clean toilet facilities, access to drinking water, sanitary food preparation and storage, adequate heat and ventilation, reasonable personal space and provided with emergency egress.

Site conditions, Company Policies

Wastewater and solid wastes generated from the production processes and sanitation facilities are properly monitored, controlled and treated as necessary prior to any disposal outside the factory.

Waste records and actual equipment and facilities used


Other Areas








Effectiveness

B3







C.

En

viro

nm

enta

l &

OH

S

C-6

D-1 First pass yield trends

D-2

D-3

Air emissions from organic chemicals, aerosols, corrosives, particulates, ozone depleting chemicals, and combustion by-products from production processes and test laboratories are monitored, controlled and treated as necessary prior to any discharge to the environment.

Emission records and site facilities

D. Q

ua

lity

M

anag

em

en

t (2

) The supplier is regularly monitoring the first pass yields, reports of which are readily available.

D. Q

ua

lity

M

anag

em

en

t (2

) Structured Failure Analysis (FA) is used where tests are identified based on the analysis level, facilities and equipment, human resources and turn-around time (TAT).

FA procedures, FA TAT time records, Equipment availability, Third party FA records.

D. Q

ua

lity

M

anag

em

en

t (2

) Handling of customer rejects includes a Return Materials Authorization (RMA) process, generation of rework instructions and identification of repair resources.

Procedure on handling customer rejects, RMA procedure.


Other Areas








Effectiveness

B3







Scores


Au

dit

Typ

e

Scores Sum of Scores (excluding "n/a" & "Not Verified"):Scores Maximum Total Score Available:

Scores Added Requirements Score: Scores Dates:


Other Areas








Effectiveness

Supplier Corrective & Preventive Action Plan:Submitted by (name & title):

Date Supplier CA-PA Plan Submitted:

Reviewed by (EMR name & title):Date Supplier CA-PA Plan Reviewed:

B3



Audit ResultsPage: 62 of 68

Emerson Supplier Audit Checklist Supplier:

Audit Results Commodity Family:

Section ScoresDivision; S.C. Org.:

Standard Checklist Section Supplier Self-Audit SCOREOn-Site Audit SCOREAfter CAPA Verif. SCORE

Supplier Self-Audit

SCORE

On-Site Audit

SCOREAfter CAPA

Verif. SCORETotal

Req'mntsMandatory

Req'ments (M)Req. No.

1.0 Quality Management 4 1

M 1.1

1.21.31.4

2.0 Continuous Improvement 3 22.1

M 2.2M 2.3

3.0 Training & Education 3 1M 3.1

3.23.3

4.0 Occupational Health & Safety 3 04.14.24.3

5.0 Design Development & Support 4 1

M 5.15.25.35.4

6.0 Quality Planning 4 2

M 6.1M 6.2

6.36.4

7.0 Drawings & Specifications 4 3

M 7.17.2

M 7.3M 7.4

8.0 Procurement 5 2

8.1M 8.2

8.3M 8.4

8.5

9.0 Incoming Material 3 3M 9.1M 9.2M 9.3







Supplier Self-Audit

SCORE

On-Site Audit

SCOREAfter CAPA

Verif. SCORETotal

Req'mntsMandatory


10.0 Manufacturing Quality 6 3

M 10.1M 10.2

10.3M 10.4

10.510.6

11.0 Process Control 4 2

M 11.111.2

M 11.311.4

12.0 Nonconforming Material 5 2

M 12.112.212.3

M 12.412.5

13.0 Measurement Equipment 5 2

13.1M 13.2

13.3M 13.4

13.5

14.0 Preventive Maintenance 3 014.114.214.3

15.0 Environmental 4 0

15.115.215.315.4

16.0 Storage & Packaging 6 3

M 16.116.216.3

M 16.4M 16.5

16.6







Supplier Self-Audit

SCORE

On-Site Audit

SCOREAfter CAPA

Verif. SCORETotal

Req'mntsMandatory


17.0 10 0

17.1

17.2

17.3

17.4

17.5

17.6

17.7

17.8

17.9

17.10

18.0 REACH Compliance 5 0

18.118.2

18.3

18.4

18.5

Number of Requirements Possible (including RoHS): 81 27 0% 0% 0% MANDATORY REQUIREMENTS ONLY

Number of Requirements Audited: 0 0

0% 0% 0% ADDITIONAL REQUIREMENTS

OVERALL

Restriction of Hazardous Substances (RoHS)

STD REQUIREMENTS (Incl. Mandatory)

Revisions (shown in brown text): Added REACH Compliance section 18.0 and updated formulas.

Overall score is weighted average of Std Req's & Additional Req's scores

B84








Supplier Self-Audit

SCORE

On-Site Audit

SCOREAfter CAPA

Verif. SCORETotal

Req'mntsMandatory


AUDIT TEAM RECOMMENDATION & FINAL DISPOSITION

Guidelines for Assigning Audit Team Recommendation & Final Disposition


Audit Team Recommendation (ATR): Date: (mm/dd/yy)

Name & Title:

Final Disposition

Final Disposition (FD): Date: (mm/dd/yy)

Name & Title:

The Audit Team Recommendation (ATR) and Final Disposition (FD) are assigned by using the three guidelines below. These are guidelines only, not strict rules. The On-Site Overall Score, the total On-Site Mandatory Requirements Score and auditor experience are all taken into consideration when making the ATR and several additional factors are reviewed when Division management determines the FD.

Example; Let's say the On-Site Overall Score is between 60 and 69 and the On-Site Mandatory Req's Score is less than 59. According to the guidelines the ATR should be "Not Acceptable", however the Auditor determines the ATR is "Conditionally Acceptable" and notes the reason in the Auditor Comment box. Then the Division management considers the audit scores, ATR and the Auditor's Comments when determining their FD. If the FD is "Conditionally Accept", then the Division (or Procurement Office) must verify the effectiveness of the supplier's corrective actions and develop an improvement plan to raise the supplier's scores above 70. This should take place prior to production, but circumstances may cause production to start before the corrections can be made. It is the Division's responsibility to take all necessary precautions to maintain product quality by adjusting their quality plan to offset the increased risk.

In all cases, it is very important that Corrective Actions are verified to ensure the supplier has met the Requirement and the effected scores can be adjusted to 70% or above prior to production/shipping of Emerson part numbers. The Corrective Action follow-up is typically the responsibility of the Division that will be using the parts/materials.

Guideline: If Total Mandatory Requirements Score AND On-Site Overall Score = 70 or Greater, thenAudit Team Recommendation should be "Acceptable" and Final Disposition should be "Approved"

Guideline: If Total Mandatory Requirements Score OR On-Site Overall Score = 60 to 69, thenAudit Team Recommendation should be "Conditionally Acceptable" and Final Disposition should be "Conditional Approval"

Guideline: If Total Mandatory Requirements Score OR On-Site Overall Score = 59 or Less, thenAudit Team Recommendation should be "Not Acceptable" and Final Disposition should be "Not Approved"

Complete an On-Site Audit before making Audit Team Recommendation, then upload to ESAC database. Do NOT upload to ESAC database unless On-Site Audit was completed.

ATR Auditor Comments:(Required if ATR does not meet guideline)

Verify supplier's CAPA & re-score affected Requirements before making Final Disposition, then upload to ESAC database. Do NOT upload to ESAC database unless On-Site Audit was completed.

FD Auditor Comments:(Required if FD does not meet guideline)

C114

This cell is limited to 200 characters.

C122

This cell is limited to 200 characters.







Supplier Self-Audit

SCORE

On-Site Audit

SCOREAfter CAPA

Verif. SCORETotal

Req'mntsMandatory


Supplier Evaluation Record Only (No On-Site Audit was completed):

Check (x) if Final Disposition was based on Supplier Profile, Self-Audit & review of objective evidence only. This Self-Audit file should be maintained by the Division or SCO. Do NOT upload to the ESAC database.


Auditor NotesPage: 67 of 68


Notes & Attachments

Supplier:

SQA Reference No.:

Auditor Notes / Observations / Photos / Attachments

123456789

1011121314151617181920

Checklist Used

Checklist Requirement

Number

A4

DO NOT Over-write Formula.

D4


A5


D5


Uploaded Supplier Audit Data


UPLOADPage: 68 of 68

0 102Added Requirements Description 98

0 10413525

15713023

ATR Auditor Comments 144

Audit Team Recommendation 111

112

Auditor <First name> 65Auditor <Last name> 66

Auditor Title 69

19

City 71Commodity Family #1 (primary) 75

Commodity Family #2 (secondary) 156

Country 73

Division Name 8

ESAC File Revision ESAC 2008-06 93FD Auditor Comments 145Final Disposition 113

114Language English 92Mail Code 74Mand Req's % Audited 0 138

1013416

15812914

State/Province 72Std Req's % Audited 0 137

0 141139142159143140

Supplier 35Supplier Profile Questions % Yes Empty 136Supply Chain Org 91File Name #NAME? 50

Legend:

Added Req. Score

Adjusted Added Req. ScoreAdjusted Mand Req's ScoreAdjusted Overall ScoreAdjusted REACH ScoreAdjusted RoHS ScoreAdjusted Std Chklst Score

Audit Team Recommendation Date

CA-PA Verification Date

Final Disposition Date

On-Site Audit DateOn-Site Mand Req's ScoreOn-Site Overall ScoreOn-Site REACH ScoreOn-Site RoHS ScoreOn-Site Std Chklst Score

Supp Added Req's ScoreSupp Mand Req's ScoreSupp Overall ScoreSupp REACH ScoreSupp RoHS ScoreSupp Std Chklst Score

Red = Required field Green = Date Blue = Score