Supplier Audit Checklist Example

Includes the following translations; Chinese-Simple, Chinese-
INTENDED FOR USE WITH EXCEL 2003 OR 2007 Traditional, Dutch, English, French, German, Russian & Spanish. Table of Contents
Revision Level: ESAC 2008-06
Contents
Emerson Supplier Audit Checklist What's new with this revision?

ESAC provides a standardized evaluation of a supplier's quality potential. It is based on ISO Language
9001 & TS16949 and strongly emphasizes manufacturing process/quality control. The audit
process typically reveals opportunities for improvement and corrective actions are Instructions
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 Typical Audit Cycle
recommendation to a central database.
ISO / TS Cross Reference
The Emerson Supplier Audit Checklist is sponsored by the Emerson Quality Council and Supplier Profile & Audit Record
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 Standard Checklist
to assist in making sourcing decisions. We believe you will find ESAC to be a valuable tool
for both supplier selection and supplier improvement. Audit Scores & Findings
Emerson personnel should be properly trained prior to leading a supplier audit. If auditor Supplier Corrective Actions
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 RoHS Requirements
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 REACH Compliance
guidelines.
Added Requirements Checklist
Please follow the "Typical Audit Cycle" specified on the Instructions page. Audit Scores & Findings
(Need more information? Use the Quick Links on this page or go to the Instructions tab.) Supplier Corrective Actions
Key information from each ESAC audit is available on the ESAC Database. Audit Results
Click links below to request access or to sign-in if you have already registered. Audit Team Recommendation
Request ESAC Database Access Sign-in to ESAC Database Final Disposition

General Instructions: Auditor Notes & Attachments
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.
Upload Audit Results to Database
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.
Quick Links
Sign-in to ESAC Database
ESAC Auditor Training Materials
ESAC Help Request
Request ESAC Database Access
Place Division Logo here Sign up for ESAC Training
Workbook Compatibility w/ Excel
EU REACH Documents
Sponsored by the Emerson Quality Council (Emerson Proprietary) Auditor Qualifications
Emerson Proprietary Contents
Date Printed: 10/01/2011
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What's new with this revision? Here are the highlights ….
1 REACH Compliance requirements added. Five questions are now available on the Std Checklist and included in the Audit Results.
Application Instructions for REACH (Checklist Section 18.0)
Beginning June 1, 2008, ESAC audits must include Standard Checklist Section 18.0, "REACH Compliance" except when Division management has positively verified
that the parts provided by this supplier will not be used in Emerson products sold in European Union countries. Requirement 18.5 may be marked as "n/a" if the
supplier is not currently providing parts to Emerson with Substances of Very High Concern (SVHC) that exceed 0.1% wt./wt.
2 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.
3 Example questions provided on the 'Added Requirements' page for topics like labor relations, business ethics, environmental and quality management in greater
4 detail.
DUTCH is now available on the Instructions, Supplier Profile and Std Checklist tabs. ESAC now supports eight languages.
5 Commodity Family area expanded on the Supplier Profile to allow input of two Commodity Family names when applicable.
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.
ESAC Help Request
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.

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

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Language
Available
Languages Language Selection Instruction Selection
Buttons
Chinese- 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 Chinese-Simple

中国简单
Simple 域。 (中国简单 )
Chinese-
Chinese- 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
中國傳統 Traditional (中國
Traditional 域。
傳統 )
LEVERANCIERSINSTRUCTIES: Klik op de knop rechts in de taal die u verkiest om de verschillende onderdelen van deze
Dutch
Dutch Nederlands vragenlijst te tonen. Vervolledig de in lichtgroen gekleurde velden op de bladzijden "Leveranciersprofiel & Auditplan" and
(Nederlands)
"Standaard vragenlijst".
SUPPLIER INSTRUCTION: Click button to the right to display portions of this workbook in the language you choose. Complete
English English English
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
French
French Français la langue de votre choix. Compléter les zones repérées en vert clair sur les onglets « Renseignements fournisseur et plan d'audit
(Français)
» et « Questionnaire standard ».
LIEFERANTEN-ANWEISUNG: Knopf rechts anklicken um die Ansicht dieses Arbeitsbuches in der Sprache Ihrer Wahl
German
German Deutsch anzuzeigen. Vervollständige die hellgrün unterlegten Bereiche in den Seiten des „Audit-Planes, Lieferanten-Profiles-“ und in den
(Deutsch)
„Standardchecklisten“.
(intentionally
blank)
ИНСТРУКЦИЯ ДЛЯ ПОСТАВЩИКА: Щелкните кнопкой справа чтобы данный текст отобразился на выбранном языке. Russian
Russian Русско
Заполните поля , выделенные светло-зеленым на листе "План проверки и Профиль Поставщика" и "Программма оценки". (Русско)
INSTRUCCION AL PROVEEDOR: Haga clic en el boton de la derecha para mostrar partes de este archivo en el idioma que Spanish
Spanish Español
escoja. Llene las areas en verde claro en las paginas "Supplier Profile & Audit Plan" y "Standard Checklist." (Español)
(intentionally
blank)
Company Confidential Date Prined: 10/01/2011 Page: 4 of 68

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Emerson Supplier Audit Checklist
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A Instructions
c
tu GENERAL INSTRUCTIONS FOR USING ESAC Key Word Search
d
i Using
使用ESAC评审表格-
the ESAC Workbook搜寻技巧 - Navigation Tips
io Use the hyperlinks to get around quickly. Move from tab to tab by clicking the dark blue underlined text in the corner of
tn each page.
s The Contents tab contains several links to other tabs and to external sources of information.
C
h Additional hyperlinks in the larger sheets provide an easy way to move top to bottom or side to side on the same Click "Contents' in the upper left
e sheet. For instance, on the Standard Checklist, the far left column and the row just below the header are filled with corner.
c 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
k hidden.
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t Use the macro buttons for various functions, such as, choosing language, hiding unnecessary tabs (like this sheet) Show/Hide buttons on "Contents"
prior to sending the ESAC Workbook to a supplier.
如
General Information
总概述
ESAC 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. 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.
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.

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.
Emerson Proprietary Instructions

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A Instructions
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tu The ESAC Workbook contains two checklists that define Emerson's minimum requirements.
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o Standard Checklist: Must be used at each audit.
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t Additional Requirements Checklist: An OPTIONAL checklist used for an in-depth verification of manufacturing
s processes or business practices needed to meet Emerson's customer requirements.
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e Checklists have two main features.
c Requirements: Emerson's expectations for a variety of quality system attributes.
k Typical Objective Evidence: Examples of audit evidence often used to demonstrate compliance to the requirements.
l It is not all inclusive and meant only as an aid to ensure full understanding of the requirement.
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t The
典型的评审周期
Typical Audit Cycle
1 1 Emerson plans audit & prepares ESAC Workbook
Complete the "Audit Plan". Be sure to fill in the required fields marked with red text. Audit Plan
Check the requested "Documentation to be Provided by Supplier". Return to this area to indicate items received. Supplier Provided Documentation
Fill-in the "Personnel Involved in Audit". You may need to complete this after the audit begins. Personnel Involved in Audit
Hide any unnecessary tabs. Typically, you should hide all tabs that have "Show / Hide" buttons on the Contents tab. 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.
2 2 Supplier completes Supplier Profile & Self-Audit

Supplier Profile: Supplier to follow instructions provided at the top of the Supplier Profile. Complete Supplier Profile Supplier Profile Instructions
and Supplier Quality Capability sections.
Supplier Self-Audit: Supplier uses the "Supplier Self-Audit SCORE" column on the Standard Checklist to indicate Supplier Self-Audit Score
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.

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A Instructions
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tu Supplier to use scoring instructions below when assigning Supplier Self-Audit Score.
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o Scoring Instructions for Supplier Self-Audit:
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t Based on knowledge of your quality system, select score that best describes level of compliance to the
s Requirement. If Requirement does not apply, place "x" in the "Not Applicable" column. Note that some
C Requirements are mandatory.
h
e 0 = REQUIREMENT NOT ADDRESSED
c 40 = RARELY COMPLIES; Corrective actions planned or in-progress
k 60 = SOME NON-COMPLIANCES; Corrective actions planned or in-progress
l 70 = NO NON-COMPLIANCES; Meets Minimum Requirement / No CA required
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s 80 = NO NON-COMPLIANCES; Exceeds Minimum Requirement / No CA required
t
The supplier returns the completed ESAC Workbook and requested information prior to the audit.
3 3 Emerson conducts On-Site audit

Holding an opening meeting with the supplier's management team is recommended.
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 Not Applicable
requirements, not size of supplier.
Emerson auditor types "x" in the "Not Verified" column when appropriate. Use this only if time ran short and audit Not Verified
was incomplete for that requirement. Must be verified at next audit.
Emerson auditor to use scoring instructions below when assigning On-Site Audit Score.
Scoring Instructions for Emerson On-Site Audit:

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.
0 = NO EVIDENCE PROVIDED; Corrective action required
40 = RARELY COMPLIES; Corrective action required

0
60 = SOME NON-COMPLIANCES; Corrective action required
=
没
针
对
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的
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tu 70 = NO NON-COMPLIANCES; Meets Minimum Requirement / No CA required
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o 80 = NO NON-COMPLIANCES; Exceeds Minimum Requirement / No CA required
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s 100 = NO NON-COMPLIANCES; Excellent / Highly commendable
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h4 4 Audit Findings & Audit Team Recommendation
e Emerson auditor records Findings and related information on the Standard Checklist (to right of the score Standard Checklist Findings
c columns). The same is done on the Added Requirements Checklist when applicable.
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l Space is provided at the bottom of the Findings column for additional Findings if needed. Be sure to type in the Additional Findings/Observations
i Requirement reference number.
s If entering an Observation, enter "No" in the "Corrective Action Required" column. Corrective Action Required
t
Space is provided at the bottom of the Findings column for additional Observations if needed. Be sure to type in Additional Findings/Observations
the Requirement reference number.
Emerson auditor completes the “Audit Team Recommendation” and date on the Audit Results tab. Audit Team Recommendation
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. 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.)
5 5 Supplier Corrective Action & /Preventive Action plan (CAPA)

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

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A Instructions
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tu Controls; controls & self-monitoring steps to ensure continued CA/PA effectiveness
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o Supplier to return the completed ESAC Workbook to the Emerson auditor by the date agreed upon.
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s Supplier to provide documented objective evidence that each CAPA has been implemented by the completion date
specified. Examples: Procedures, inspection/test records, photos, etc.
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c6 6 Data and ESAC file are uploaded
k Emerson auditor may choose to upload the audit data and the ESAC Workbook into the ESAC database at Upload Preliminary Audit Record (Emerson Only)
l this point if the supplier's CAPA plan has been reviewed.
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s Follow instructions provided on the Upload tab.
t Uploaded data and ESAC Workbook will need to be updated once the CAPA is verified and the Final Disposition is
made.
7 7 Emerson verifies supplier CAPA & adjusts scores

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 "Copy On-Site Scores" button (Emerson Only)
appropriate Checklist page. This copies all of the On-Site scores into the appropriate cells.
Emerson auditor adjusts the scores in the "After CAPA Verification Score" column based on the evidence After CAPA Verification Score (Emerson Only)
provided. See scoring instructions below.
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 :

Based on evidence of the supplier's corrective action, select score that best describes level of compliance to the
Requirement.
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
70 = NO NON-COMPLIANCES; Meets Minimum Requirement / No CA required

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A Instructions
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tu 80 = NO NON-COMPLIANCES; Exceeds Minimum Requirement / No CA required
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o Final Disposition is noted on the Audit Record tab and the ESAC file is saved in preparation for uploading. Final Disposition
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C Upload Final Audit Record (Emerson Only)
h8 8 Upload audit data & completed ESAC to database
e Emerson auditor uploads the final audit data and the ESAC Workbook into the ESAC database.
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k Emerson audit to delete previous audit record if one was created prior to Final Disposition.
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i Follow instructions provided on the Upload tab.
s Database Key Features
t 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.
Export data to Excel or email views.
Download the latest ESAC Workbook.

ESAC Database
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.
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, 5.4.2
### 1.2 5.5.3, 5.6.2, 5.6.3, 5.6.1.1, 8.4, 8.5
### 1.3 4.2.1, 5.1, 5.4.1, 5.4.1.1
### 1.4 5.6.1, 5.6.2, 5.6.3
###
2.0 CONTINUOUS IMPROVEMENT
### 2.1 5.2, 6.1, 7.2.3, 8.2.2.1, 8.5.1, 8.5.1.1
### 2.2 8.2.2
### 2.3 5.2, 8.2.1, 8.5.2, 8.5.2.3, 8.5.2.4
###
3.0 TRAINING & EDUCATION
### 3.1 6.2.2

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### u t 3.2 6.2.2, 6.2.2.2
### d i 3.3 6.2.2, 6.2.2.2
io 4.0
###
OCCUPATIONAL HEALTH & SAFETY
### tn 4.1 5.1, 6.3, 6.4, 6.4.1
### s 4.2 5.1, 6.3, 6.4, 8.5.1, 6.4.1
### C 4.3 6.3, 6.4, 6.4.1
h ###
5.0 DESIGN DEVELOPMENT & SUPPORT
### e 5.1 7.1.1, 7.1.2, 7.2.1, 7.2.2, 7.2.3
### 5.2 7.3.3, 7.2.2.1, 7.3.3.1, 7.3.2
c
### 5.3 7.3.4, 7.3.6, 7.2.1.1, 7.2.2.2, 7.3.2.2, 7.3.3.1, 8.2.3.1
k
### 5.4 7.2.3.1
l
### QUALITY PLANNING
6.0
i
### 6.1 8.2.4, 8.2.4.1
s
### 6.2 7.5.2, 6.3, 8.2.3, 8.2.4
t
### 6.3 8.3, 8.5.1
### 6.4 8.2.4, 7.3.6
### DRAWINGS & SPECIFICATIONS
7.0
### 7.1 4.2.3.1
### 7.2 4.2.3
### 7.3 7.2.2, 7.1.4
### 7.4 4.2.4, 4.2.4.1
### PROCUREMENT
8.0
### 8.1 7.4.1, 7.4.2
### 8.2 7.4.1
### 8.3 8.4, 8.5.1
### 8.4 7.4.1.1
### 8.5 7.5.4
### INCOMING MATERIAL
9.0
### 9.1 7.4.1, 7.4.3, 7.4.3.1
### 9.2 7.5.3
### 9.3 8.5.2, 8.5.3
10.0 MANUFACTURING QUALITY
###
### 10.1 7.3.3.2
### 10.2 7.1, 8.1, 7.3.2.3, 7.3.3.2, 7.5.1.1, 8.1.1
### 10.3 7.1, 8.2.3, 8.2.4, 7.3.3.2, 7.5.1
### 10.4 8.2.4
### 10.5 7.1, 7.5.3
### 10.6 8.3, 8.3.3
### PROCESS CONTROL
11.0
### 11.1 8.1, 8.2.3

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### u t 11.2 8.1, 8.5.1, 8.5.1.2
### d i 11.3 8.1
### io 11.4 8.1, 8.5.2
tn ###
12.0 NONCONFORMING MATERIAL
### s 12.1 8.3, 8.3.2
### C 12.2 8.3, 8.3.2
### h 12.3 8.3
### e 12.4 7.5.3, 8.5.2
### 12.5 8.3, 8.3.3
c
k 13.0
### MEASUREMENT EQUIPMENT
### 13.1 7.6, 7.6.1
l
### 13.2 7.6
i
### 13.3 7.6
s
### 13.4 7.6, 7.6.1
t
### 13.5 7.6
###
14.0 PREVENTIVE MAINTENANCE
### 14.1 6.3, 7.5.1.5, 7.5.4.1
### 14.2 6.3, 7.5.1.4
### 14.3 6.3, 7.5.1.4
###
15.0 ENVIRONMENTAL
### 15.1 7.2.1, 5.1
### 15.2 7.2.1, 5.1
### 15.3 7.2.1
### 15.4 7.2.1, 8.5.1
###
16.0 HOUSEKEEPING, STORAGE & PACKAGING
### 16.1 6.4, 6.4.2
### 16.2 7.5.5
### 16.3 7.5.5, 7.5.5.1
### 16.4 7.5.5, 7.3.6
### 16.5 7.5.5
### 16.6 6.3.2

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1 Supplier to complete as indicated. Answer all questions in the Supplier Quality Capabilities
Supplier to complete Emerson to complete section. Explain any answered with "No" or "Not Applicable".
light-green cells light-yellow cells
2 Supplier to complete "Self-Audit" on Std Checklist (if requested by Division). Use column
labeled "Supplier Self-Audit Score". Click column heading for guidelines.
Supplier Profile & Audit Plan 3 Return the ESAC file and any requested documentation to the Division or Supply Chain
Organization within 7 days or per their instruction.
1.0 SUPPLIER PROFILE (Supplier to Complete)

^ Supplier (Company name)
^ Facility Address
^ Facility Address (cont)
^ City
^ State / Province
^ Country
^ Mail Code
^ Remit to Address
^ Remit to Address (continued)
^ Remit to Address (continued)
^ Supplier's Telephone No.
^ Supplier's Fax No.
^ Supplier's E-mail Address
^ Supplier's Web-site
^ Year Started Operations
^ Other Location 1
^ Other Location 2
^ Other Location 3
Name Phone email Address Supplier Contacts
^ President
^ Plant Manager
^ Quality Manager
^ Customer Service Manager
^ Sales Manager
^ Engineering Manager
^ Other - Type Title here.
^ Other - Type Title here.
Emerson Proprietary Supplier Profile & Audit Plan

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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

59633892.xls Page: 14 of 68
2.0 SUPPLIER QUALITY CAPABILITIES (Supplier to Complete)

Supplier to Explain All "No" or "Not
Yes No or N/A Applicable" Responses Place "X" in appropriate column. Explain any "No" or "Not Applicable" answers.
1 Are specifications reviewed and production methods established that ensure applicable
customer and regulatory requirements can be met on a consistent basis?
2 When required, is the customer notified of changes to items that may adversely affect quality
or reliability, such as, manufacturing site, process methods, raw materials, etc.?
3 Is there a documented corrective action system in use that focuses on elimination of problem
root cause?
4 Are defined methodologies used to actively pursue cost containment and other continual
improvement activities? (e.g., Lean, Six Sigma, Kaizen, 5S, etc.)
5 Are control plans (or equivalent) maintained that show the process steps, key inspection
points, inspection/test method, sample size and frequency?
6 Are process capability studies, SPC or other statistical methods used to monitor and control
production processes?
7 Are documented methods used to qualify and approve machinery, process equipment,
inspection/test equipment and production tooling?
8 Is product conformance to specified requirements verified prior to further processing or

shipment and are records maintained?
9 Are precautions taken to control and monitor the condition of product during storage, handling
and shipping to prevent loss or damage? (e.g. shelf-life or ESD sensitive materials, etc.)
10 Are the materials and parts produced in accordance with applicable environmental and product
safety regulations, laws and directives? (ie., RoHS, UL)

59633892.xls Page: 15 of 68
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

59633892.xls Page: 16 of 68
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 Audit
First Name Last Name Title First Name / Last Name / Title
^
^
^
^
^

59633892.xls Page: 17 of 68
Supplier to complete Emerson to complete
Brown = Revised
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. FINDINGS
SCORE & OBSERVATIONS (Y / N) (mm/dd/yy) Status
1.1 The quality system is documented, Quality manual and all QS
controlled, and maintained to procedures show revision
clearly describe current practice. control (sign-offs & dates),

Documented procedures required. history of changes, quality
Records required. organization's responsibilities
1.2 Quality reports, trend charts and Product quality yield data, top
data analysis identify areas of problems and corresponding
opportunity and are used by improvement actions, status of

management on a routine basis. preventive/corrective actions
Records required. taken, internal audit results
1.3 Quality performance targets are Strategic and tactical objectives,

clearly defined, included in the goals, action plans, etc.
MANAGEMENT
1.0 QUALITY
business plan and monitored for

improvements.
1.4 Executive management Analysis of field failures,

participates in periodic quality inspection yields, resource
system reviews that address needs, internal audit results,

quality related feedback from corrective action status, etc.
customers and internal quality
metrics. Records required.
2.1 Preventive actions are taken Management review meetings,

based on the analysis of significant goal setting, performance
business trends, design reviews, measurement, internal audits,

customer satisfaction surveys or action plans, customer surveys
other meaningful inputs.
Documented procedures required.
Records required.
Emerson Proprietary Std Checklist

59633892.xls Page: 18 of 68
Brown = Revised
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
2.2 A formal approach is used to Employee involvement /
actively pursue cost containment recognition program, Lean, Six

and other continual improvement Sigma, kaizen, SPC, 5-S, cost
activities throughout the reduction program, preventive
organization. Documented actions
procedures required. Records
required.
2.3 A corrective action system is in Corrective action records, trend

place that provides root cause charts, meeting minutes,
analysis and takes timely and nonconformance frequency &
effective action to prevent cost analysis. Does CA system
recurrence. Documented cover customer, internal &

procedures required. Records supplier issues?
required.
3.1 The skill and education level Job descriptions, job skills
required for each job is assessment, training records,

documented and appropriate training manuals. Look for use
training / re-training is provided. of training aids & work
Records required. instructions at work stations.
3.2 Employee qualification / Qualification records,

certification is maintained where certification history, etc.
the quality outcome of the process

cannot be verified and is strongly
dependent upon operator skill.
Records required.

59633892.xls Page: 19 of 68
Brown = Revised
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
3.3 Suitable methods are used to Records of student testing,
verify training effectiveness. production quality records, audit
Records required. records, interview workers to
validate training records. Look

for use of training aids & work
instructions at work stations.
4.1 The Occupation Health & Safety Procedure for OHS training,
(OHS) management system communications, emergency
4.0 OCCUPATIONAL HEALTH &
addresses the safety of personnel preparedness and response,

without comprising the monitoring and performance
achievement of product quality measurements
requirements.
SAFETY
4.2 The Occupation Health & Safety Policies and procedures, health
(OHS) policy states the & safety trend charts, accident

organization’s health and safety rate improvement history, etc.
objectives and management's
commitment to continual
SAFETY
improvement of OHS metrics.
4.3 Procedures are used for the on- Safety committee or group
4.0 OCCUPATIONAL
going identification of hazards, the meeting minutes, accident

HEALTH & SAFETY
assessment of risks, and the investigation reports, safety

implementation of necessary audit reports
control measures.
5.1 Customer needs and requirements Market studies, customer/end-

are incorporated into product user surveys, technical design
5.0 DESIGN DEVELOPMENT &
designs and/or manufacturing reviews, mfg process capability

processes. Critical-to-Quality studies, formal process
(CTQ) characteristics are identified qualification plan, manufacturing
and understood. Records required. verification tests, pilot runs, etc.
SUPPORT

59633892.xls Page: 20 of 68
Brown = Revised
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
5.2 Product specifications and Complete product
5.0 DESIGN DEVELOPMENT
drawings are generated, controlled characteristics, application

and maintained for new or requirements, and other
& SUPPORT
changed product designs. Records information essential for its safe

required. and proper use and eventual
disposal, etc.
5.3 Design validation is an integral part Design results,

of the design process and occurs manufacturability, productivity
prior to production release. and cost studies, confirmation

Records required. that product fulfills its specified
requirements or intended use or
applications, design-FMEA, etc.
5.4 Human and technical resources Qualification of technical staff.

are adequate to meet Emerson’s Equipment/software capabilities;
requirements for design CAD, PRO-E, etc.

collaboration, tooling design and
electronic drawing and data
SUPPORT
exchange.
6.1 Production samples are inspected Completed PPAP or similar

6.0 QUALITY PLANNING
and provided to customers upon forms, inspection reports,

request. Records required. availability of qualified resources
6.2 Customer production requirements Procedures, design / process

and quality specifications are review minutes, FMEA's, mfg
reviewed to ensure they can be capacity plans, resource plans
met on a consistent basis. Records that address all product test,
required. storage, packaging and

shipment requirements

59633892.xls Page: 21 of 68
Brown = Revised
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
6.3 Reliability test plans are developed Reliability test plans, test
and routinely followed. Testing is reports, improvement/corrective
used to verify design spec's, drive actions taken, design changes
design improvements and provide implemented
an on-going check of materials and

workmanship. Documented
required.
6.4 Product reliability test data is Reliability test summary

available upon request and reports/charts
historical test performance data
shows a highly stable process and

product design. Records required.
7.1 New and revised customer Technical review of methods to

specifications are reviewed and be used, capability studies on
7.0 DRAWINGS &
SPECIFICATIONS
implemented in a timely manner. similar parts, documented

Documented procedures required. review procedure, ie., APQP,
PPAP.
7.2 Current process control documents Customer specifications,

are in place and used for engineering drawings, change
production start-up and continuing notices, work instructions and
7.0 DRAWINGS &
SPECIFICATIONS
production. Documented specifications as applicable.

procedures required.
7.3 Customer notification / approval Customer notification procedure

occurs for changes to Control on major changes & compliance
7.0 DRAWINGS & SPECIFICATIONS
Plans, manufacturing site, product to Jedec standards JESD 46

transfers, raw material or product and JESD 48 (or equivalent, if
obsolescence. Records required. app.). Signed material / process
change requests. Customers
are notified of RoHS compliance
status change.

59633892.xls Page: 22 of 68
Brown = Revised
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
7.4 Quality records are maintained. A Procedures, list of records to be
record control system is in place kept with retention periods

for the identification, storage, specified
protection, retrieval, retention time,
and disposition of quality records.
8.1 A formal process is used for the Supplier quality system audits
selection, qualification and re- and related corrective actions,
qualification of suppliers. Records engineering testing and
8.0 PROCUREMENT
required. approval records, plant

production trials
8.2 Purchases from unapproved ASL, procedures for control and

8.0 PROCUREMENT
suppliers are prevented by a use of ASL, production material

properly controlled and available receipt records
Approved Supplier List (ASL).
Records required.
8.3 Preventive actions are taken to Supplier quality performance

continuously improve performance analysis, performance trends,
8.0 PROCUREMENT
of the supplier base. Records supplier audit reports, Inflation

required. Model, documented goals
regarding raw material cost
containment
8.4 A supplier quality assurance Receiving inspection, supplier

system ensures that all purchased audits, source inspection,
product or material conforms to qualification testing, Certificate
defined specifications and of Compliance (COC),
8.0 PROCUREMENT
applicable regulatory or customer component marking, labeling,

requirements. Records required. etc.

59633892.xls Page: 23 of 68
Brown = Revised
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
8.5 A system exists for the Procedures, segregation during
identification, verification and storage, limited and controlled
protection of customer supplied access to stored inventories
8.0 PROCUREMENT
product that includes notifying the

customer if product is damaged or
lost. Records required.
9.1 Receiving inspection is performed Procedures, inspection

per documented procedures and instructions resources
9.0 INCOMING
MATERIAL
detailed work instructions. Records (manpower and equipment)

required. allocated for incoming
inspection
9.2 Inspected material is adequately Quality Control label, marking

9.0 INCOMING MATERIAL
identified as to acceptance or or use of designated hold area

rejection and traceable to receiving as indicated in the procedure
inspection report. Records
required.
9.3 Supplier corrective action requests Availability of written procedure,

require root cause investigation standardized Corrective Action
and records show responses are form, analysis of corrective
analyzed. Documented procedures action cycle time and closure

required. Records required. measurements
10.1 There is a formal method used to Qualification plan that includes

qualify new or rebuilt production established goals for process
equipment prior to production use. yields/up-time, etc. and record

of process capability, review and
approval, etc.

59633892.xls Page: 24 of 68
Brown = Revised
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
10.2 Control Plans are used to plan and Process flow diagram, statistical
deploy inspection and test tools to be used, key inspection
functions throughout the points, inspection frequency,

production process. records, control responsibility,
inspection/test method, gaging
used, acceptable yield rates
10.3 Appropriate work instructions are Sample size, frequency,

available where needed that method, document control
10.0 MANUFACTURING
accurately describe all work dates/revision level, etc.

methods including inspections and Handling procedures for Electro-
QUALITY
tests to be done during production. Static Discharge (ESD), RoHS

compliant materials & other
process conditions.
10.4 Appropriate inspections, tests and Records of inspections

process adjustments are made per performed at incoming, first

applicable work instructions to piece, in-process and/or final
verify conformance at key points inspection or test. Capability
throughout the process and prior to study, material test, RoHS and
shipment. Records required. other regulatory tests, etc.
10.5 The inspection and process status Batch records, travelers, tags,
10.0 MANUFACTURING
of product is identified and labels, product markings or use

maintained throughout the of designated & identified areas.
production process. Records
QUALITY
required.
10.6 Customers are notified of low yield Corrective actions, records of

production lots or issues that affect customer notifications, reliability

product reliability. Documented test data, etc.
required.

59633892.xls Page: 25 of 68
Brown = Revised
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
11.1 Key part characteristics and Histograms, run charts, SPC
process parameters are reviewed charts, pareto analysis, cause &
and statistically based controls effect diagrams, DOE, mistake
11.0 PROCESS CONTROL
and/or problem solving tools are proofing, documented reaction

used to control variation. plan & process corrections.
11.2 Written improvement plans are Documented reaction plan &

implemented to reduce sources of process corrections. SPC trend
PROCESS CONTROL
11.0 STATISTICAL
variation. charts showing current status

vs. goals. Improvement plan.
11.3 Process capability is measured Documented process capability

PROCESS CONTROL
11.0 STATISTICAL
and actions are taken to maintain studies and results (actual vs

established minimum Cpk/Ppk target Cpk/Ppk)
targets.
11.4 Out of control conditions are noted Control charts

11.0 STATISTICAL PROCESS
on charts and documented

corrective action is taken to bring
the process back into control.
CONTROL
Records required.
12.1 Nonconforming materials, parts Tags, marking, controlled

and assemblies are segregated staging areas, etc. Look for
(where practical) and identified to mixing of RoHS compliant &
prevent unapproved use. non-compliant materials.
NONCONFORMING

Records required.
MATERIAL
12.0
12.2 Reworked material, parts and Inspection record, tag, stamp,

12.0 NONCONFORMING
assemblies are re-inspected or re- etc.

tested to confirm compliance to
requirements. Records required.
MATERIAL

59633892.xls Page: 26 of 68
Brown = Revised
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
12.3 Use of nonconforming material is Written procedure, waiver or
12.0 NONCONFORMING
documented under a formal waiver concession records

or concession system. Records
MATERIAL
required.
12.4 Product traceability is maintained Serial number records, lot

(to the extent required by number, date of manufacture,

Emerson) to facilitate problem labeling and marking of
evaluation and corrective action. containers or product, etc. Look
Documented procedures required. for mixing of RoHS compliant &
Records required. non-compliant materials.
12.5 There is a positive recall system to Documented procedure and

notify customers of nonconforming review of system
12.0 NONCONFORMING
product that has already been

shipped. Records required.
MATERIAL
13.1 Gage Repeatability & GR&R studies, reports

13.0 MEASUREMENT EQUIPMENT
Reproducibility studies are

conducted to verify suitability of
measuring devices for their use in
checking product quality or control
of processes. Records required.
13.2 Measuring devices, gaging and Gage calibration stickers,

test equipment are routinely calibration records, positive
calibrated and controlled per identification or segregation of
documented procedures. Records out-of-calibration devices, and
required. inventory, location & status
records, etc.

59633892.xls Page: 27 of 68
Brown = Revised
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
13.3 Gages and test equipment are Calibration procedures, and
calibrated against standards calibration stickers and other
13.0 MEASUREMENT
traceable to a recognized records.

regulatory body or agency.
EQUIPMENT
Records required.
13.4 Assessments are made to check Assessment records, corrective

the validity of previous actions, etc.
13.0 MEASUREMENT
measurements done on products

where out-of-calibration measuring
EQUIPMENT
devices were used. Records

required.
13.5 Appropriate controls are in place to Verification methods and

verify the suitability and accuracy records, revision levels,
of computer software prior to initial distribution/use control, etc.
use in checking product quality or

control of processes. Software is
re-verified when revised. Records
required.
14.1 Tools are stored in an appropriate, Review of storage area,

clearly defined area, with labeling, tooling records

systematic tracking that provide
traceability, particularly of
customer-owned tools and
equipment. Records required.
14.2 A formal Preventive Maintenance Review of system, PM plans,

14.0 PREVENTIVE
system exists for production PM schedule and compliance

MAINTENANCE
equipment, tools and fixtures. results

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Brown = Revised
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
14.3 Preventive Maintenance schedule No equipment, tools, or fixtures
is followed. Product cannot be are in use that are outside TPM

made with tools that are outside of schedule, or have unclear status
maintenance period. Performance
is audited
15.1 A documented environmental Environmental policy statement

policy exists that includes a document
commitment to comply with
relevant environmental legislation
and regulations and to continual
improvement and pollution
15.0 ENVIRONMENTAL
prevention.
15.2 There is an environmental Records of agency/gov

management system that ensures inspection or certification, doc'd
compliance to all applicable procedures for measuring and
government regulations and there monitoring environmentally
are no outstanding, unresolved sensitive activities w/ list of mtl's
15.0 ENVIRONMENTAL
violations of these regulations. and areas where used, tracking

of hazardous mtl's or waste.
15.3 A system is in place to minimize Record of purchases, waste

the use, disposal and emissions of stream and consumption;
hazardous chemicals and to inventory control procedures.
15.0 ENVIRONMENTAL
ensure that Class I ozone

depleting chemicals are not used
in the manufacturing process.

59633892.xls Page: 29 of 68
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STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
15.4 An on-going emphasis is placed on Records/use of; non-hazardous
using materials that are; compliant (RoHS/WEEE compliant)
with applicable regulations like materials in production,
RoHS & WEEE, biodegradable, biodegradable materials,
15.0 ENVIRONMENTAL
recyclable, re-usable, reduces returnable containers or

pollutant emissions at the point of packaging, recycling program,
use. packaging materials made of
recycled materials.
16.1 Areas around the facility are clean Observe production, office &
and orderly. Tools and equipment product storage areas for use of
16.0 STORAGE & PACKAGING
are properly stored and readily 5S/6S principles (Sort, Set-in-

available for use. Lighting and air order, Shine, Standardize,
quality are adequate. Sustain + Safety)
16.2 Proper equipment and methods Observe handling and transit of

are used to prevent product raw material, work-in-process,
16.0 STORAGE &
damage or loss in all phases of the and finished goods.

PACKAGING
material handling process.
16.3 Documented procedures are FIFO practices are defined,

followed to ensure proper control packaging specifications, test

and preservation of handling, results, handling and storage
storage (FIFO), packaging, and procedures.
delivery of product.
16.4 Suitability of product packaging is Technical review,

reviewed and any concerns are packaging/shipping tests,
communicated to the customer packaging work instructions,

prior to initial production shipment. carton strength tests
Packaging tests if required.
Records required.

59633892.xls Page: 30 of 68
Brown = Revised
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
16.5 Stored product/material is Doc'd list of shelf-life sensitive
periodically inspected, and where products/materials (e.g.,
applicable, actions are taken to sealants, adhesives, solder
prevent deterioration per paste, paint/varnish, o'rings).
documented procedures. Look for poor storage conditions
& damage (e.g., rust or water

damage). Handling procedures
for Electro-Static Discharge
(ESD) & other sensitive
conditions.
16.6 Contingency plans have been Process covering utility

developed that describe actions to interruptions, labor shortages,
be taken in the event of a major key equipment failures, major
interruption of the manufacturing production issues.

process.
17.1 A RoHS compliance policy is Documented procedures that

17.0 RESTRICTION OF HAZARDOUS
documented and maintained that set requirements for planning,

defines the requirements for verification, on-going control,
SUBSTANCES (RoHS)
material and process qualification, record keeping & customer

on-going compliance verification, communications. Supplier's
manufacturing controls, declaration management support.
of compliance and records.
17.2 Technical & customer Records, plans, updates,

17.0 RESTRICTION OF
SUBSTANCES (RoHS)
requirements for RoHS compliance presentations, meeting minutes.

are reviewed and communicated
HAZARDOUS
prior to production start-up.
17.3 Test methods are established for Assessment of risk by part-type

HAZARDOUS SUBSTANCES
each RoHS controlled hazardous or manufacturing process used.

17.0 RESTRICTION OF
substance. Test sampling plan is Procedures, test methods,

based on analysis of risk for each sampling plan, control plan.
commodity and/or manufacturing
(RoHS)
process used.

59633892.xls Page: 31 of 68
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STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
17.4 Qualified personnel are available Training & education records.
to implement and sustain all Interview engineering, technical,

aspects of RoHS compliance. quality control personnel.
SUBSTANCES (RoHS)
Number of qualified personnel is

adequate to prevent
unacceptable delays.
17.5 RoHS technical requirements and Test methods/procedures, tin

17.0 RESTRICTION OF
SUBSTANCES (RoHS)
inspection criteria are documented whisker analysis instructions,

and available where needed, e.g. XRF work instructions, QC
HAZARDOUS
solder fillet, tin whiskers.. audits, etc. Ref to Jedec/IPC

Joint publication JP-002.
17.6 Test methods and acceptance Acceptance limits do not exceed

17.0 RESTRICTION OF
SUBSTANCES (RoHS)
limits follow recognized standards RoHS limits. References to

and RoHS requirements. recognized standard test
HAZARDOUS
protocols, such as, ISO, IEC,

EPA.
17.7 Incoming materials and finished RoHS testing procedure,

goods are periodically tested with sampling plan/frequency, test

appropriate equipment to confirm records. Use of XRF analyzer,
RoHS compliance. Compliance atomic absorption analyzer, UV-
SUBSTANCES (RoHS)
declarations and test records are VIS equipment, etc.. Qualified

maintained for a minimum of 5 independent chemical lab
years. w/A2LA accreditation or
equivalent
17.8 Effective identification and Documented procedures.

handling methods are in place to Observation of handling /
prevent commingling or labeling techniques in use.

inappropriate use of both RoHS Production operators are aware
SUBSTANCES (RoHS)
non-compliant and RoHS in distinguishing RoHS materials

compliant items. and processes versus non-
RoHS. Look for mixing of RoHS
compliant & non-compliant
materials.

59633892.xls Page: 32 of 68
Brown = Revised
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
17.9 There are documented procedures Observation of handling /
in handling the screening, rework labeling techniques in use.

or refurbishing of finished goods Production operators are aware
SUBSTANCES (RoHS)
returned from the field and in distinguishing RoHS materials

customers. and processes versus non-
RoHS. Documented
procedures.
17.10 A spreadsheet or equivalent Database or other means is

17.0 RESTRICTION OF
SUBSTANCES (RoHS)
system is used to monitor the maintained to track RoHS

status of RoHS compliance and compliance status by part
HAZARDOUS
the declarations for each part number & declarations to

number effected. customers.
18.1 REACH compliance policy is Policy statement or procedure.

18.0 REACH Compliance
documented and maintained that

defines the requirements for
REACH compliance and on-going
verification.
18.2 Responsibilities for REACH have Look for identification of an

been clearly defined and assigned individual or individuals (i.e..,
to appropriate personnel. naming an entire department is

not acceptable). Record the
names and titles of the
responsible individuals.
18.3 REACH Compliance Documents Compliance Plan, Supplier

18.0 REACH
Compliance
and instructions for their use are Letters, Customer Letters

established and followed.
18.4 Supplier must have a system in Database/files. Records of

place to communicate safe communication to customers of
handling information (such as a the Material Safety Data Sheet

Material Safety Data Sheet) for (MSDS) or Safety Data Sheet
any dangerous substances (SDS) in the EU which may
contained in or on it's products. include Exposure Scenario (ES)
and/or Risk Management
Measures (RMM).

59633892.xls Page: 33 of 68
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STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
18.5 The supplier has informed If the official candidate list has
Emerson if they are providing (or been published by the ECHA
will be providing) Emerson with (European Chemicals Agency),
products that contain Substances then look for records of
of Very High Concern (SVHC) that communication to Emerson of
exceed 0.1% wt./wt. the presence of SVHC, if

applicable. Traceability of
chemical identification.
Additional Findings
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Not Applicable
Not Verified
After
TOTAL SCORES FOR THIS CHECKLIST ONLY Supplier On-Site CAPA
Self-Audit Audit Std Verif. Std
Std Chklst Chklst Chklst
SCORE SCORE SCORE On-Site Audit Findings
Sum of Scores (excluding Corrective Action plans will be submitted on
"n/a" & "Not Verified"): 0 0 0 (date):
Maximum Total Score Available: 0 0 8100 8100 8100 Emerson Audit Leader (name & title):
Standard Checklist Score: 0% 0% 0% Supplier QA Representative (name & title):

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STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
On-Site
SCORE
Audit SCORE AUDIT
Dates: CA-PA Verification & Finding Closure Date:

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STANDARD CHECKLIST
30-Dec-99 ROOT CAUSE REMEDIAL ACTION CORRECTIVE ACTION PREVENTIVE ACTION CONTROLS
& Scope of Problem Including Immediate Actions Taken to Taken to Address Root Cause & Actions Taken to Prevent Deployed to Monitor CA/PA
Requirements Typical Objective Evidence Other Areas Address Issue / Finding Prevent Recurrence Similar Issues in Other Areas Effectiveness
1.1 The quality system is documented, Quality manual and all QS
controlled, and maintained to procedures show revision
clearly describe current practice. control (sign-offs & dates),

Documented procedures required. history of changes, quality
Records required. organization's responsibilities
1.2 Quality reports, trend charts and Product quality yield data, top
data analysis identify areas of problems and corresponding
opportunity and are used by improvement actions, status of

management on a routine basis. preventive/corrective actions
Records required. taken, internal audit results
1.3 Quality performance targets are Strategic and tactical objectives,

clearly defined, included in the goals, action plans, etc.
MANAGEMENT
1.0 QUALITY
business plan and monitored for

improvements.
1.4 Executive management Analysis of field failures,

participates in periodic quality inspection yields, resource
system reviews that address needs, internal audit results,

quality related feedback from corrective action status, etc.
customers and internal quality
metrics. Records required.
2.1 Preventive actions are taken Management review meetings,

based on the analysis of significant goal setting, performance
business trends, design reviews, measurement, internal audits,

customer satisfaction surveys or action plans, customer surveys
other meaningful inputs.
Records required.

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STANDARD CHECKLIST
2.2 A formal approach is used to Employee involvement /
actively pursue cost containment recognition program, Lean, Six

and other continual improvement Sigma, kaizen, SPC, 5-S, cost
activities throughout the reduction program, preventive
organization. Documented actions
required.
2.3 A corrective action system is in Corrective action records, trend

place that provides root cause charts, meeting minutes,
analysis and takes timely and nonconformance frequency &
effective action to prevent cost analysis. Does CA system
recurrence. Documented cover customer, internal &

procedures required. Records supplier issues?
required.
3.1 The skill and education level Job descriptions, job skills
required for each job is assessment, training records,

documented and appropriate training manuals. Look for use
training / re-training is provided. of training aids & work
Records required. instructions at work stations.
3.2 Employee qualification / Qualification records,

certification is maintained where certification history, etc.
the quality outcome of the process

cannot be verified and is strongly
dependent upon operator skill.
Records required.

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STANDARD CHECKLIST
3.3 Suitable methods are used to Records of student testing,
verify training effectiveness. production quality records, audit
Records required. records, interview workers to
validate training records. Look

for use of training aids & work
instructions at work stations.
4.1 The Occupation Health & Safety Procedure for OHS training,
(OHS) management system communications, emergency
addresses the safety of personnel preparedness and response,

without comprising the monitoring and performance
achievement of product quality measurements
requirements.
SAFETY
4.2 The Occupation Health & Safety Policies and procedures, health
(OHS) policy states the & safety trend charts, accident

organization’s health and safety rate improvement history, etc.
objectives and management's
commitment to continual
SAFETY
improvement of OHS metrics.
4.3 Procedures are used for the on- Safety committee or group
4.0 OCCUPATIONAL
going identification of hazards, the meeting minutes, accident

HEALTH & SAFETY
assessment of risks, and the investigation reports, safety

implementation of necessary audit reports
control measures.
5.1 Customer needs and requirements Market studies, customer/end-

are incorporated into product user surveys, technical design
designs and/or manufacturing reviews, mfg process capability

processes. Critical-to-Quality studies, formal process
(CTQ) characteristics are identified qualification plan, manufacturing
and understood. Records required. verification tests, pilot runs, etc.
SUPPORT

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STANDARD CHECKLIST
5.2 Product specifications and Complete product
5.0 DESIGN DEVELOPMENT
drawings are generated, controlled characteristics, application

and maintained for new or requirements, and other
& SUPPORT
changed product designs. Records information essential for its safe

required. and proper use and eventual
disposal, etc.
5.3 Design validation is an integral part Design results,

of the design process and occurs manufacturability, productivity
prior to production release. and cost studies, confirmation

Records required. that product fulfills its specified
requirements or intended use or
applications, design-FMEA, etc.
5.4 Human and technical resources Qualification of technical staff.

are adequate to meet Emerson’s Equipment/software capabilities;
requirements for design CAD, PRO-E, etc.

collaboration, tooling design and
electronic drawing and data
SUPPORT
exchange.
6.1 Production samples are inspected Completed PPAP or similar

and provided to customers upon forms, inspection reports,

request. Records required. availability of qualified resources
6.2 Customer production requirements Procedures, design / process

and quality specifications are review minutes, FMEA's, mfg
reviewed to ensure they can be capacity plans, resource plans
met on a consistent basis. Records that address all product test,
required. storage, packaging and

shipment requirements

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STANDARD CHECKLIST
6.3 Reliability test plans are developed Reliability test plans, test
and routinely followed. Testing is reports, improvement/corrective
used to verify design spec's, drive actions taken, design changes
design improvements and provide implemented
an on-going check of materials and

workmanship. Documented
required.
6.4 Product reliability test data is Reliability test summary

available upon request and reports/charts
historical test performance data
shows a highly stable process and

product design. Records required.
7.1 New and revised customer Technical review of methods to

specifications are reviewed and be used, capability studies on
7.0 DRAWINGS &
SPECIFICATIONS
implemented in a timely manner. similar parts, documented

Documented procedures required. review procedure, ie., APQP,
PPAP.
7.2 Current process control documents Customer specifications,

are in place and used for engineering drawings, change
production start-up and continuing notices, work instructions and
7.0 DRAWINGS &
SPECIFICATIONS
production. Documented specifications as applicable.

procedures required.
7.3 Customer notification / approval Customer notification procedure

occurs for changes to Control on major changes & compliance
Plans, manufacturing site, product to Jedec standards JESD 46

transfers, raw material or product and JESD 48 (or equivalent, if
obsolescence. Records required. app.). Signed material / process
change requests. Customers
are notified of RoHS compliance
status change.

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STANDARD CHECKLIST
7.4 Quality records are maintained. A Procedures, list of records to be
record control system is in place kept with retention periods

for the identification, storage, specified
protection, retrieval, retention time,
and disposition of quality records.
8.1 A formal process is used for the Supplier quality system audits
selection, qualification and re- and related corrective actions,
qualification of suppliers. Records engineering testing and
8.0 PROCUREMENT
required. approval records, plant

production trials
8.2 Purchases from unapproved ASL, procedures for control and

8.0 PROCUREMENT
suppliers are prevented by a use of ASL, production material

properly controlled and available receipt records
Approved Supplier List (ASL).
Records required.
8.3 Preventive actions are taken to Supplier quality performance

continuously improve performance analysis, performance trends,
8.0 PROCUREMENT
of the supplier base. Records supplier audit reports, Inflation

required. Model, documented goals
regarding raw material cost
containment
8.4 A supplier quality assurance Receiving inspection, supplier

system ensures that all purchased audits, source inspection,
product or material conforms to qualification testing, Certificate
defined specifications and of Compliance (COC),
8.0 PROCUREMENT
applicable regulatory or customer component marking, labeling,

requirements. Records required. etc.

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STANDARD CHECKLIST
8.5 A system exists for the Procedures, segregation during
identification, verification and storage, limited and controlled
protection of customer supplied access to stored inventories
8.0 PROCUREMENT
product that includes notifying the

customer if product is damaged or
lost. Records required.
9.1 Receiving inspection is performed Procedures, inspection

per documented procedures and instructions resources
9.0 INCOMING
MATERIAL
detailed work instructions. Records (manpower and equipment)

required. allocated for incoming
inspection
9.2 Inspected material is adequately Quality Control label, marking

identified as to acceptance or or use of designated hold area

rejection and traceable to receiving as indicated in the procedure
inspection report. Records
required.
9.3 Supplier corrective action requests Availability of written procedure,

require root cause investigation standardized Corrective Action
and records show responses are form, analysis of corrective
analyzed. Documented procedures action cycle time and closure

required. Records required. measurements
10.1 There is a formal method used to Qualification plan that includes

qualify new or rebuilt production established goals for process
equipment prior to production use. yields/up-time, etc. and record

of process capability, review and
approval, etc.

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10.2 Control Plans are used to plan and Process flow diagram, statistical
deploy inspection and test tools to be used, key inspection
functions throughout the points, inspection frequency,

production process. records, control responsibility,
inspection/test method, gaging
used, acceptable yield rates
10.3 Appropriate work instructions are Sample size, frequency,

available where needed that method, document control
10.0 MANUFACTURING
accurately describe all work dates/revision level, etc.

methods including inspections and Handling procedures for Electro-
QUALITY
tests to be done during production. Static Discharge (ESD), RoHS

compliant materials & other
process conditions.
10.4 Appropriate inspections, tests and Records of inspections

process adjustments are made per performed at incoming, first

applicable work instructions to piece, in-process and/or final
verify conformance at key points inspection or test. Capability
throughout the process and prior to study, material test, RoHS and
shipment. Records required. other regulatory tests, etc.
10.5 The inspection and process status Batch records, travelers, tags,
10.0 MANUFACTURING
of product is identified and labels, product markings or use

maintained throughout the of designated & identified areas.
production process. Records
QUALITY
required.
10.6 Customers are notified of low yield Corrective actions, records of

production lots or issues that affect customer notifications, reliability

product reliability. Documented test data, etc.
required.

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STANDARD CHECKLIST
11.1 Key part characteristics and Histograms, run charts, SPC
process parameters are reviewed charts, pareto analysis, cause &
and statistically based controls effect diagrams, DOE, mistake
11.0 PROCESS CONTROL
and/or problem solving tools are proofing, documented reaction

used to control variation. plan & process corrections.
11.2 Written improvement plans are Documented reaction plan &

implemented to reduce sources of process corrections. SPC trend
PROCESS CONTROL
11.0 STATISTICAL
variation. charts showing current status

vs. goals. Improvement plan.
11.3 Process capability is measured Documented process capability

PROCESS CONTROL
11.0 STATISTICAL
and actions are taken to maintain studies and results (actual vs

established minimum Cpk/Ppk target Cpk/Ppk)
targets.
11.4 Out of control conditions are noted Control charts

11.0 STATISTICAL PROCESS
on charts and documented

corrective action is taken to bring
the process back into control.
CONTROL
Records required.
12.1 Nonconforming materials, parts Tags, marking, controlled

and assemblies are segregated staging areas, etc. Look for
(where practical) and identified to mixing of RoHS compliant &
prevent unapproved use. non-compliant materials.
NONCONFORMING

Records required.
MATERIAL
12.0
12.2 Reworked material, parts and Inspection record, tag, stamp,

12.0 NONCONFORMING
assemblies are re-inspected or re- etc.

tested to confirm compliance to
requirements. Records required.
MATERIAL

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STANDARD CHECKLIST
12.3 Use of nonconforming material is Written procedure, waiver or
12.0 NONCONFORMING
documented under a formal waiver concession records

or concession system. Records
MATERIAL
required.
12.4 Product traceability is maintained Serial number records, lot

(to the extent required by number, date of manufacture,

Emerson) to facilitate problem labeling and marking of
evaluation and corrective action. containers or product, etc. Look
Documented procedures required. for mixing of RoHS compliant &
Records required. non-compliant materials.
12.5 There is a positive recall system to Documented procedure and

notify customers of nonconforming review of system
12.0 NONCONFORMING
product that has already been

shipped. Records required.
MATERIAL
13.1 Gage Repeatability & GR&R studies, reports

Reproducibility studies are

conducted to verify suitability of
measuring devices for their use in
checking product quality or control
of processes. Records required.
13.2 Measuring devices, gaging and Gage calibration stickers,

test equipment are routinely calibration records, positive
calibrated and controlled per identification or segregation of
documented procedures. Records out-of-calibration devices, and
required. inventory, location & status
records, etc.

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STANDARD CHECKLIST
13.3 Gages and test equipment are Calibration procedures, and
calibrated against standards calibration stickers and other
13.0 MEASUREMENT
traceable to a recognized records.

regulatory body or agency.
EQUIPMENT
Records required.
13.4 Assessments are made to check Assessment records, corrective

the validity of previous actions, etc.
13.0 MEASUREMENT
measurements done on products

where out-of-calibration measuring
EQUIPMENT
devices were used. Records

required.
13.5 Appropriate controls are in place to Verification methods and

verify the suitability and accuracy records, revision levels,
of computer software prior to initial distribution/use control, etc.
use in checking product quality or

control of processes. Software is
re-verified when revised. Records
required.
14.1 Tools are stored in an appropriate, Review of storage area,

clearly defined area, with labeling, tooling records

systematic tracking that provide
traceability, particularly of
customer-owned tools and
equipment. Records required.
14.2 A formal Preventive Maintenance Review of system, PM plans,

14.0 PREVENTIVE
system exists for production PM schedule and compliance

MAINTENANCE
equipment, tools and fixtures. results

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STANDARD CHECKLIST
14.3 Preventive Maintenance schedule No equipment, tools, or fixtures
is followed. Product cannot be are in use that are outside TPM

made with tools that are outside of schedule, or have unclear status
maintenance period. Performance
is audited
15.1 A documented environmental Environmental policy statement

policy exists that includes a document
commitment to comply with
relevant environmental legislation
and regulations and to continual
improvement and pollution
15.0 ENVIRONMENTAL
prevention.
15.2 There is an environmental Records of agency/gov

management system that ensures inspection or certification, doc'd
compliance to all applicable procedures for measuring and
government regulations and there monitoring environmentally
are no outstanding, unresolved sensitive activities w/ list of mtl's
15.0 ENVIRONMENTAL
violations of these regulations. and areas where used, tracking

of hazardous mtl's or waste.
15.3 A system is in place to minimize Record of purchases, waste

the use, disposal and emissions of stream and consumption;
hazardous chemicals and to inventory control procedures.
15.0 ENVIRONMENTAL
ensure that Class I ozone

depleting chemicals are not used
in the manufacturing process.

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STANDARD CHECKLIST
15.4 An on-going emphasis is placed on Records/use of; non-hazardous
using materials that are; compliant (RoHS/WEEE compliant)
with applicable regulations like materials in production,
RoHS & WEEE, biodegradable, biodegradable materials,
15.0 ENVIRONMENTAL
recyclable, re-usable, reduces returnable containers or

pollutant emissions at the point of packaging, recycling program,
use. packaging materials made of
recycled materials.
16.1 Areas around the facility are clean Observe production, office &
and orderly. Tools and equipment product storage areas for use of
are properly stored and readily 5S/6S principles (Sort, Set-in-

available for use. Lighting and air order, Shine, Standardize,
quality are adequate. Sustain + Safety)
16.2 Proper equipment and methods Observe handling and transit of

are used to prevent product raw material, work-in-process,
16.0 STORAGE &
damage or loss in all phases of the and finished goods.

PACKAGING
material handling process.
16.3 Documented procedures are FIFO practices are defined,

followed to ensure proper control packaging specifications, test

and preservation of handling, results, handling and storage
storage (FIFO), packaging, and procedures.
delivery of product.
16.4 Suitability of product packaging is Technical review,

reviewed and any concerns are packaging/shipping tests,
communicated to the customer packaging work instructions,

prior to initial production shipment. carton strength tests
Packaging tests if required.
Records required.

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STANDARD CHECKLIST
16.5 Stored product/material is Doc'd list of shelf-life sensitive
periodically inspected, and where products/materials (e.g.,
applicable, actions are taken to sealants, adhesives, solder
prevent deterioration per paste, paint/varnish, o'rings).
documented procedures. Look for poor storage conditions
& damage (e.g., rust or water

damage). Handling procedures
for Electro-Static Discharge
(ESD) & other sensitive
conditions.
16.6 Contingency plans have been Process covering utility

developed that describe actions to interruptions, labor shortages,
be taken in the event of a major key equipment failures, major
interruption of the manufacturing production issues.

process.
17.1 A RoHS compliance policy is Documented procedures that

documented and maintained that set requirements for planning,

defines the requirements for verification, on-going control,
SUBSTANCES (RoHS)
material and process qualification, record keeping & customer

on-going compliance verification, communications. Supplier's
manufacturing controls, declaration management support.
of compliance and records.
17.2 Technical & customer Records, plans, updates,

17.0 RESTRICTION OF
SUBSTANCES (RoHS)
requirements for RoHS compliance presentations, meeting minutes.

are reviewed and communicated
HAZARDOUS
prior to production start-up.
17.3 Test methods are established for Assessment of risk by part-type

HAZARDOUS SUBSTANCES
each RoHS controlled hazardous or manufacturing process used.

17.0 RESTRICTION OF
substance. Test sampling plan is Procedures, test methods,

based on analysis of risk for each sampling plan, control plan.
commodity and/or manufacturing
(RoHS)
process used.

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STANDARD CHECKLIST
17.4 Qualified personnel are available Training & education records.
to implement and sustain all Interview engineering, technical,

aspects of RoHS compliance. quality control personnel.
SUBSTANCES (RoHS)
Number of qualified personnel is

adequate to prevent
unacceptable delays.
17.5 RoHS technical requirements and Test methods/procedures, tin

17.0 RESTRICTION OF
SUBSTANCES (RoHS)
inspection criteria are documented whisker analysis instructions,

and available where needed, e.g. XRF work instructions, QC
HAZARDOUS
solder fillet, tin whiskers.. audits, etc. Ref to Jedec/IPC

Joint publication JP-002.
17.6 Test methods and acceptance Acceptance limits do not exceed

17.0 RESTRICTION OF
SUBSTANCES (RoHS)
limits follow recognized standards RoHS limits. References to

and RoHS requirements. recognized standard test
HAZARDOUS
protocols, such as, ISO, IEC,

EPA.
17.7 Incoming materials and finished RoHS testing procedure,

goods are periodically tested with sampling plan/frequency, test

appropriate equipment to confirm records. Use of XRF analyzer,
RoHS compliance. Compliance atomic absorption analyzer, UV-
SUBSTANCES (RoHS)
declarations and test records are VIS equipment, etc.. Qualified

maintained for a minimum of 5 independent chemical lab
years. w/A2LA accreditation or
equivalent
17.8 Effective identification and Documented procedures.

handling methods are in place to Observation of handling /
prevent commingling or labeling techniques in use.

inappropriate use of both RoHS Production operators are aware
SUBSTANCES (RoHS)
non-compliant and RoHS in distinguishing RoHS materials

compliant items. and processes versus non-
RoHS. Look for mixing of RoHS
compliant & non-compliant
materials.

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17.9 There are documented procedures Observation of handling /
in handling the screening, rework labeling techniques in use.

or refurbishing of finished goods Production operators are aware
SUBSTANCES (RoHS)
returned from the field and in distinguishing RoHS materials

customers. and processes versus non-
RoHS. Documented
procedures.
17.10 A spreadsheet or equivalent Database or other means is

17.0 RESTRICTION OF
SUBSTANCES (RoHS)
system is used to monitor the maintained to track RoHS

status of RoHS compliance and compliance status by part
HAZARDOUS
the declarations for each part number & declarations to

number effected. customers.
18.1 REACH compliance policy is Policy statement or procedure.

documented and maintained that

defines the requirements for
REACH compliance and on-going
verification.
18.2 Responsibilities for REACH have Look for identification of an

been clearly defined and assigned individual or individuals (i.e..,
to appropriate personnel. naming an entire department is

not acceptable). Record the
names and titles of the
responsible individuals.
18.3 REACH Compliance Documents Compliance Plan, Supplier

18.0 REACH
Compliance
and instructions for their use are Letters, Customer Letters

established and followed.
18.4 Supplier must have a system in Database/files. Records of

place to communicate safe communication to customers of
handling information (such as a the Material Safety Data Sheet

Material Safety Data Sheet) for (MSDS) or Safety Data Sheet
any dangerous substances (SDS) in the EU which may
contained in or on it's products. include Exposure Scenario (ES)
and/or Risk Management
Measures (RMM).

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STANDARD CHECKLIST
18.5 The supplier has informed If the official candidate list has
Emerson if they are providing (or been published by the ECHA
will be providing) Emerson with (European Chemicals Agency),
products that contain Substances then look for records of
of Very High Concern (SVHC) that communication to Emerson of
exceed 0.1% wt./wt. the presence of SVHC, if

applicable. Traceability of
chemical identification.
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TOTAL SCORES FOR THIS CHECKLIST ONLY
Supplier Corrective & Preventive Action Plan

Sum of Scores (excluding
"n/a" & "Not Verified"): Submitted by (name & title):
Maximum Total Score Available: Date Supplier CA-PA Plan Submitted:
Standard Checklist Score: Reviewed by (EMR name & title):

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Dates: Date Supplier CA-PA Plan Reviewed:

59633892.xls Page: 53 of 68
ADDITIONAL
Not Verified
Applicable
REQUIREMENTS Supplier
CA-PA Completion
Type audit 30-Dec-99 AUDIT FINDINGS & OBSERVATIONS Req'd? Date
Not
name here Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE
After CAPA Verif. SCORE(To be Completed by Emerson) (Y / N) (mm/dd/yy) Status
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-1 There is a company policy of Company policies, labor related
A. Labor Relations
upholding human rights of reports

employees where all works are
voluntary (no forced labor), no
child labor, and harsh or inhumane
treatment are prevented.
A-2 Freedom of association among Company policies, labor related

employees is permitted and reports
Relations
A. Labor
management has a system to

eliminate any discrimination
issues.
A-3 The supplier management Workers' salary profile, overtime

A. Labor Relations
complies to applicable wage laws policy and procedures, company

and maximum working hour rules and regulations.
regulation, and has a formal
document of not engaging into any
kind of unlawful discrimination.
A-4 Open communication channels Labor-management relations,

A. Labor Relations
exist between management and committees. Labor-related

labor where workers can freely reports
discuss working conditions without
fear of reprisal, intimidation or
harassment.
B-1 There is a business ethics policy or Business ethics (code of

B. Business Ethics
code of conduct where each conduct) policy and procedures

(Code of Conduct)
employee are oriented and

required to comply and uphold the
integrity and ethical standards of
the company.
B-2 There is a management system to Business ethics (code of

B. Business Ethics (Code of
ensure that the business ethics or conduct) policy and procedures

code of conduct applies to
applicable laws and regulations,
Conduct)
identifies and mitigates risks

related to the code, and facilitates
continuous improvement.
B-3 Documented procedures are Business ethics (code of

B. Business Ethics (Code of Conduct)
followed regarding conflict of conduct) policy and procedures

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)
Emerson Proprietary Added Req's

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ADDITIONAL
Not Verified
Applicable
CA-PA Completion
Not
On-Site
SCORE
Audit SCORE
B-4 A formal procedure is in place Business ethics (code of
B. Business Ethics
(Code of Conduct)
where fair business, advertising, conduct) policy and procedures

and competition are upheld; and
there are means to safeguard
customer proprietary information.
B-5 Community engagement programs Community program reports

B. Business Ethics
(Code of Conduct)
are used to help foster social and

economic development.
B-6 A formal system is in place to Ethics procedures include

report actual or perceived protection of whistleblower

violations to the ethics policy and confidentiality
procedures where retaliation and
Conduct)
harassment are prevented on

employees (whistleblowers) who
reported possible violations or
concerns.
C-1 Worker exposure to hazards are Safety procedures, list of PPE

C. Environmental &
identified and controlled, and

where hazards cannot be
adequately controlled, workers are
OHS
provided with the appropriate

personal protective equipment
(PPE)
C-2 Physical guards, barriers and Sire conditions, actual

C. Environmental &
interlocks are provided and machineries

properly maintained on production
OHS
equipment and machineries used

by production operators.
C-3 Physically demanding work (like Works Instructions, actual work

C. Environmental &
manual material handling, in progress

prolonged standing and repetitive
OHS
forceful tasks) are identified and

controlled.
C-4 The canteen and dormitory are Site conditions, Company

provided with clean toilet facilities, Policies
C. Environmental & OHS
access to drinking water, sanitary

food preparation and storage,
adequate heat and ventilation,
reasonable personal space and
provided with emergency egress.
C-5 Wastewater and solid wastes Waste records and actual

generated from the production equipment and facilities used

processes and sanitation facilities
are properly monitored, controlled
and treated as necessary prior to
any disposal outside the factory.

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ADDITIONAL
Not Verified
Applicable
CA-PA Completion
Not
On-Site
SCORE
Audit SCORE
C-6 Air emissions from organic Emission records and site
chemicals, aerosols, corrosives, facilities
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.
D-1 The supplier is regularly monitoring First pass yield trends

Management (2)
the first pass yields, reports of

D. Quality
which are readily available.
D-2 Structured Failure Analysis (FA) is FA procedures, FA TAT time

Management (2)
used where tests are identified records, Equipment availability,

D. Quality
based on the analysis level, Third party FA records.

facilities and equipment, human
resources and turn-around time
(TAT).
D-3 Handling of customer rejects Procedure on handling customer

Management (2)
includes a Return Materials rejects, RMA procedure.

D. Quality
Authorization (RMA) process,

generation of rework instructions
and identification of repair
resources.

59633892.xls Page: 56 of 68
ADDITIONAL
Not Verified
Applicable
CA-PA Completion
Not
On-Site
SCORE
Audit SCORE
Not Applicable
Not Verified
After
TOTAL SCORES FOR THIS CHECKLIST ONLY Supplier On-Site CAPA
Self-Audit Audit Std Verif. Std
Std Chklst Chklst Chklst
Scores SCORE SCORE SCORE On-Site Audit Findings:
Scores Sum of Scores (excluding "n/a" & "Not Verified"): 0 0 Corrective
0 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:

59633892.xls Page: 57 of 68
ADDITIONAL
REQUIREMENTS
ROOT CAUSE REMEDIAL ACTION CORRECTIVE ACTION PREVENTIVE ACTION CONTROLS
Type audit 30-Dec-99 & Scope of Problem Including Immediate Actions Taken to Taken to Address Root Cause Actions Taken to Prevent Deployed to Monitor CA/PA
name here Requirements Typical Objective Evidence Other Areas Address Issue / Finding & Prevent Recurrence Similar Issues in Other Areas Effectiveness
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-1 There is a company policy of Company policies, labor related
A. Labor Relations
upholding human rights of reports

employees where all works are
voluntary (no forced labor), no
child labor, and harsh or inhumane
treatment are prevented.
A-2 Freedom of association among Company policies, labor related

employees is permitted and reports
Relations
A. Labor
management has a system to

eliminate any discrimination
issues.
A-3 The supplier management Workers' salary profile, overtime

A. Labor Relations
complies to applicable wage laws policy and procedures, company

and maximum working hour rules and regulations.
regulation, and has a formal
document of not engaging into any
kind of unlawful discrimination.
A-4 Open communication channels Labor-management relations,

A. Labor Relations
exist between management and committees. Labor-related

labor where workers can freely reports
discuss working conditions without
fear of reprisal, intimidation or
harassment.
B-1 There is a business ethics policy or Business ethics (code of

B. Business Ethics
code of conduct where each conduct) policy and procedures

(Code of Conduct)
employee are oriented and

required to comply and uphold the
integrity and ethical standards of
the company.
B-2 There is a management system to Business ethics (code of

ensure that the business ethics or conduct) policy and procedures

code of conduct applies to
applicable laws and regulations,
Conduct)
identifies and mitigates risks

related to the code, and facilitates
continuous improvement.
B-3 Documented procedures are Business ethics (code of

B. Business Ethics (Code of Conduct)
followed regarding conflict of conduct) policy and procedures

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)

59633892.xls Page: 58 of 68
ADDITIONAL
REQUIREMENTS
B-4 A formal procedure is in place Business ethics (code of
B. Business Ethics
(Code of Conduct)
where fair business, advertising, conduct) policy and procedures

and competition are upheld; and
there are means to safeguard
customer proprietary information.
B-5 Community engagement programs Community program reports

B. Business Ethics
(Code of Conduct)
are used to help foster social and

economic development.
B-6 A formal system is in place to Ethics procedures include

report actual or perceived protection of whistleblower

violations to the ethics policy and confidentiality
procedures where retaliation and
Conduct)
harassment are prevented on

employees (whistleblowers) who
reported possible violations or
concerns.
C-1 Worker exposure to hazards are Safety procedures, list of PPE

C. Environmental &
identified and controlled, and

where hazards cannot be
adequately controlled, workers are
OHS
provided with the appropriate

personal protective equipment
(PPE)
C-2 Physical guards, barriers and Sire conditions, actual

C. Environmental &
interlocks are provided and machineries

properly maintained on production
OHS
equipment and machineries used

by production operators.
C-3 Physically demanding work (like Works Instructions, actual work

C. Environmental &
manual material handling, in progress

prolonged standing and repetitive
OHS
forceful tasks) are identified and

controlled.
C-4 The canteen and dormitory are Site conditions, Company

provided with clean toilet facilities, Policies
access to drinking water, sanitary

food preparation and storage,
adequate heat and ventilation,
reasonable personal space and
provided with emergency egress.
C-5 Wastewater and solid wastes Waste records and actual

generated from the production equipment and facilities used

processes and sanitation facilities
are properly monitored, controlled
and treated as necessary prior to
any disposal outside the factory.

59633892.xls Page: 59 of 68
ADDITIONAL
REQUIREMENTS
C-6 Air emissions from organic Emission records and site
chemicals, aerosols, corrosives, facilities
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.
D-1 The supplier is regularly monitoring First pass yield trends

Management (2)
the first pass yields, reports of

D. Quality
which are readily available.
D-2 Structured Failure Analysis (FA) is FA procedures, FA TAT time

Management (2)
used where tests are identified records, Equipment availability,

D. Quality
based on the analysis level, Third party FA records.

facilities and equipment, human
resources and turn-around time
(TAT).
D-3 Handling of customer rejects Procedure on handling customer

Management (2)
includes a Return Materials rejects, RMA procedure.

D. Quality
Authorization (RMA) process,

generation of rework instructions
and identification of repair
resources.

59633892.xls Page: 60 of 68
ADDITIONAL
REQUIREMENTS
Audit Type
TOTAL SCORES FOR THIS CHECKLIST ONLY
Scores Supplier Corrective & Preventive Action Plan:

Scores Sum of Scores (excluding "n/a" & "Not Verified"): Submitted by (name & title):
Scores Maximum Total Score Available: Date Supplier CA-PA Plan Submitted:
Scores Added Requirements Score: Reviewed by (EMR name & title):
Scores Dates: Date Supplier CA-PA Plan Reviewed:

59633892.xls Page: 61 of 68
Emerson Supplier Audit Checklist Supplier:
Audit Results Commodity Family:

Section Scores
Division; S.C. Org.:
Supplier On-Site
Total Mandatory Req. Self-Audit Audit After CAPA
Standard Checklist Section Req'mnts Req'ments (M) No. Supplier Self-Audit
On-Site
SCORE
Audit SCORE SCORE
After CAPA Verif. SCORE SCORE Verif. SCORE
M 1.1
1.2
1.0 Quality Management 4 1
1.3
1.4
2.1
2.0 Continuous Improvement 3 2 M 2.2
M 2.3
M 3.1
3.0 Training & Education 3 1 3.2
3.3
4.1
4.0 Occupational Health & Safety 3 0 4.2
4.3
M 5.1
5.2
5.0 Design Development & Support 4 1
5.3
5.4
M 6.1
M 6.2
6.0 Quality Planning 4 2
6.3
6.4
M 7.1
7.2
7.0 Drawings & Specifications 4 3
M 7.3
M 7.4
8.1
M 8.2
8.0 Procurement 5 2 8.3
M 8.4
8.5
M 9.1
9.0 Incoming Material 3 3 M 9.2
M 9.3
Emerson Proprietary Audit Results

59633892.xls Page: 62 of 68

Section Scores
Supplier On-Site
On-Site
SCORE
Audit SCORE SCORE
M 10.1
M 10.2
10.3
10.0 Manufacturing Quality 6 3
M 10.4
10.5
10.6
M 11.1
11.2
11.0 Process Control 4 2
M 11.3
11.4
M 12.1
12.2
12.0 Nonconforming Material 5 2 12.3
M 12.4
12.5
13.1
M 13.2
13.0 Measurement Equipment 5 2 13.3
M 13.4
13.5
14.1
14.0 Preventive Maintenance 3 0 14.2
14.3
15.1
15.2
15.0 Environmental 4 0
15.3
15.4
M 16.1
16.2
16.3
16.0 Storage & Packaging 6 3
M 16.4
M 16.5
16.6

59633892.xls Page: 63 of 68

Section Scores
Supplier On-Site
On-Site
SCORE
Audit SCORE SCORE
17.1
17.2
17.3
17.4
Restriction of Hazardous Substances 17.5
17.0 (RoHS) 10 0
17.6
17.7
17.8
17.9
17.10
18.1
18.2
18.0 REACH Compliance 5 0 18.3
18.4
18.5
Number of Requirements Possible (including RoHS): 81 27 0% 0% 0% MANDATORY REQUIREMENTS ONLY
Number of Requirements Audited: 81 27 STD REQUIREMENTS (Incl. Mandatory)
0% 0% 0% ADDITIONAL REQUIREMENTS
Overall score is weighted
Revisions (shown in brown text):
Added REACH Compliance section 18.0 and updated formulas.
OVERALL average of Std Req's &
Additional Req's scores

59633892.xls Page: 64 of 68

Section Scores
Supplier On-Site
On-Site
SCORE
Audit SCORE SCORE
AUDIT TEAM RECOMMENDATION & FINAL DISPOSITION
Guidelines for Assigning Audit Team Recommendation & Final Disposition
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, then
Audit 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, then
Audit 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, then
Audit Team Recommendation should be "Not Acceptable" and Final Disposition should be "Not Approved"
Audit Team Recommendation 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.
Audit Team Recommendation (ATR): Date: (mm/dd/yy)
Name & Title:

ATR Auditor Comments:
(Required if ATR does not meet guideline)
Final Disposition 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.
Final Disposition (FD): Date: (mm/dd/yy)
Name & Title:

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

59633892.xls Page: 65 of 68

Section Scores
Supplier On-Site
On-Site
SCORE
Audit SCORE SCORE
Supplier Evaluation Record Only Check (x) if Final Disposition was based on Supplier Profile, Self-Audit & review of objective evidence only. This Self-Audit
(No On-Site Audit was completed): file should be maintained by the Division or SCO. Do NOT upload to the ESAC database.

59633892.xls Page: 66 of 68
Notes & Attachments
Supplier:
SQA Reference No.:
Checklist
Checklist Requirement
Used Number Auditor Notes / Observations / Photos / Attachments
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
Emerson Proprietary Auditor Notes

59633892.xls Page: 67 of 68
Uploaded Supplier Audit Data
Added Req. Score 0 102

Added Requirements Description 98
Adjusted Added Req. Score 0 104
Adjusted Mand Req's Score 135
Adjusted Overall Score 25
Adjusted REACH Score 157
Adjusted RoHS Score 130
Adjusted Std Chklst Score 23
ATR Auditor Comments 144
Audit Team Recommendation 111
Audit Team Recommendation Date 112
Auditor <First name> 65
Auditor <Last name> 66
Auditor Title 69
CA-PA Verification Date 19
City 71
Commodity Family #1 (primary) 75
Commodity Family #2 (secondary) 156
Country 73
Division Name 8
ESAC File Revision ESAC 2008-06 93
FD Auditor Comments 145
Final Disposition 113
Final Disposition Date 114
Language English 92
Mail Code 74
Mand Req's % Audited 100 138
On-Site Audit Date 10
On-Site Mand Req's Score 134
On-Site Overall Score 16
On-Site REACH Score 158
On-Site RoHS Score 129
On-Site Std Chklst Score 14
State/Province 72
Std Req's % Audited 100 137
Supp Added Req's Score 0 141
Supp Mand Req's Score 139
Supp Overall Score 142
Supp REACH Score 159
Supp RoHS Score 143
Supp Std Chklst Score 140
Supplier 35
Supplier Profile Questions % Yes Empty 136
Supply Chain Org 91
File Name #MACRO? 50
Legend: Red = Required field Green = Date Blue = Score
Emerson Proprietary UPLOAD

59633892.xls Page: 68 of 68

Supplier Audit Checklist Example

Diunggah oleh

Informasi Dokumen

Judul Asli

Hak Cipta

Format Tersedia

Bagikan dokumen Ini

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Opsi Berbagi

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Hak Cipta:

Format Tersedia

Supplier Audit Checklist Example

Diunggah oleh

Hak Cipta:

Format Tersedia

Includes the following translations; Chinese-Simple, Chinese-

Emerson Supplier Audit Checklist What's new with this revision?

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

Workbook Compatibility with Older Excel Versions

Emerson Proprietary Contents

Emerson Proprietary Contents

Chinese- 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 Chinese-Simple

Company Confidential Date Prined: 10/01/2011 Page: 4 of 68

ESAC supports three auditing events.

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

Emerson Proprietary Instructions

2 2 Supplier completes Supplier Profile & Self-Audit

Emerson Proprietary Instructions

3 3 Emerson conducts On-Site audit

Scoring Instructions for Emerson On-Site Audit:

0 = NO EVIDENCE PROVIDED; Corrective action required

40 = RARELY COMPLIES; Corrective action required

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

Remedial Action; actions to resolve immediate issue

Emerson Proprietary Instructions

7 7 Emerson verifies supplier CAPA & adjusts scores

Scoring Instructions for Emerson :

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

40 = INSUFFICIENT EVIDENCE; CA Remains Open / Score Unchanged

Emerson Proprietary Instructions

Export data to Excel or email views.

Download the latest ESAC Workbook.

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

Emerson Proprietary Instructions

Emerson Proprietary Instructions

Emerson Proprietary Instructions

1.0 SUPPLIER PROFILE (Supplier to Complete)

Emerson Proprietary Supplier Profile & Audit Plan

^ Annual Sales (USD)

Emerson Proprietary Supplier Profile & Audit Plan

2.0 SUPPLIER QUALITY CAPABILITIES (Supplier to Complete)

8 Is product conformance to specified requirements verified prior to further processing or

Emerson Proprietary Supplier Profile & Audit Plan

3.0 AUDIT PLAN (Emerson to Complete)

Emerson Proprietary Supplier Profile & Audit Plan

5.0 PERSONNEL INVOLVED IN AUDIT (Emerson to Complete)

Emerson Proprietary Supplier Profile & Audit Plan

clearly describe current practice. control (sign-offs & dates),

opportunity and are used by improvement actions, status of

1.3 Quality performance targets are Strategic and tactical objectives,

business plan and monitored for

1.4 Executive management Analysis of field failures,

system reviews that address needs, internal audit results,

2.1 Preventive actions are taken Management review meetings,

business trends, design reviews, measurement, internal audits,

Emerson Proprietary Std Checklist

actively pursue cost containment recognition program, Lean, Six

2.3 A corrective action system is in Corrective action records, trend

recurrence. Documented cover customer, internal &

required for each job is assessment, training records,

3.2 Employee qualification / Qualification records,

the quality outcome of the process

Emerson Proprietary Std Checklist

validate training records. Look

addresses the safety of personnel preparedness and response,

(OHS) policy states the & safety trend charts, accident

improvement of OHS metrics.

going identification of hazards, the meeting minutes, accident

Chinese- 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 Chinese-Simple