Emerson Supplier Chain Audit

INTENDED FOR USE WITH EXCEL 2003 OR 2007
Includes the following translations; Chinese-Simple, ChineseTraditional, Dutch, English, French, German, Russian & Spanish.
Table of Contents Contents What's new with this revision? Language Instructions Typical Audit Cycle ISO / TS Cross Reference Supplier Profile & Audit Record Standard Checklist Audit Scores & Findings Supplier Corrective Actions RoHS Requirements REACH Compliance Added Requirements Checklist Audit Scores & Findings Supplier Corrective Actions Audit Results Audit Team Recommendation Final Disposition Auditor Notes & Attachments Upload Audit Results to Database Quick Links Sign-in to ESAC Database ESAC Auditor Training Materials ESAC Help Request Request ESAC Database Access Sign up for ESAC Training Workbook Compatibility w/ Excel EU REACH Documents Auditor Qualifications
Contents Page: 1 of 64
Revision Level: ESAC 2008-06
Emerson Supplier Audit Checklist

ESAC provides a standardized evaluation of a supplier's quality potential. It is based on ISO 9001 & TS16949 and strongly emphasizes manufacturing process/quality control. The audit process typically reveals opportunities for improvement and corrective actions are implemented to help reduce quality risks and improve supply chain reliability. In addition, the ESAC Workbook provides a means to upload audit results, corrective actions and audit team recommendation to a central database. The Emerson Supplier Audit Checklist is sponsored by the Emerson Quality Council and endorsed by Emerson Corporate Procurement. Divisions are encouraged to use the ESAC Database to view audit results from other Emerson Divisions or Supply Chain Organizations to assist in making sourcing decisions. We believe you will find ESAC to be a valuable tool for both supplier selection and supplier improvement. Emerson personnel should be properly trained prior to leading a supplier audit. If auditor training is not available within your Division, we recommend professional organizations, such as the American Society for Quality (ASQ). The ESAC Core Team has developed a 4-hour training course and ESAC Scoring Guidelines. The "Auditing with ESAC" course provides experienced auditors with instructions on how to use the ESAC assessment tool and scoring guidelines. Please follow the "Typical Audit Cycle" specified on the Instructions page. (Need more information? Use the Quick Links on this page or go to the Instructions tab.) Key information from each ESAC audit is available on the ESAC Database. Click links below to request access or to sign-in if you have already registered.
Request ESAC Database Access
Sign-in to ESAC Database
General Instructions: a.) Set the Excel macro security to medium. Click "Enable Macros" when opening this file.) b.) Use the "Language" and "Show-Hide" buttons as necessary to facilitate use. c.) Read "Instructions" before using the ESAC Workbook. d) You must be registered to the ESAC Database to upload audit data.
Note: Use Excel 2003 or 2007 (or newer). Using Excel 2000 (or older) will cause malfunctions to occur.
Place Division Logo here
Sponsored by the Emerson Quality Council (Emerson Proprietary)
Emerson Proprietary 96251836.xls.ms_office
Date Printed: 5/9/2012
What's new with this revision? Here are the highlights .

1 REACH Compliance requirements added. Five questions are now available on the Std Checklist and included in the Audit Results. Application Instructions for REACH (Checklist Section 18.0) Beginning June 1, 2008, ESAC audits must include Standard Checklist Section 18.0, "REACH Compliance" except when Division management has positively verified that the parts provided by this supplier will not be used in Emerson products sold in European Union countries. Requirement 18.5 may be marked as "n/a" if the supplier is not currently providing parts to Emerson with Substances of Very High Concern (SVHC) that exceed 0.1% wt./wt. Link to 'EU REACH Documents' added to Quick Links on the Contents page. Also added more links for requesting ESAC database access and sign-in to the database. Example questions provided on the 'Added Requirements' page for topics like labor relations, business ethics, environmental and quality management in greater detail. DUTCH is now available on the Instructions, Supplier Profile and Std Checklist tabs. ESAC now supports eight languages. Commodity Family area expanded on the Supplier Profile to allow input of two Commodity Family names when applicable. ESAC is no longer compatible with Excel 2000 or earlier versions. What are your options? 1. Upgrade to a more current version of Excel, like Excel 2003 or 2007. 2. Click on the "ESAC Help Request" link (below) to inquire about availability of an ESAC that is compatible with older Excel versions.
2 3 4 5
Workbook Compatibility 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.
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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LEVERANCIERSINSTRUCTIES: Klik op de knop rechts in de taal die u verkiest om de verschillende onderdelen van deze vragenlijst te tonen. Vervolledig de in lichtgroen gekleurde velden op de bladzijden "Leveranciersprofiel & Auditplan" and "Standaard vragenlijst". SUPPLIER INSTRUCTION: Click button to the right to display portions of this workbook in the language you choose. Complete the areas highlighted in light-green on the "Supplier Profile & Audit Plan" and "Standard Checklist" pages. INSTRUCTIONS FOURNISSEUR : Cliquer sur le bouton de droite pour afficher les diffrentes parties de ce questionnaire dans la langue de votre choix. Complter les zones repres en vert clair sur les onglets Renseignements fournisseur et plan d'audit et Questionnaire standard . LIEFERANTEN-ANWEISUNG: Knopf rechts anklicken um die Ansicht dieses Arbeitsbuches in der Sprache Ihrer Wahl anzuzeigen. Vervollstndige die hellgrn unterlegten Bereiche in den Seiten des Audit-Planes, Lieferanten-Profiles- und in den Standardchecklisten. : . , - " " " ". INSTRUCCION AL PROVEEDOR: Haga clic en el boton de la derecha para mostrar partes de este archivo en el idioma que escoja. Llene las areas en verde claro en las paginas "Supplier Profile & Audit Plan" y "Standard Checklist."
Dutch (Nederlands)
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Company Confidential 96251836.xls.ms_office Language
Date Prined: 5/9/2012
Page: 4 of 64
Supplier to complete light-green cells
Emerson to complete light-yellow cells
1 Supplier to complete as indicated. Answer all questions in the Supplier Quality Capabilities section. Explain any answered with "No" or "Not Applicable". 2 Supplier to complete "Self-Audit" on Std Checklist (if requested by Division). Use column labeled "Supplier Self-Audit Score". Click column heading for guidelines.

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 Supplier Contacts President Plant Manager Quality Manager Customer Service Manager Sales Manager Engineering Manager Other - Type Title here. Other - Type Title here.
^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ Name Phone email Address ^ ^ ^ ^ ^ ^ ^ ^
Supplier Profile & Audit Plan Page: 5 of 64

3 Return the ESAC file and any requested documentation to the Division or Supply Chain Organization within 7 days or per their instruction. ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ Quality System Certification Status ^ ^ ^ ^ ^ Annual Sales (USD) Capacity/Year (Units) Plant Size (total) Actual Capacity Total Employees Management QA Personnel Direct Labor Labor Union Contract Expiration Quality System Certification Status Quality Standard Location Certified Expiration Date ISO / TS Registrar Accreditation Body

3 Return the ESAC file and any requested documentation to the Division or Supply Chain Organization within 7 days or per their instruction. 2.0 SUPPLIER QUALITY CAPABILITIES (Supplier to Complete) Yes No or N/A Supplier to Explain All "No" or "Not Applicable" Responses Place "X" in appropriate column. Explain any "No" or "Not Applicable" answers. 1 Are specifications reviewed and production methods established that ensure applicable customer and regulatory requirements can be met on a consistent basis? 2 When required, is the customer notified of changes to items that may adversely affect quality or reliability, such as, manufacturing site, process methods, raw materials, etc.?
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)

3 Return the ESAC file and any requested documentation to the Division or Supply Chain Organization within 7 days or per their instruction. 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 Emerson Contacts Name Title Contact Phone No. Email Address 4.0 DOCUMENTATION NEEDED (Emerson to Complete) Requested / Received Quality Manual (typically is policy manual - not work instructions) ISO / TS Certificate (must state registrar & accreditation body) 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
Contact #1
Contact #2
Contact #3
Contact #4
^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^
NOTES
REQUESTED x x x
RECEIVED ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^

3 Return the ESAC file and any requested documentation to the Division or Supply Chain Organization within 7 days or per their instruction. 5.0 PERSONNEL INVOLVED IN AUDIT (Emerson to Complete) Emerson Audit Team First Name / Last Name / Title ^ Lead Auditor ^ ^ ^ ^ ^ Supplier Personnel Involved in Audit First Name / Last Name / Title ^ ^ ^ ^ ^
First Name
Emerson Audit Team Last Name
Title
First Name
Supplier Personnel Last Name
Title
Brown = Revised
Emerson to complete light-yellow cells Not Verified Not Applicable
STANDARD CHECKLIST 0-Jan-00

Requirements The quality system is documented, controlled, and maintained to clearly describe current practice. Documented procedures required. Records required. Typical Objective Evidence Quality manual and all QS procedures show revision control (sign-offs & dates), history of changes, quality organization's responsibilities
Supplier SelfAudit SCORE
On-Site Audit SCORE
After CAPA Verif. SCORE
AUDIT FINDINGS & OBSERVATIONS
Supplier CA-PA Req'd? (Y / N)
Completion Date (mm/dd/yy)
Status
1.0 QUALITY MANAGEMENT
1.1
1.2
Quality reports, trend charts and data analysis identify areas of opportunity and are used by management on a routine basis. Records required.
Product quality yield data, top problems and corresponding improvement actions, status of preventive/corrective actions taken, internal audit results
1.3
Quality performance targets are clearly defined, included in the business plan and monitored for improvements.
Strategic and tactical objectives, goals, action plans, etc.
1.4
Executive management participates in periodic quality system reviews that address quality related feedback from customers and internal quality metrics. Records required.
Analysis of field failures, inspection yields, resource needs, internal audit results, corrective action status, etc.
2.1
2.0 CONTINUOUS IMPROVEMENT
Preventive actions are taken based on the analysis of significant business trends, design reviews, customer satisfaction surveys or other meaningful inputs. Documented procedures required. Records required.
Management review meetings, goal setting, performance measurement, internal audits, action plans, customer surveys
Std Checklist Page: 10 of 64
Brown = Revised

Requirements A formal approach is used to actively pursue cost containment and other continual improvement activities throughout the organization. Documented procedures required. Records required. Typical Objective Evidence Employee involvement / recognition program, Lean, Six Sigma, kaizen, SPC, 5-S, cost reduction program, preventive actions
On-Site Audit SCORE
Status
2.2
2.3
A corrective action system is in place that provides root cause analysis and takes timely and effective action to prevent recurrence. Documented procedures required. Records required.
Corrective action records, trend charts, meeting minutes, nonconformance frequency & cost analysis. Does CA system cover customer, internal & supplier issues?
3.0 TRAINING & EDUCATION
3.1
The skill and education level required for each job is documented and appropriate training / re-training is provided. Records required.
Job descriptions, job skills assessment, training records, training manuals. Look for use of training aids & work instructions at work stations.
3.2
Employee qualification / certification is maintained where the quality outcome of the process cannot be verified and is strongly dependent upon operator skill. Records required.
Qualification records, certification history, etc.
3.3
Suitable methods are used to verify training effectiveness. Records required.
Records of student testing, production quality records, audit records, interview workers to validate training records. Look for use of training aids & work instructions at work stations.
Brown = Revised

Requirements The Occupation Health & Safety (OHS) management system addresses the safety of personnel without comprising the achievement of product quality requirements. Typical Objective Evidence Procedure for OHS training, communications, emergency preparedness and response, monitoring and performance measurements
On-Site Audit SCORE
Status
4.1
4.0 OCCUPATIONAL HEALTH & SAFETY
4.2
The Occupation Health & Safety (OHS) policy states the organizations health and safety objectives and management's commitment to continual improvement of OHS metrics.
Policies and procedures, health & safety trend charts, accident rate improvement history, etc.
4.3
Procedures are used for the ongoing identification of hazards, the assessment of risks, and the implementation of necessary control measures.
Safety committee or group meeting minutes, accident investigation reports, safety audit reports
5.1
5.0 DESIGN DEVELOPMENT & SUPPORT
Customer needs and requirements are incorporated into product designs and/or manufacturing processes. Criticalto-Quality (CTQ) characteristics are identified and understood. Records required.
Market studies, customer/enduser surveys, technical design reviews, mfg process capability studies, formal process qualification plan, manufacturing verification tests, pilot runs, etc.
5.2
Product specifications and drawings are generated, controlled and maintained for new or changed product designs. Records required.
Complete product characteristics, application requirements, and other information essential for its safe and proper use and eventual disposal, etc.
Brown = Revised

Requirements Design validation is an integral part of the design process and occurs prior to production release. Records required. Typical Objective Evidence Design results, manufacturability, productivity and cost studies, confirmation that product fulfills its specified requirements or intended use or applications, design-FMEA, etc.
On-Site Audit SCORE
Status
5.3
5.4
Human and technical resources are adequate to meet Emersons requirements for design collaboration, tooling design and electronic drawing and data exchange.
Qualification of technical staff. Equipment/software capabilities; CAD, PRO-E, etc.
6.0 QUALITY PLANNING
6.1
Production samples are inspected and provided to customers upon request. Records required.
Completed PPAP or similar forms, inspection reports, availability of qualified resources
6.2
Customer production requirements and quality specifications are reviewed to ensure they can be met on a consistent basis. Records required.
Procedures, design / process review minutes, FMEA's, mfg capacity plans, resource plans that address all product test, storage, packaging and shipment requirements
6.3
Reliability test plans are developed and routinely followed. Testing is used to verify design spec's, drive design improvements and provide an ongoing check of materials and workmanship. Documented procedures required. Records required.
Reliability test plans, test reports, improvement/corrective actions taken, design changes implemented
Brown = Revised

Requirements Product reliability test data is available upon request and historical test performance data shows a highly stable process and product design. Records required. Typical Objective Evidence Reliability test summary reports/charts
On-Site Audit SCORE
Status
6.4
7.1
7.0 DRAWINGS & SPECIFICATIONS
New and revised customer specifications are reviewed and implemented in a timely manner. Documented procedures required.
Technical review of methods to be used, capability studies on similar parts, documented review procedure, ie., APQP, PPAP.
7.2
Current process control documents are in place and used for production start-up and continuing production. Documented procedures required.
Customer specifications, engineering drawings, change notices, work instructions and specifications as applicable.
7.3
Customer notification / approval occurs for changes to Control Plans, manufacturing site, product transfers, raw material or product obsolescence. Records required.
Customer notification procedure on major changes & compliance to Jedec standards JESD 46 and JESD 48 (or equivalent, if app.). Signed material / process change requests. Customers are notified of RoHS compliance status change.
7.4
Quality records are maintained. A record control system is in place for the identification, storage, protection, retrieval, retention time, and disposition of quality records.
Procedures, list of records to be kept with retention periods specified
Brown = Revised

Requirements A formal process is used for the selection, qualification and requalification of suppliers. Records required. Typical Objective Evidence Supplier quality system audits and related corrective actions, engineering testing and approval records, plant production trials
On-Site Audit SCORE
Status
8.1
8.0 PROCUREMENT
8.0 PROCUREMENT
8.2
Purchases from unapproved suppliers are prevented by a properly controlled and available Approved Supplier List (ASL). Records required.
ASL, procedures for control and use of ASL, production material receipt records
8.3
8.0 PROCUREMENT
Preventive actions are taken to continuously improve performance of the supplier base. Records required.
Supplier quality performance analysis, performance trends, supplier audit reports, Inflation Model, documented goals regarding raw material cost containment
8.4
8.0 PROCUREMENT
A supplier quality assurance system ensures that all purchased product or material conforms to defined specifications and applicable regulatory or customer requirements. Records required.
Receiving inspection, supplier audits, source inspection, qualification testing, Certificate of Compliance (COC), component marking, labeling, etc.
8.5
8.0 PROCUREMENT
A system exists for the identification, verification and protection of customer supplied product that includes notifying the customer if product is damaged or lost. Records required.
Procedures, segregation during storage, limited and controlled access to stored inventories
9.1
9.0 INCOMING MATERIAL
Receiving inspection is performed per documented procedures and detailed work instructions. Records required.
Procedures, inspection instructions resources (manpower and equipment) allocated for incoming inspection
Brown = Revised

Requirements Inspected material is adequately identified as to acceptance or rejection and traceable to receiving inspection report. Records required. Typical Objective Evidence Quality Control label, marking or use of designated hold area as indicated in the procedure
On-Site Audit SCORE
Status
9.2
9.3
Supplier corrective action requests require root cause investigation and records show responses are analyzed. Documented procedures required. Records required.
Availability of written procedure, standardized Corrective Action form, analysis of corrective action cycle time and closure measurements
10.1 There is a formal method used to

10.0 MANUFACTURING QUALITY
qualify new or rebuilt production equipment prior to production use.
Qualification plan that includes established goals for process yields/up-time, etc. and record of process capability, review and approval, etc.
10.2 Control Plans are used to plan and

deploy inspection and test functions throughout the production process.
Process flow diagram, statistical tools to be used, key inspection points, inspection frequency, records, control responsibility, inspection/test method, gaging used, acceptable yield rates
10.3 Appropriate work instructions are

available where needed that accurately describe all work methods including inspections and tests to be done during production.
Sample size, frequency, method, document control dates/revision level, etc. Handling procedures for Electro-Static Discharge (ESD), RoHS compliant materials & other process conditions.
Brown = Revised

Requirements
10.4 Appropriate inspections, tests and
process adjustments are made per applicable work instructions to verify conformance at key points throughout the process and prior to shipment. Records required.
Typical Objective Evidence Records of inspections performed at incoming, first piece, in-process and/or final inspection or test. Capability study, material test, RoHS and other regulatory tests, etc.
On-Site Audit SCORE
Status
10.5 The inspection and process status
of product is identified and maintained throughout the production process. Records required.
Batch records, travelers, tags, labels, product markings or use of designated & identified areas.
10.6 Customers are notified of low yield
production lots or issues that affect product reliability. Documented procedures required. Records required.
Corrective actions, records of customer notifications, reliability test data, etc.
11.1 Key part characteristics and

11.0 PROCESS CONTROL
process parameters are reviewed and statistically based controls and/or problem solving tools are used to control variation.
Histograms, run charts, SPC charts, pareto analysis, cause & effect diagrams, DOE, mistake proofing, documented reaction plan & process corrections.
11.2 Written improvement plans are

11.0 STATISTICAL PROCESS CONTROL
implemented to reduce sources of variation.
Documented reaction plan & process corrections. SPC trend charts showing current status vs. goals. Improvement plan.
11.3 Process capability is measured
and actions are taken to maintain established minimum Cpk/Ppk targets.
Documented process capability studies and results (actual vs target Cpk/Ppk)
Brown = Revised

Requirements
11.4 Out of control conditions are noted
Typical Objective Evidence Control charts
On-Site Audit SCORE
Status
on charts and documented corrective action is taken to bring the process back into control. Documented procedures required. Records required.
12.1 Nonconforming materials, parts
12.0 NONCONFORMING MATERIAL
and assemblies are segregated (where practical) and identified to prevent unapproved use. Documented procedures required. Records required.
Tags, marking, controlled staging areas, etc. Look for mixing of RoHS compliant & non-compliant materials.
12.2 Reworked material, parts and
assemblies are re-inspected or retested to confirm compliance to requirements. Records required.
Inspection record, tag, stamp, etc.
12.3 Use of nonconforming material is
documented under a formal waiver or concession system. Records required.
Written procedure, waiver or concession records
12.4 Product traceability is maintained
(to the extent required by Emerson) to facilitate problem evaluation and corrective action. Documented procedures required. Records required.
Serial number records, lot number, date of manufacture, labeling and marking of containers or product, etc. Look for mixing of RoHS compliant & non-compliant materials.
12.5 There is a positive recall system

to notify customers of nonconforming product that has already been shipped. Records required.
Documented procedure and review of system
Brown = Revised

Requirements
13.0 MEASUREMENT EQUIPMENT
13.1 Gage Repeatability &
Typical Objective Evidence GR&R studies, reports
On-Site Audit SCORE
Status
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
test equipment are routinely calibrated and controlled per documented procedures. Records required.
Gage calibration stickers, calibration records, positive identification or segregation of out-of-calibration devices, and inventory, location & status records, etc.
13.3 Gages and test equipment are

calibrated against standards traceable to a recognized regulatory body or agency. Records required.
Calibration procedures, and calibration stickers and other records.
13.4 Assessments are made to check

the validity of previous measurements done on products where out-of-calibration measuring devices were used. Records required.
Assessment records, corrective actions, etc.
Brown = Revised

Requirements
13.5 Appropriate controls are in place
to verify the suitability and accuracy of computer software prior to initial use in checking product quality or control of processes. Software is re-verified when revised. Records required.
Typical Objective Evidence Verification methods and records, revision levels, distribution/use control, etc.
On-Site Audit SCORE
Status
14.0 PREVENTIVE MAINTENANCE
14.1 Tools are stored in an appropriate,
clearly defined area, with systematic tracking that provide traceability, particularly of customer-owned tools and equipment. Records required.
Review of storage area, labeling, tooling records
14.2 A formal Preventive Maintenance
system exists for production equipment, tools and fixtures.
Review of system, PM plans, PM schedule and compliance results
14.3 Preventive Maintenance schedule
is followed. Product cannot be made with tools that are outside of maintenance period. Performance is audited
No equipment, tools, or fixtures are in use that are outside TPM schedule, or have unclear status
15.1 A documented environmental
15.0 ENVIRONMENTAL
policy exists that includes a commitment to comply with relevant environmental legislation and regulations and to continual improvement and pollution prevention.
Environmental policy statement document
Brown = Revised

Requirements
15.2 There is an environmental
15.0 ENVIRONMENTAL
management system that ensures compliance to all applicable government regulations and there are no outstanding, unresolved violations of these regulations.
Typical Objective Evidence Records of agency/gov inspection or certification, doc'd procedures for measuring and monitoring environmentally sensitive activities w/ list of mtl's and areas where used, tracking of hazardous mtl's or waste.
On-Site Audit SCORE
Status
15.3 A system is in place to minimize

15.0 ENVIRONMENTAL
the use, disposal and emissions of hazardous chemicals and to ensure that Class I ozone depleting chemicals are not used in the manufacturing process.
Record of purchases, waste stream and consumption; inventory control procedures.
15.4 An on-going emphasis is placed
15.0 ENVIRONMENTAL
on using materials that are; compliant with applicable regulations like RoHS & WEEE, biodegradable, recyclable, reusable, reduces pollutant emissions at the point of use.
Records/use of; non-hazardous (RoHS/WEEE compliant) materials in production, biodegradable materials, returnable containers or packaging, recycling program, packaging materials made of recycled materials.
16.1 Areas around the facility are clean

16.0 STORAGE & PACKAGING
and orderly. Tools and equipment are properly stored and readily available for use. Lighting and air quality are adequate.
Observe production, office & product storage areas for use of 5S/6S principles (Sort, Set-inorder, Shine, Standardize, Sustain + Safety)
16.2 Proper equipment and methods

are used to prevent product damage or loss in all phases of the material handling process.
Observe handling and transit of raw material, work-in-process, and finished goods.
Brown = Revised

Requirements
16.3 Documented procedures are
followed to ensure proper control and preservation of handling, storage (FIFO), packaging, and delivery of product.
Typical Objective Evidence FIFO practices are defined, packaging specifications, test results, handling and storage procedures.
On-Site Audit SCORE
Status
16.4 Suitability of product packaging is

reviewed and any concerns are communicated to the customer prior to initial production shipment. Packaging tests if required. Records required.
Technical review, packaging/shipping tests, packaging work instructions, carton strength tests
16.5 Stored product/material is
periodically inspected, and where applicable, actions are taken to prevent deterioration per documented procedures.
Doc'd list of shelf-life sensitive products/materials (e.g., sealants, adhesives, solder paste, paint/varnish, o'rings). Look for poor storage conditions & damage (e.g., rust or water damage). Handling procedures for Electro-Static Discharge (ESD) & other sensitive conditions.
16.6 Contingency plans have been

developed that describe actions to be taken in the event of a major interruption of the manufacturing process.
Process covering utility interruptions, labor shortages, key equipment failures, major production issues.
Brown = Revised

Requirements
17.0 RESTRICTION OF HAZARDOUS SUBSTANCES (RoHS)
17.1 A RoHS compliance policy is
documented and maintained that defines the requirements for material and process qualification, on-going compliance verification, manufacturing controls, declaration of compliance and records.
Typical Objective Evidence Documented procedures that set requirements for planning, verification, on-going control, record keeping & customer communications. Supplier's management support.
On-Site Audit SCORE
Status
17.2 Technical & customer
requirements for RoHS compliance are reviewed and communicated prior to production start-up.
Records, plans, updates, presentations, meeting minutes.
17.3 Test methods are established for
each RoHS controlled hazardous substance. Test sampling plan is based on analysis of risk for each commodity and/or manufacturing process used.
Assessment of risk by part-type or manufacturing process used. Procedures, test methods, sampling plan, control plan.
17.4 Qualified personnel are available
to implement and sustain all aspects of RoHS compliance.
Training & education records. Interview engineering, technical, quality control personnel. Number of qualified personnel is adequate to prevent unacceptable delays.
17.5 RoHS technical requirements and
inspection criteria are documented and available where needed, e.g. solder fillet, tin whiskers..
Test methods/procedures, tin whisker analysis instructions, XRF work instructions, QC audits, etc. Ref to Jedec/IPC Joint publication JP-002.
17.6 Test methods and acceptance
limits follow recognized standards and RoHS requirements.
Acceptance limits do not exceed RoHS limits. References to recognized standard test protocols, such as, ISO, IEC, EPA.
Brown = Revised

Requirements
17.7 Incoming materials and finished
goods are periodically tested with appropriate equipment to confirm RoHS compliance. Compliance declarations and test records are maintained for a minimum of 5 years.
Typical Objective Evidence RoHS testing procedure, sampling plan/frequency, test records. Use of XRF analyzer, atomic absorption analyzer, UVVIS equipment, etc.. Qualified independent chemical lab w/A2LA accreditation or equivalent
On-Site Audit SCORE
Status
17.8 Effective identification and

handling methods are in place to prevent commingling or inappropriate use of both RoHS non-compliant and RoHS compliant items.
Documented procedures. Observation of handling / labeling techniques in use. Production operators are aware in distinguishing RoHS materials and processes versus non-RoHS. Look for mixing of RoHS compliant & non-compliant materials.
17.9 There are documented
procedures in handling the screening, rework or refurbishing of finished goods returned from the field and customers.
Observation of handling / labeling techniques in use. Production operators are aware in distinguishing RoHS materials and processes versus non-RoHS. Documented procedures.
17.10 A spreadsheet or equivalent
system is used to monitor the status of RoHS compliance and the declarations for each part number effected.
Database or other means is maintained to track RoHS compliance status by part number & declarations to customers.
18.0 REACH Compliance
18.1 REACH compliance policy is
Policy statement or procedure.
documented and maintained that defines the requirements for REACH compliance and on-going verification.
Brown = Revised

Requirements
18.2 Responsibilities for REACH have
been clearly defined and assigned to appropriate personnel.
Typical Objective Evidence Look for identification of an individual or individuals (i.e.., naming an entire department is not acceptable). Record the names and titles of the responsible individuals.
On-Site Audit SCORE
Status
18.3 REACH Compliance Documents
and instructions for their use are established and followed.
Compliance Plan, Supplier Letters, Customer Letters
18.4 Supplier must have a system in

place to communicate safe handling information (such as a Material Safety Data Sheet) for any dangerous substances contained in or on it's products.
Database/files. Records of communication to customers of the Material Safety Data Sheet (MSDS) or Safety Data Sheet (SDS) in the EU which may include Exposure Scenario (ES) and/or Risk Management Measures (RMM).
18.5 The supplier has informed
Emerson if they are providing (or will be providing) Emerson with products that contain Substances of Very High Concern (SVHC) that exceed 0.1% wt./wt.
If the official candidate list has been published by the ECHA (European Chemicals Agency), then look for records of communication to Emerson of the presence of SVHC, if applicable. Traceability of chemical identification.
Additional Findings
Req # Req # Req # Req # Req # Req # Req # Req # Req # Req # Req # Req # Req # Req # Req # Req # Req # Req #
Brown = Revised

Requirements
Req # Req # Req # Req # Req # Req # Req # Req # Req # Req # Req #
Typical Objective Evidence
On-Site Audit SCORE
Status
Not Applicable
Not Verified
TOTAL SCORES FOR THIS CHECKLIST ONLY
Supplier On-Site Self-Audit Audit Std Std Chklst Chklst SCORE SCORE 0 8100 0% 0 8100 0%
After CAPA Verif. Std Chklst SCORE 0 8100 0%
Sum of Scores (excluding "n/a" & "Not Verified"): Maximum Total Score Available:
Top
On-Site Audit Findings Corrective Action plans will be submitted on (date): Emerson Audit Leader (name & title): Supplier QA Representative (name & title): CA-PA Verification & Finding Closure Date:
Standard Checklist Score:

Dates:
Brown = Revised

Requirements The quality system is documented, controlled, and maintained to clearly describe current practice. Documented procedures required. Records required. Typical Objective Evidence Quality manual and all QS procedures show revision control (sign-offs & dates), history of changes, quality organization's responsibilities ROOT CAUSE & Scope of Problem Including Other Areas REMEDIAL ACTION Immediate Actions Taken to Address Issue / Finding CORRECTIVE ACTION Taken to Address Root Cause & Prevent Recurrence PREVENTIVE ACTION Actions Taken to Prevent Similar Issues in Other Areas
1.1
1.2
1.3
1.4
2.1
Brown = Revised

Requirements A formal approach is used to actively pursue cost containment and other continual improvement activities throughout the organization. Documented procedures required. Records required. Typical Objective Evidence Employee involvement / recognition program, Lean, Six Sigma, kaizen, SPC, 5-S, cost reduction program, preventive actions ROOT CAUSE & Scope of Problem Including Other Areas REMEDIAL ACTION Immediate Actions Taken to Address Issue / Finding CORRECTIVE ACTION Taken to Address Root Cause & Prevent Recurrence PREVENTIVE ACTION Actions Taken to Prevent Similar Issues in Other Areas
2.2
2.3
3.1
3.2
3.3
Brown = Revised

Requirements The Occupation Health & Safety (OHS) management system addresses the safety of personnel without comprising the achievement of product quality requirements. Typical Objective Evidence Procedure for OHS training, communications, emergency preparedness and response, monitoring and performance measurements ROOT CAUSE & Scope of Problem Including Other Areas REMEDIAL ACTION Immediate Actions Taken to Address Issue / Finding CORRECTIVE ACTION Taken to Address Root Cause & Prevent Recurrence PREVENTIVE ACTION Actions Taken to Prevent Similar Issues in Other Areas
4.1
4.2
4.3
5.1
5.2
Brown = Revised

Requirements Design validation is an integral part of the design process and occurs prior to production release. Records required. Typical Objective Evidence Design results, manufacturability, productivity and cost studies, confirmation that product fulfills its specified requirements or intended use or applications, design-FMEA, etc. ROOT CAUSE & Scope of Problem Including Other Areas REMEDIAL ACTION Immediate Actions Taken to Address Issue / Finding CORRECTIVE ACTION Taken to Address Root Cause & Prevent Recurrence PREVENTIVE ACTION Actions Taken to Prevent Similar Issues in Other Areas
5.3
5.4
6.1
6.2
6.3
Brown = Revised

Requirements Product reliability test data is available upon request and historical test performance data shows a highly stable process and product design. Records required. Typical Objective Evidence Reliability test summary reports/charts ROOT CAUSE & Scope of Problem Including Other Areas REMEDIAL ACTION Immediate Actions Taken to Address Issue / Finding CORRECTIVE ACTION Taken to Address Root Cause & Prevent Recurrence PREVENTIVE ACTION Actions Taken to Prevent Similar Issues in Other Areas
6.4
7.1
7.2
7.3
7.4
Brown = Revised

Requirements A formal process is used for the selection, qualification and requalification of suppliers. Records required. Typical Objective Evidence Supplier quality system audits and related corrective actions, engineering testing and approval records, plant production trials ROOT CAUSE & Scope of Problem Including Other Areas REMEDIAL ACTION Immediate Actions Taken to Address Issue / Finding CORRECTIVE ACTION Taken to Address Root Cause & Prevent Recurrence PREVENTIVE ACTION Actions Taken to Prevent Similar Issues in Other Areas
8.1
8.0 PROCUREMENT
8.0 PROCUREMENT
8.2
8.3
8.0 PROCUREMENT
8.4
8.0 PROCUREMENT
8.5
8.0 PROCUREMENT
9.1
Brown = Revised

Requirements Inspected material is adequately identified as to acceptance or rejection and traceable to receiving inspection report. Records required. Typical Objective Evidence Quality Control label, marking or use of designated hold area as indicated in the procedure ROOT CAUSE & Scope of Problem Including Other Areas REMEDIAL ACTION Immediate Actions Taken to Address Issue / Finding CORRECTIVE ACTION Taken to Address Root Cause & Prevent Recurrence PREVENTIVE ACTION Actions Taken to Prevent Similar Issues in Other Areas
9.2
9.3



Brown = Revised

Requirements
ROOT CAUSE & Scope of Problem Including Other Areas
REMEDIAL ACTION Immediate Actions Taken to Address Issue / Finding
CORRECTIVE ACTION Taken to Address Root Cause & Prevent Recurrence
PREVENTIVE ACTION Actions Taken to Prevent Similar Issues in Other Areas


Brown = Revised

Requirements

Brown = Revised

Requirements


Brown = Revised

Requirements
15.0 ENVIRONMENTAL
Brown = Revised

Requirements
15.0 ENVIRONMENTAL

15.0 ENVIRONMENTAL
15.0 ENVIRONMENTAL


Brown = Revised

Requirements


Brown = Revised

Requirements
Brown = Revised

Requirements

Brown = Revised

Requirements

Brown = Revised

Requirements
TOTAL SCORES FOR THIS CHECKLIST ONLY Supplier Corrective & Preventive Action Plan Sum of Scores (excluding "n/a" & "Not Verified"): Maximum Total Score Available:
Top
Standard Checklist Score:

Dates:
Submitted by (name & title): Date Supplier CA-PA Plan Submitted: Reviewed by (EMR name & title): Date Supplier CA-PA Plan Reviewed:
Brown = Revised

Requirements The quality system is documented, controlled, and maintained to clearly describe current practice. Documented procedures required. Records required. Typical Objective Evidence Quality manual and all QS procedures show revision control (sign-offs & dates), history of changes, quality organization's responsibilities CONTROLS Deployed to Monitor CA/PA Effectiveness
1.1
1.2
1.3
1.4
2.1
Brown = Revised

Requirements A formal approach is used to actively pursue cost containment and other continual improvement activities throughout the organization. Documented procedures required. Records required. Typical Objective Evidence Employee involvement / recognition program, Lean, Six Sigma, kaizen, SPC, 5-S, cost reduction program, preventive actions CONTROLS Deployed to Monitor CA/PA Effectiveness
2.2
2.3
3.1
3.2
3.3
Brown = Revised

Requirements The Occupation Health & Safety (OHS) management system addresses the safety of personnel without comprising the achievement of product quality requirements. Typical Objective Evidence Procedure for OHS training, communications, emergency preparedness and response, monitoring and performance measurements CONTROLS Deployed to Monitor CA/PA Effectiveness
4.1
4.2
4.3
5.1
5.2
Brown = Revised

Requirements Design validation is an integral part of the design process and occurs prior to production release. Records required. Typical Objective Evidence Design results, manufacturability, productivity and cost studies, confirmation that product fulfills its specified requirements or intended use or applications, design-FMEA, etc. CONTROLS Deployed to Monitor CA/PA Effectiveness
5.3
5.4
6.1
6.2
6.3
Brown = Revised

Requirements Product reliability test data is available upon request and historical test performance data shows a highly stable process and product design. Records required. Typical Objective Evidence Reliability test summary reports/charts CONTROLS Deployed to Monitor CA/PA Effectiveness
6.4
7.1
7.2
7.3
7.4
Brown = Revised

Requirements A formal process is used for the selection, qualification and requalification of suppliers. Records required. Typical Objective Evidence Supplier quality system audits and related corrective actions, engineering testing and approval records, plant production trials CONTROLS Deployed to Monitor CA/PA Effectiveness
8.1
8.0 PROCUREMENT
8.0 PROCUREMENT
8.2
8.3
8.0 PROCUREMENT
8.4
8.0 PROCUREMENT
8.5
8.0 PROCUREMENT
9.1
Brown = Revised

Requirements Inspected material is adequately identified as to acceptance or rejection and traceable to receiving inspection report. Records required. Typical Objective Evidence Quality Control label, marking or use of designated hold area as indicated in the procedure CONTROLS Deployed to Monitor CA/PA Effectiveness
9.2
9.3



Brown = Revised

Requirements
CONTROLS Deployed to Monitor CA/PA Effectiveness


Brown = Revised

Requirements

Brown = Revised

Requirements


Brown = Revised

Requirements
15.0 ENVIRONMENTAL
Brown = Revised

Requirements
15.0 ENVIRONMENTAL

15.0 ENVIRONMENTAL
15.0 ENVIRONMENTAL


Brown = Revised

Requirements


Brown = Revised

Requirements
Brown = Revised

Requirements

Brown = Revised

Requirements

Brown = Revised

Requirements
TOTAL SCORES FOR THIS CHECKLIST ONLY Supplier Corrective & Preventive Action Plan Sum of Scores (excluding "n/a" & "Not Verified"): Date Supplier CA-PA Plan Submitted: Maximum Total Score Available: Standard Checklist Score: Reviewed by (EMR name & title): Date Supplier CA-PA Plan Reviewed: Dates:
Top
Emerson Supplier Audit Checklist Audit Results

Division; S.C. Org.:
Supplier: Commodity Family:
Section Scores Total Req'mnts 4 Mandatory Req'ments (M) M 1 Req. No. 1.1 1.2 1.3 1.4 2.1 2.2 2.3 3.1 3.2 3.3 4.1 4.2 4.3 5.1 5.2 5.3 5.4 6.1 6.2 6.3 6.4 7.1 7.2 7.3 7.4 8.1 8.2 8.3 8.4 8.5 9.1 9.2 9.3
Supplier SelfAudit SCORE On-Site Audit SCORE After CAPA Verif. SCORE
Standard Checklist Section 1.0 Quality Management
Supplier Self-Audit SCORE
On-Site Audit SCORE
2.0
Continuous Improvement
M M M
3.0
Training & Education
4.0
Occupational Health & Safety
0 M
5.0
Design Development & Support
1 M M
6.0
Quality Planning
M 7.0 Drawings & Specifications 4 3 M M M 8.0 Procurement 5 2 M M M M
9.0
Incoming Material
10.0
Manufacturing Quality
Audit Results Page: 61 of 64

Section Scores Total Req'mnts 4 6 Mandatory Req'ments (M) M M 1 3 M Req. No. 10.1 10.2 10.3 10.4 10.5 10.6 11.1 11.2 11.3 11.4 12.1 12.2 12.3 12.4 12.5 13.1 13.2 13.3 13.4 13.5 14.1 14.2 14.3 15.1 15.2 15.3 15.4 16.1 16.2 16.3 16.4 16.5 16.6
Standard Checklist Section 1.0 10.0 Quality Management Manufacturing Quality
On-Site Audit SCORE
M 11.0 Process Control 4 2 M M 12.0 Nonconforming Material 5 2 M
M 13.0 Measurement Equipment 5 2 M
14.0
Preventive Maintenance
15.0
Environmental
0 M
16.0
Storage & Packaging
M M

Section Scores Total Req'mnts 4 Mandatory Req'ments (M) 1 Req. No. 17.1 17.2 17.3 17.4 17.0 Restriction of Hazardous Substances (RoHS) 10 0 17.5 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): Number of Requirements Audited: 81 0 27 0 Supplier SelfAudit SCORE On-Site Audit SCORE After CAPA Verif. SCORE
Standard Checklist Section 1.0 Quality Management
On-Site Audit SCORE
0% 0%
0% 0%
0% 0%
MANDATORY REQUIREMENTS ONLY
STD REQUIREMENTS (Incl. Mandatory) ADDITIONAL REQUIREMENTS OVERALL

Overall score is weighted average of Std Req's & Additional Req's scores
Revisions (shown in brown text): Added REACH Compliance section 18.0 and updated formulas.

Section Scores Total Req'mnts Mandatory Req'ments (M) Req. No.

Standard Checklist Section
On-Site Audit SCORE
AUDIT TEAM RECOMMENDATION & FINAL DISPOSITION

1.0 Quality Management 4 Guidelines for Assigning Audit Team Recommendation 1 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

Audit Team Recommendation (ATR):
Name & Title: ATR Auditor Comments: (Required if ATR does not meet guideline)
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.
Date:
(mm/dd/yy)
Final Disposition
Final Disposition (FD):
Name & Title: FD Auditor Comments: (Required if FD does not meet guideline) Supplier Evaluation Record Only (No On-Site Audit was completed): Emerson Proprietary 96251836.xls.ms_office
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.
Date:
(mm/dd/yy)
Check (x) if Final Disposition was based on Supplier Profile, Self-Audit & review of objective evidence only. This SelfAudit file should be maintained by the Division or SCO. Do NOT upload to the ESAC database.

Emerson Supplier Chain Audit

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Emerson Supplier Chain Audit

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INTENDED FOR USE WITH EXCEL 2003 OR 2007

Revision Level: ESAC 2008-06

Emerson Supplier Audit Checklist

Request ESAC Database Access

Sign-in to ESAC Database

Place Division Logo here

Sponsored by the Emerson Quality Council (Emerson Proprietary)

Emerson Proprietary 96251836.xls.ms_office

Date Printed: 5/9/2012

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

Workbook Compatibility with Older Excel Versions

ESAC Help Request

Emerson Proprietary 96251836.xls.ms_office

Date Printed: 5/9/2012

Emerson Proprietary 96251836.xls.ms_office

Date Printed: 5/9/2012

Language Selection Instruction

Language Selection Buttons

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Company Confidential 96251836.xls.ms_office Language

Date Prined: 5/9/2012

Supplier to complete light-green cells

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Emerson Supplier Audit Checklist

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Date Printed: 5/9/2012

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Emerson Audit Team Last Name

Supplier Personnel Last Name

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Date Printed: 5/9/2012

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Emerson to complete light-yellow cells Not Verified Not Applicable

STANDARD CHECKLIST 0-Jan-00

Supplier SelfAudit SCORE

On-Site Audit SCORE

After CAPA Verif. SCORE

AUDIT FINDINGS & OBSERVATIONS

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

Completion Date (mm/dd/yy)