Audit Charts

EMERSON: Complete the Audit Plan, choose language & hide tabs

Click here to Choose Language Current Language In Use: English

as appropriate prior to sending ESAC to supplier.

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 Tab Selection

Revision Level: ESAC 2008-06

Contents

Cannot Hide

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

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 Typical Audit Cycle

ESAC Workbook provides a means to upload audit results, corrective actions and audit team

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 Cannot Hide

to assist in making sourcing decisions. We believe you will find ESAC to be a valuable tool for This Tab

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 Prepare Workbook



training course and ESAC Scoring Guidelines. The "Auditing with ESAC" course provides REACH Compliance

experienced auditors with instructions on how to use the ESAC assessment tool and scoring

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. Cannot Hide

Audit Team Recommendation This Tab

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. Upload Audit Results to Database

c.) Read "Instructions" before using the ESAC Workbook.

d) You must be registered to the ESAC Database to upload audit data. Quick Links

Note: Use Excel 2003 or 2007 (or newer). Using Excel 2000 (or older) will cause malfunctions to occur.

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

Emerson Proprietary Contents

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Place Division Logo here







Sponsored by the Emerson Quality Council (Emerson Proprietary) Auditor Qualifications









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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.









Emerson Proprietary Contents

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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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For Administrator use only



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Y Select Unlocked cells

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Y Format columns

Y Format rows

N Insert columns

N Insert rows

N Insert hyperlinks

N Delete columns

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Y Use AutoFilter

N Use PivotTable report

Y Edit objects

N Edit scenarios









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Contents Language Currently In Use: English





Language

Available

Languages Language Selection Instruction Selection

Buttons

Chinese- 供应商指示： Chinese-Simple

中国简单

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



Chinese-

Chinese- 供应商指示：

中國傳統 Traditional

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



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“.



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

(Русско)

оценки".



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)









Company Confidential

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Contents Language Red text = Required English

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.

Emerson Supplier Audit Checklist

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.









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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.

Emerson Supplier Audit Checklist

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.



^ Annual Sales (USD)

^ Capacity/Year (Units)

^ Plant Size (total)

^ Actual Capacity

^ Total Employees

^ Management

^ QA Personnel

^ Direct Labor

^ Labor Union

^ Contract Expiration

Quality System Certification Status Quality System Certification Status

^ Quality Standard

^ Location Certified

^ Expiration Date

^ ISO / TS Registrar

^ Accreditation Body









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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.

Emerson Supplier Audit Checklist

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.



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 1 Are specifications reviewed and production methods established that ensure applicable

customer and regulatory requirements can be met on a consistent basis?



2 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 3 Is there a documented corrective action system in use that focuses on elimination of problem

root cause?

4 4 Are defined methodologies used to actively pursue cost containment and other continual

improvement activities? (e.g., Lean, Six Sigma, Kaizen, 5S, etc.)



5 5 Are control plans (or equivalent) maintained that show the process steps, key inspection

points, inspection/test method, sample size and frequency?



6 6 Are process capability studies, SPC or other statistical methods used to monitor and control

production processes?





7 7 Are documented methods used to qualify and approve machinery, process equipment,

inspection/test equipment and production tooling?



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

shipment and are records maintained?

9 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 10 Are the materials and parts produced in accordance with applicable environmental and

product safety regulations, laws and directives? (ie., RoHS, UL)









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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.

Emerson Supplier Audit Checklist

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.



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









Emerson Proprietary Supplier Profile & Audit Plan

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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.

Emerson Supplier Audit Checklist

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.



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

^

^

^

^

^









Hide

Hide



Emerson Proprietary Supplier Profile & Audit Plan

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Contents English 0 0 0

Supplier to complete Emerson to complete

Brown = Revised

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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

Instructions Findings Corrective Actions Scoring Guidelines

1.1 The quality system is Quality manual and all QS

1.0 QUALITY MANAGEMENT









documented, controlled, and procedures show revision

maintained to clearly describe control (sign-offs & dates),

current practice. Documented history of changes, quality

Bottom









procedures required. Records organization's responsibilities

required.









1.2 Quality reports, trend charts and Product quality yield data, top

data analysis identify areas of problems and corresponding

1.0 QUALITY MANAGEMENT









opportunity and are used by improvement actions, status of

management on a routine basis. preventive/corrective actions

Records required. taken, internal audit results

1









1.3 Quality performance targets are Strategic and tactical

MANAGEMENT









clearly defined, included in the objectives, goals, action plans,

1.0 QUALITY









business plan and monitored for etc.

2 improvements.







1.4 Executive management Analysis of field failures,

1.0 QUALITY MANAGEMENT









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

3 metrics. Records required.









2.1 Preventive actions are taken Management review meetings,

based on the analysis of goal setting, performance

2.0 CONTINUOUS IMPROVEMENT









significant business trends, design measurement, internal audits,

reviews, customer satisfaction action plans, customer surveys

surveys or other meaningful

inputs. Documented procedures

4 required. Records required.









Emerson Proprietary Std Checklist

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Supplier to complete Emerson to complete

Brown = Revised

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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

2.2 A formal approach is used to Employee involvement /

2.0 CONTINUOUS IMPROVEMENT









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

5 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 &

2.0 CONTINUOUS IMPROVEMENT









effective action to prevent cost analysis. Does CA system

recurrence. Documented cover customer, internal &

procedures required. Records supplier issues?

required.

6









3.1 The skill and education level Job descriptions, job skills

3.0 TRAINING & EDUCATION









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.

7









3.2 Employee qualification / Qualification records,

certification is maintained where certification history, etc.

3.0 TRAINING & EDUCATION









the quality outcome of the process

cannot be verified and is strongly

dependent upon operator skill.

8 Records required.









3.3 Suitable methods are used to Records of student testing,

verify training effectiveness. production quality records,

Records required. audit records, interview

3.0 TRAINING & EDUCATION









workers to validate training

records. Look for use of

training aids & work instructions

9 at work stations.









Emerson Proprietary Std Checklist

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Supplier to complete Emerson to complete

Brown = Revised

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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

4.1 The Occupation Health & Safety Procedure for OHS training,

4.0 OCCUPATIONAL HEALTH &









(OHS) management system communications, emergency

addresses the safety of personnel preparedness and response,

without comprising the monitoring and performance

achievement of product quality measurements

SAFETY









10 requirements.









4.2 The Occupation Health & Safety Policies and procedures, health

4.0 OCCUPATIONAL HEALTH &









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

organization’s health and safety rate improvement history, etc.

objectives and management's

SAFETY









commitment to continual

11

improvement of OHS metrics.









4.3 Procedures are used for the on- Safety committee or group

4.0 OCCUPATIONAL

HEALTH & SAFETY









going identification of hazards, the meeting minutes, accident

assessment of risks, and the investigation reports, safety

12 implementation of necessary audit reports

control measures.







5.1 Customer needs and Market studies, customer/end-

requirements are incorporated into user surveys, technical design

5.0 DESIGN DEVELOPMENT &









product designs and/or reviews, mfg process capability

manufacturing processes. Critical- studies, formal process

to-Quality (CTQ) characteristics qualification plan,

SUPPORT









are identified and understood. manufacturing verification

13

Records required. tests, pilot runs, etc.

5.0 DESIGN DEVELOPMENT









5.2 Product specifications and Complete product

drawings are generated, characteristics, application

controlled and maintained for new requirements, and other

& SUPPORT









or changed product designs. information essential for its

14 Records required. safe and proper use and

eventual disposal, etc.









Emerson Proprietary Std Checklist

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Supplier to complete Emerson to complete

Brown = Revised

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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

5.3 Design validation is an integral Design results,

part of the design process and manufacturability, productivity

5.0 DESIGN DEVELOPMENT & SUPPORT









occurs prior to production release. and cost studies, confirmation

Records required. that product fulfills its specified

requirements or intended use

or applications, design-FMEA,

etc.

15









5.4 Human and technical resources Qualification of technical staff.

5.0 DESIGN DEVELOPMENT &









are adequate to meet Emerson’s Equipment/software

requirements for design capabilities; CAD, PRO-E, etc.

collaboration, tooling design and

SUPPORT









electronic drawing and data

16 exchange.

6.0 QUALITY PLANNING









6.1 Production samples are inspected Completed PPAP or similar

and provided to customers upon forms, inspection reports,

request. Records required. availability of qualified

17 resources









6.2 Customer production Procedures, design / process

requirements and quality review minutes, FMEA's, mfg

specifications are reviewed to capacity plans, resource plans

6.0 QUALITY PLANNING









ensure they can be met on a that address all product test,

consistent basis. Records storage, packaging and

required. shipment requirements

Bottom









6.3 Reliability test plans are Reliability test plans, test

developed and routinely followed. reports,

Testing is used to verify design improvement/corrective actions

6.0 QUALITY PLANNING









spec's, drive design taken, design changes

improvements and provide an on- implemented

going check of materials and

Top workmanship. Documented

procedures required. Records

required.









Emerson Proprietary Std Checklist

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Supplier to complete Emerson to complete

Brown = Revised

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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

6.4 Product reliability test data is Reliability test summary

available upon request and reports/charts

6.0 QUALITY PLANNING









historical test performance data

shows a highly stable process and

product design. Records required.

1









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,

2

PPAP.









7.2 Current process control Customer specifications,

documents are in place and used engineering drawings, change

for production start-up and notices, work instructions and

7.0 DRAWINGS &

SPECIFICATIONS









continuing production. specifications as applicable.

Documented procedures required.

3









7.3 Customer notification / approval Customer notification

occurs for changes to Control procedure on major changes &

7.0 DRAWINGS & SPECIFICATIONS









Plans, manufacturing site, product compliance to Jedec standards

transfers, raw material or product JESD 46 and JESD 48 (or

obsolescence. Records required. equivalent, if app.). Signed

material / process change

4 requests. Customers are

notified of RoHS compliance

status change.

7.0 DRAWINGS & SPECIFICATIONS









7.4 Quality records are maintained. A Procedures, list of records to

record control system is in place be kept with retention periods

for the identification, storage, specified

protection, retrieval, retention

time, and disposition of quality

5 records.









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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

8.1 A formal process is used for the Supplier quality system audits

selection, qualification and re- and related corrective actions,

8.0 PROCUREMENT









qualification of suppliers. Records engineering testing and

required. approval records, plant

production trials

6









8.2 Purchases from unapproved ASL, procedures for control

8.0 PROCUREMENT









suppliers are prevented by a and use of ASL, production

properly controlled and available material receipt records

7 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

8 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

8.0 PROCUREMENT









defined specifications and of Compliance (COC),

applicable regulatory or customer component marking, labeling,

requirements. Records required. etc.

9









8.5 A system exists for the Procedures, segregation during

identification, verification and storage, limited and controlled

8.0 PROCUREMENT









protection of customer supplied access to stored inventories

product that includes notifying the

customer if product is damaged or

10

lost. Records required.









9.1 Receiving inspection is performed Procedures, inspection

9.0 INCOMING









per documented procedures and instructions resources

MATERIAL









detailed work instructions. (manpower and equipment)

11 Records required. allocated for incoming

inspection









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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

Inspected material is adequately Quality Control label, marking

9.0 INCOMING MATERIAL









9.2

identified as to acceptance or or use of designated hold area

rejection and traceable to as indicated in the procedure

receiving inspection report.

12

Records required.









9.3 Supplier corrective action Availability of written procedure,

requests require root cause standardized Corrective Action

9.0 INCOMING MATERIAL









investigation and records show form, analysis of corrective

responses are analyzed. action cycle time and closure

Documented procedures required. measurements

Records required.

13









10.1 There is a formal method used to Qualification plan that includes

10.0 MANUFACTURING QUALITY









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.

14









10.2 Control Plans are used to plan and Process flow diagram,

deploy inspection and test statistical tools to be used, key

10.0 MANUFACTURING QUALITY









functions throughout the inspection points, inspection

production process. frequency, records, control

responsibility, inspection/test

method, gaging used,

15 acceptable yield rates









10.3 Appropriate work instructions are Sample size, frequency,

10.0 MANUFACTURING









available where needed that method, document control

accurately describe all work dates/revision level, etc.

methods including inspections and Handling procedures for

QUALITY









16 tests to be done during Electro-Static Discharge

production. (ESD), RoHS compliant

materials & other process

conditions.









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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

10.4 Appropriate inspections, tests and Records of inspections

10.0 MANUFACTURING QUALITY









process adjustments are made performed at incoming, first

per applicable work instructions to piece, in-process and/or final

verify conformance at key points inspection or test. Capability

throughout the process and prior study, material test, RoHS and

17 to 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

QUALITY

Bottom









production process. Records areas.

required.

10.0 MANUFACTURING QUALITY









10.6 Customers are notified of low yield Corrective actions, records of

production lots or issues that customer notifications,

affect product reliability. reliability test data, etc.

Documented procedures required.

Records required.

Top









11.1 Key part characteristics and Histograms, run charts, SPC

process parameters are reviewed charts, pareto analysis, cause

11.0 PROCESS CONTROL









and statistically based controls & effect diagrams, DOE,

and/or problem solving tools are mistake proofing, documented

used to control variation. reaction plan & process

1 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.

2









11.3 Process capability is measured Documented process

PROCESS CONTROL

11.0 STATISTICAL









and actions are taken to maintain capability studies and results

established minimum Cpk/Ppk (actual vs target Cpk/Ppk)

3 targets.









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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

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









Documented procedures required.

4

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









Documented procedures required.

MATERIAL









Records required.

12.0









5









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

MATERIAL









requirements. Records required.

6









12.3 Use of nonconforming material is Written procedure, waiver or

12.0 NONCONFORMING









documented under a formal concession records

waiver or concession system.

MATERIAL









7 Records required.









12.4 Product traceability is maintained Serial number records, lot

12.0 NONCONFORMING MATERIAL









(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.

Documented procedures required. Look for mixing of RoHS

Records required. compliant & non-compliant

8

materials.









12.5 There is a positive recall system Documented procedure and

to notify customers of review of system

12.0 NONCONFORMING









nonconforming product that has

already been shipped. Records

MATERIAL









required.

9









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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

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

10 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

13.0 MEASUREMENT EQUIPMENT









required. inventory, location & status

records, etc.







11









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.

EQUIPMENT









regulatory body or agency.

Records required.

12









13.4 Assessments are made to check Assessment records,

the validity of previous corrective actions, etc.

13.0 MEASUREMENT









measurements done on products

EQUIPMENT









where out-of-calibration measuring

devices were used. Records

13

required.









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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

13.5 Appropriate controls are in place Verification methods and

to verify the suitability and records, revision levels,

13.0 MEASUREMENT EQUIPMENT









accuracy of computer software distribution/use control, etc.

prior to initial use in checking

product quality or control of

processes. Software is re-verified

when revised. Records required.

14









14.1 Tools are stored in an appropriate, Review of storage area,

14.0 PREVENTIVE MAINTENANCE









clearly defined area, with labeling, tooling records

systematic tracking that provide

traceability, particularly of

customer-owned tools and

15 equipment. Records required.









14.2 A formal Preventive Maintenance Review of system, PM plans,

14.0 PREVENTIVE

MAINTENANCE









system exists for production PM schedule and compliance

equipment, tools and fixtures. results

16









14.3 Preventive Maintenance schedule No equipment, tools, or fixtures

14.0 PREVENTIVE MAINTENANCE









is followed. Product cannot be are in use that are outside TPM

made with tools that are outside of schedule, or have unclear

maintenance period. Performance status

is audited

17









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

15.0 ENVIRONMENTAL









improvement and pollution

prevention.

Bottom









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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

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

15.0 ENVIRONMENTAL









are no outstanding, unresolved sensitive activities w/ list of

violations of these regulations. mtl's and areas where used,

tracking of hazardous mtl's or

Top waste.









15.3 A system is in place to minimize Record of purchases, waste

the use, disposal and emissions of stream and consumption;

15.0 ENVIRONMENTAL









hazardous chemicals and to inventory control procedures.

ensure that Class I ozone

depleting chemicals are not used

1 in the manufacturing process.









15.4 An on-going emphasis is placed Records/use of; non-hazardous

on using materials that are; (RoHS/WEEE compliant)

compliant with applicable materials in production,

15.0 ENVIRONMENTAL









regulations like RoHS & WEEE, biodegradable materials,

biodegradable, recyclable, re- returnable containers or

usable, reduces pollutant packaging, recycling program,

2 emissions at the point of 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

16.0 STORAGE & PACKAGING









are properly stored and readily of 5S/6S principles (Sort, Set-in-

available for use. Lighting and air order, Shine, Standardize,

quality are adequate. Sustain + Safety)

3









16.2 Proper equipment and methods Observe handling and transit of

are used to prevent product raw material, work-in-process,

16.0 STORAGE &

PACKAGING









damage or loss in all phases of and finished goods.

4 the material handling process.









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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

16.3 Documented procedures are FIFO practices are defined,

16.0 STORAGE & PACKAGING









followed to ensure proper control packaging specifications, test

and preservation of handling, results, handling and storage

storage (FIFO), packaging, and procedures.

delivery of product.

5









16.4 Suitability of product packaging is Technical review,

16.0 STORAGE & PACKAGING









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.

6 Records required.









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).

16.0 STORAGE & PACKAGING









documented procedures. Look for poor storage

conditions & damage (e.g., rust

or water damage). Handling

procedures for Electro-Static

7 Discharge (ESD) & other

sensitive conditions.









16.6 Contingency plans have been Process covering utility

developed that describe actions to interruptions, labor shortages,

16.0 STORAGE & PACKAGING









be taken in the event of a major key equipment failures, major

interruption of the manufacturing production issues.

process.



8









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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

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

9 manufacturing controls, management support.

declaration of compliance and

records.









17.2 Technical & customer Records, plans, updates,

17.0 RESTRICTION OF



SUBSTANCES (RoHS)









requirements for RoHS presentations, meeting

HAZARDOUS









compliance are reviewed and minutes.

communicated prior to production

10

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.

(RoHS)









11 commodity and/or manufacturing

process used.









17.4 Qualified personnel are available Training & education records.

17.0 RESTRICTION OF HAZARDOUS









to implement and sustain all Interview engineering,

aspects of RoHS compliance. technical, quality control

SUBSTANCES (RoHS)









personnel. Number of qualified

personnel is adequate to

12 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,

HAZARDOUS









and available where needed, e.g. XRF work instructions, QC

solder fillet, tin whiskers.. audits, etc. Ref to Jedec/IPC

13

Joint publication JP-002.









17.6 Test methods and acceptance Acceptance limits do not

17.0 RESTRICTION OF



SUBSTANCES (RoHS)









limits follow recognized standards exceed RoHS limits.

HAZARDOUS









and RoHS requirements. References to recognized

standard test protocols, such

14

as, ISO, IEC, EPA.









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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

17.7 Incoming materials and finished RoHS testing procedure,

17.0 RESTRICTION OF HAZARDOUS









goods are periodically tested with sampling plan/frequency, test

appropriate equipment to confirm records. Use of XRF analyzer,

SUBSTANCES (RoHS)









RoHS compliance. Compliance atomic absorption analyzer, UV-

declarations and test records are VIS equipment, etc.. Qualified

maintained for a minimum of 5 independent chemical lab

15 years. w/A2LA accreditation or

equivalent









17.8 Effective identification and Documented procedures.

handling methods are in place to Observation of handling /

17.0 RESTRICTION OF HAZARDOUS









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

compliant items. materials and processes

16 versus non-RoHS. Look for

mixing of RoHS compliant &

non-compliant materials.









17.9 There are documented Observation of handling /

17.0 RESTRICTION OF HAZARDOUS









procedures in handling the labeling techniques in use.

screening, rework or refurbishing Production operators are aware

SUBSTANCES (RoHS)









of finished goods returned from in distinguishing RoHS

the field and customers. materials and processes

17 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

HAZARDOUS









status of RoHS compliance and compliance status by part

Bottom









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

Top verification.









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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

18.2 Responsibilities for REACH have Look for identification of an

18.0 REACH Compliance









been clearly defined and assigned individual or individuals (i.e..,

to appropriate personnel. naming an entire department is

not acceptable). Record the

1 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

2 established and followed.





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

place to communicate safe communication to customers of

18.0 REACH Compliance









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

3

contained in or on it's products. include Exposure Scenario

(ES) and/or Risk Management

Measures (RMM).







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

18.0 REACH Compliance









of Very High Concern (SVHC) that communication to Emerson of

exceed 0.1% wt./wt. the presence of SVHC, if

applicable. Traceability of

4 chemical identification.









5 Additional Findings

6 Req #

7 Req #

8 Req #

9 Req #

10 Req #

11 Req #

12 Req #

13 Req #

14 Req #

15 Req #

16 Req #

17 Req #

Req

Bottom #

Top Req #

1 Req #

2 Req #

3 Req #

4 Req #



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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

5 Req #

6 Req #

7 Req #

8 Req #

9 Req #

10 Req #

11 Req #

12 Req #

13 Req #

14 Req #

15 Req #









Not Applicable

After









Not Verified

Supplier On-Site CAPA

16 TOTAL SCORES FOR THIS CHECKLIST ONLY 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

17

"n/a" & "Not Verified"): 0 0 0 (date):

Maximum Total Score Available: 0 0 8100 8100 8100 Emerson Audit Leader (name & title):

Top Standard Checklist Score: 0% 0% 0% Supplier QA Representative (name & title):

Dates: CA-PA Verification & Finding Closure Date:

Top Top

SCORING GUIDELINES

. Supplier to use scoring instructions below when assigning

.

.

Supplier Self-Audit Score.

. Scoring Instructions for Supplier Self-Audit:

.

.

. Based on knowledge of your quality system, select score that best

.

describes level of compliance to the Requirement. If Requirement

.

. does not apply, place "x" in the "Not Applicable" column. Note that

0 = REQUIREMENT NOT ADDRESSED

.

.

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

.

.

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

.

progress

.

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

.

CA required

.

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

.

CA required

.

. 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

.

.

. 60 = SOME NON-COMPLIANCES; Corrective action required

.

.



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STANDARD CHECKLIST









Not Verified

Applicable

Supplier

0-Jan-00 Supplier Self- On-Site After CAPA CA-PA Completion

Audit Audit Verif. AUDIT FINDINGS & Req'd? Date









Not

Requirements Typical Objective Evidence SCORE SCORE SCORE OBSERVATIONS (Y / N) (mm/dd/yy) Status

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

.

CA required

.

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

.

CA required

.

. 100 = NO NON-COMPLIANCES; Excellent / Highly commendable

.

.

. 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 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

.

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

.

effectiveness

.

. Supplier to return the completed ESAC Workbook to the Emerson

.

auditor by the date agreed upon.

.

. Supplier to provide documented objective evidence that each CAPA

.

has been implemented by the completion date specified.

.

.

. Emerson auditor to use scoring instructions below when

.

.

assigning the "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

.

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

.

CA required

.

Top









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Contents English

Supplier to complete Emerson to complete

Brown = Revised









Correct Row Order

light-green cells light-yellow cells



STANDARD CHECKLIST

0-Jan-00 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

Instructions Findings Corrective Actions Corrective Action Instructions Requirements

1.1 The quality system is Quality manual and all QS

1.0 QUALITY MANAGEMENT









documented, controlled, and procedures show revision

maintained to clearly describe control (sign-offs & dates),

current practice. Documented history of changes, quality

procedures required. Records organization's responsibilities

required. 1









1.2 Quality reports, trend charts and Product quality yield data, top

data analysis identify areas of problems and corresponding

1.0 QUALITY MANAGEMENT









opportunity and are used by improvement actions, status of

management on a routine basis. preventive/corrective actions

Records required. taken, internal audit results

2









1.3 Quality performance targets are Strategic and tactical

MANAGEMENT









clearly defined, included in the objectives, goals, action plans,

1.0 QUALITY









business plan and monitored for etc.

improvements. 3







1.4 Executive management Analysis of field failures,

1.0 QUALITY MANAGEMENT









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. 4









2.1 Preventive actions are taken Management review meetings,

based on the analysis of goal setting, performance

2.0 CONTINUOUS IMPROVEMENT









significant business trends, design measurement, internal audits,

reviews, customer satisfaction action plans, customer surveys

surveys or other meaningful

inputs. Documented procedures

required. Records required. 5









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Supplier to complete Emerson to complete

Brown = Revised









Correct Row Order

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STANDARD CHECKLIST

0-Jan-00 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

2.2 A formal approach is used to Employee involvement /

2.0 CONTINUOUS IMPROVEMENT









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 6

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 &

2.0 CONTINUOUS IMPROVEMENT









effective action to prevent cost analysis. Does CA system

recurrence. Documented cover customer, internal &

procedures required. Records supplier issues?

required.

7









3.1 The skill and education level Job descriptions, job skills

3.0 TRAINING & EDUCATION









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.

8









3.2 Employee qualification / Qualification records,

certification is maintained where certification history, etc.

3.0 TRAINING & EDUCATION









the quality outcome of the process

cannot be verified and is strongly

dependent upon operator skill.

Records required. 9









3.3 Suitable methods are used to Records of student testing,

verify training effectiveness. production quality records,

Records required. audit records, interview

3.0 TRAINING & EDUCATION









workers to validate training

records. Look for use of

training aids & work instructions

at work stations. 10









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Supplier to complete Emerson to complete

Brown = Revised









Correct Row Order

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STANDARD CHECKLIST

0-Jan-00 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

4.1 The Occupation Health & Safety Procedure for OHS training,

4.0 OCCUPATIONAL HEALTH &









(OHS) management system communications, emergency

addresses the safety of personnel preparedness and response,

without comprising the monitoring and performance

achievement of product quality measurements

SAFETY









requirements. 11









4.2 The Occupation Health & Safety Policies and procedures, health

4.0 OCCUPATIONAL HEALTH &









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

organization’s health and safety rate improvement history, etc.

objectives and management's

SAFETY









commitment to continual

improvement of OHS metrics. 12









4.3 Procedures are used for the on- Safety committee or group

4.0 OCCUPATIONAL

HEALTH & SAFETY









going identification of hazards, the meeting minutes, accident

assessment of risks, and the investigation reports, safety

implementation of necessary audit reports 13

control measures.







5.1 Customer needs and Market studies, customer/end-

requirements are incorporated into user surveys, technical design

5.0 DESIGN DEVELOPMENT &









product designs and/or reviews, mfg process capability

manufacturing processes. Critical- studies, formal process

to-Quality (CTQ) characteristics qualification plan,

SUPPORT









are identified and understood. manufacturing verification

14

Records required. tests, pilot runs, etc.

5.0 DESIGN DEVELOPMENT









5.2 Product specifications and Complete product

drawings are generated, characteristics, application

controlled and maintained for new requirements, and other

& SUPPORT









or changed product designs. information essential for its

Records required. safe and proper use and 15

eventual disposal, etc.









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Brown = Revised









Correct Row Order

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STANDARD CHECKLIST

0-Jan-00 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

5.3 Design validation is an integral Design results,

part of the design process and manufacturability, productivity

5.0 DESIGN DEVELOPMENT & SUPPORT









occurs prior to production release. and cost studies, confirmation

Records required. that product fulfills its specified

requirements or intended use

or applications, design-FMEA,

etc.

16









5.4 Human and technical resources Qualification of technical staff.

5.0 DESIGN DEVELOPMENT &









are adequate to meet Emerson’s Equipment/software

requirements for design capabilities; CAD, PRO-E, etc.

collaboration, tooling design and

SUPPORT









electronic drawing and data

exchange. 17

6.0 QUALITY PLANNING









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 18









6.2 Customer production Procedures, design / process

requirements and quality review minutes, FMEA's, mfg

specifications are reviewed to capacity plans, resource plans

6.0 QUALITY PLANNING









ensure they can be met on a that address all product test,

consistent basis. Records storage, packaging and

required. shipment requirements

19









6.3 Reliability test plans are Reliability test plans, test

developed and routinely followed. reports,

Testing is used to verify design improvement/corrective actions

6.0 QUALITY PLANNING









spec's, drive design taken, design changes

improvements and provide an on- implemented

going check of materials and

workmanship. Documented 20

procedures required. Records

required.









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Brown = Revised









Correct Row Order

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STANDARD CHECKLIST

0-Jan-00 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

6.4 Product reliability test data is Reliability test summary

available upon request and reports/charts

6.0 QUALITY PLANNING









historical test performance data

shows a highly stable process and

product design. Records required.

21









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. 22









7.2 Current process control Customer specifications,

documents are in place and used engineering drawings, change

for production start-up and notices, work instructions and

7.0 DRAWINGS &

SPECIFICATIONS









continuing production. specifications as applicable.

Documented procedures required.

23









7.3 Customer notification / approval Customer notification

occurs for changes to Control procedure on major changes &

7.0 DRAWINGS & SPECIFICATIONS









Plans, manufacturing site, product compliance to Jedec standards

transfers, raw material or product JESD 46 and JESD 48 (or

obsolescence. Records required. equivalent, if app.). Signed

material / process change

requests. Customers are 24

notified of RoHS compliance

status change.

7.0 DRAWINGS & SPECIFICATIONS









7.4 Quality records are maintained. A Procedures, list of records to

record control system is in place be kept with retention periods

for the identification, storage, specified

protection, retrieval, retention

time, and disposition of quality

records. 25









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Brown = Revised









Correct Row Order

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STANDARD CHECKLIST

0-Jan-00 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

8.1 A formal process is used for the Supplier quality system audits

selection, qualification and re- and related corrective actions,

8.0 PROCUREMENT









qualification of suppliers. Records engineering testing and

required. approval records, plant

production trials

26









8.2 Purchases from unapproved ASL, procedures for control

8.0 PROCUREMENT









suppliers are prevented by a and use of ASL, production

properly controlled and available material receipt records

Approved Supplier List (ASL). 27

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 28

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

8.0 PROCUREMENT









defined specifications and of Compliance (COC),

applicable regulatory or customer component marking, labeling,

requirements. Records required. etc.

29









8.5 A system exists for the Procedures, segregation during

identification, verification and storage, limited and controlled

8.0 PROCUREMENT









protection of customer supplied access to stored inventories

product that includes notifying the

customer if product is damaged or

lost. Records required. 30









9.1 Receiving inspection is performed Procedures, inspection

9.0 INCOMING









per documented procedures and instructions resources

MATERIAL









detailed work instructions. (manpower and equipment)

Records required. allocated for incoming 31

inspection









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Brown = Revised









Correct Row Order

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STANDARD CHECKLIST

0-Jan-00 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

Inspected material is adequately Quality Control label, marking

9.0 INCOMING MATERIAL









9.2

identified as to acceptance or or use of designated hold area

rejection and traceable to as indicated in the procedure

receiving inspection report.

Records required. 32









9.3 Supplier corrective action Availability of written procedure,

requests require root cause standardized Corrective Action

9.0 INCOMING MATERIAL









investigation and records show form, analysis of corrective

responses are analyzed. action cycle time and closure

Documented procedures required. measurements

Records required.

33









10.1 There is a formal method used to Qualification plan that includes

10.0 MANUFACTURING QUALITY









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.

34









10.2 Control Plans are used to plan and Process flow diagram,

deploy inspection and test statistical tools to be used, key

10.0 MANUFACTURING QUALITY









functions throughout the inspection points, inspection

production process. frequency, records, control

responsibility, inspection/test

method, gaging used,

acceptable yield rates 35









10.3 Appropriate work instructions are Sample size, frequency,

10.0 MANUFACTURING









available where needed that method, document control

accurately describe all work dates/revision level, etc.

methods including inspections and Handling procedures for

QUALITY









tests to be done during Electro-Static Discharge 36

production. (ESD), RoHS compliant

materials & other process

conditions.









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Brown = Revised









Correct Row Order

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STANDARD CHECKLIST

0-Jan-00 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

10.4 Appropriate inspections, tests and Records of inspections

10.0 MANUFACTURING QUALITY









process adjustments are made performed at incoming, first

per applicable work instructions to piece, in-process and/or final

verify conformance at key points inspection or test. Capability

throughout the process and prior study, material test, RoHS and

to shipment. Records required. other regulatory tests, etc. 37









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

QUALITY









production process. Records areas.

required. 38

10.0 MANUFACTURING QUALITY









10.6 Customers are notified of low yield Corrective actions, records of

production lots or issues that customer notifications,

affect product reliability. reliability test data, etc.

Documented procedures required.

Records required.

39









11.1 Key part characteristics and Histograms, run charts, SPC

process parameters are reviewed charts, pareto analysis, cause

11.0 PROCESS CONTROL









and statistically based controls & effect diagrams, DOE,

and/or problem solving tools are mistake proofing, documented

used to control variation. reaction plan & process

corrections. 40









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.

41









11.3 Process capability is measured Documented process

PROCESS CONTROL

11.0 STATISTICAL









and actions are taken to maintain capability studies and results

established minimum Cpk/Ppk (actual vs target Cpk/Ppk)

targets. 42









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Brown = Revised









Correct Row Order

light-green cells light-yellow cells



STANDARD CHECKLIST

0-Jan-00 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

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









Documented procedures required.

Records required. 43









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









Documented procedures required.

MATERIAL









Records required.

12.0









44









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

MATERIAL









requirements. Records required.

45









12.3 Use of nonconforming material is Written procedure, waiver or

12.0 NONCONFORMING









documented under a formal concession records

waiver or concession system.

MATERIAL









Records required. 46









12.4 Product traceability is maintained Serial number records, lot

12.0 NONCONFORMING MATERIAL









(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.

Documented procedures required. Look for mixing of RoHS

Records required. compliant & non-compliant

47

materials.









12.5 There is a positive recall system Documented procedure and

to notify customers of review of system

12.0 NONCONFORMING









nonconforming product that has

already been shipped. Records

MATERIAL









required.

48









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Brown = Revised









Correct Row Order

light-green cells light-yellow cells



STANDARD CHECKLIST

0-Jan-00 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

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. 49









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

13.0 MEASUREMENT EQUIPMENT









required. inventory, location & status

records, etc.







50









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.

EQUIPMENT









regulatory body or agency.

Records required.

51









13.4 Assessments are made to check Assessment records,

the validity of previous corrective actions, etc.

13.0 MEASUREMENT









measurements done on products

EQUIPMENT









where out-of-calibration measuring

devices were used. Records

52

required.









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Brown = Revised









Correct Row Order

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STANDARD CHECKLIST

0-Jan-00 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

13.5 Appropriate controls are in place Verification methods and

to verify the suitability and records, revision levels,

13.0 MEASUREMENT EQUIPMENT









accuracy of computer software distribution/use control, etc.

prior to initial use in checking

product quality or control of

processes. Software is re-verified

when revised. Records required.

53









14.1 Tools are stored in an appropriate, Review of storage area,

14.0 PREVENTIVE MAINTENANCE









clearly defined area, with labeling, tooling records

systematic tracking that provide

traceability, particularly of

customer-owned tools and

equipment. Records required. 54









14.2 A formal Preventive Maintenance Review of system, PM plans,

14.0 PREVENTIVE

MAINTENANCE









system exists for production PM schedule and compliance

equipment, tools and fixtures. results

55







14.3 Preventive Maintenance schedule No equipment, tools, or fixtures

14.0 PREVENTIVE MAINTENANCE









is followed. Product cannot be are in use that are outside TPM

made with tools that are outside of schedule, or have unclear

maintenance period. Performance status

is audited

56









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

15.0 ENVIRONMENTAL









improvement and pollution

prevention.



57









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Brown = Revised









Correct Row Order

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STANDARD CHECKLIST

0-Jan-00 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

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

15.0 ENVIRONMENTAL









are no outstanding, unresolved sensitive activities w/ list of

violations of these regulations. mtl's and areas where used,

tracking of hazardous mtl's or

waste. 58









15.3 A system is in place to minimize Record of purchases, waste

the use, disposal and emissions of stream and consumption;

15.0 ENVIRONMENTAL









hazardous chemicals and to inventory control procedures.

ensure that Class I ozone

depleting chemicals are not used

in the manufacturing process. 59









15.4 An on-going emphasis is placed Records/use of; non-hazardous

on using materials that are; (RoHS/WEEE compliant)

compliant with applicable materials in production,

15.0 ENVIRONMENTAL









regulations like RoHS & WEEE, biodegradable materials,

biodegradable, recyclable, re- returnable containers or

usable, reduces pollutant packaging, recycling program,

emissions at the point of use. packaging materials made of 60

recycled materials.









16.1 Areas around the facility are clean Observe production, office &

and orderly. Tools and equipment product storage areas for use

16.0 STORAGE & PACKAGING









are properly stored and readily of 5S/6S principles (Sort, Set-in-

available for use. Lighting and air order, Shine, Standardize,

quality are adequate. Sustain + Safety)

61









16.2 Proper equipment and methods Observe handling and transit of

are used to prevent product raw material, work-in-process,

16.0 STORAGE &

PACKAGING









damage or loss in all phases of and finished goods.

the material handling process. 62









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Correct Row Order

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STANDARD CHECKLIST

0-Jan-00 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

16.3 Documented procedures are FIFO practices are defined,

16.0 STORAGE & PACKAGING









followed to ensure proper control packaging specifications, test

and preservation of handling, results, handling and storage

storage (FIFO), packaging, and procedures.

delivery of product.

63









16.4 Suitability of product packaging is Technical review,

16.0 STORAGE & PACKAGING









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. 64









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).

16.0 STORAGE & PACKAGING









documented procedures. Look for poor storage

conditions & damage (e.g., rust

or water damage). Handling

procedures for Electro-Static

Discharge (ESD) & other 65

sensitive conditions.









16.6 Contingency plans have been Process covering utility

developed that describe actions to interruptions, labor shortages,

16.0 STORAGE & PACKAGING









be taken in the event of a major key equipment failures, major

interruption of the manufacturing production issues.

process.



66









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Brown = Revised









Correct Row Order

light-green cells light-yellow cells



STANDARD CHECKLIST

0-Jan-00 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

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, management support. 67

declaration of compliance and

records.









17.2 Technical & customer Records, plans, updates,

17.0 RESTRICTION OF



SUBSTANCES (RoHS)









requirements for RoHS presentations, meeting

HAZARDOUS









compliance are reviewed and minutes.

communicated prior to production

start-up. 68









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.

(RoHS)









commodity and/or manufacturing 69

process used.









17.4 Qualified personnel are available Training & education records.

17.0 RESTRICTION OF HAZARDOUS









to implement and sustain all Interview engineering,

aspects of RoHS compliance. technical, quality control

SUBSTANCES (RoHS)









personnel. Number of qualified

personnel is adequate to

prevent unacceptable delays. 70









17.5 RoHS technical requirements and Test methods/procedures, tin

17.0 RESTRICTION OF



SUBSTANCES (RoHS)









inspection criteria are documented whisker analysis instructions,

HAZARDOUS









and available where needed, e.g. XRF work instructions, QC

solder fillet, tin whiskers.. audits, etc. Ref to Jedec/IPC

Joint publication JP-002. 71









17.6 Test methods and acceptance Acceptance limits do not

17.0 RESTRICTION OF



SUBSTANCES (RoHS)









limits follow recognized standards exceed RoHS limits.

HAZARDOUS









and RoHS requirements. References to recognized

standard test protocols, such

as, ISO, IEC, EPA. 72









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Correct Row Order

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STANDARD CHECKLIST

0-Jan-00 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

17.7 Incoming materials and finished RoHS testing procedure,

17.0 RESTRICTION OF HAZARDOUS









goods are periodically tested with sampling plan/frequency, test

appropriate equipment to confirm records. Use of XRF analyzer,

SUBSTANCES (RoHS)









RoHS compliance. Compliance atomic absorption analyzer, UV-

declarations and test records are VIS equipment, etc.. Qualified

maintained for a minimum of 5 independent chemical lab

years. w/A2LA accreditation or 73

equivalent









17.8 Effective identification and Documented procedures.

handling methods are in place to Observation of handling /

17.0 RESTRICTION OF HAZARDOUS









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

compliant items. materials and processes

versus non-RoHS. Look for 74

mixing of RoHS compliant &

non-compliant materials.









17.9 There are documented Observation of handling /

17.0 RESTRICTION OF HAZARDOUS









procedures in handling the labeling techniques in use.

screening, rework or refurbishing Production operators are aware

SUBSTANCES (RoHS)









of finished goods returned from in distinguishing RoHS

the field and customers. materials and processes

versus non-RoHS. 75

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

HAZARDOUS









status of RoHS compliance and compliance status by part

the declarations for each part number & declarations to

number effected. customers. 76









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. 76









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Brown = Revised









Correct Row Order

light-green cells light-yellow cells



STANDARD CHECKLIST

0-Jan-00 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

18.2 Responsibilities for REACH have Look for identification of an

18.0 REACH Compliance









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 76

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. 76





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

place to communicate safe communication to customers of

18.0 REACH Compliance









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 76

(ES) and/or Risk Management

Measures (RMM).







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

18.0 REACH Compliance









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. 76









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Correct Row Order

light-green cells light-yellow cells



STANDARD CHECKLIST

0-Jan-00 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

Req #

Req #

Req #

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Req #









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:

p Standard Checklist Score: Reviewed by (EMR name & title):

Dates: Date Supplier CA-PA Plan Reviewed:

SCORING GUIDELINES Top



Supplier to use scoring instructions below when assigning

Supplier Self-Audit Score.

Scoring Instructions for Supplier Self-Audit:



Based on knowledge of your quality system, select score that best

describes level of compliance to the Requirement. If Requirement

does not apply, place "x" in the "Not Applicable" column. Note that

0 = REQUIREMENT NOT ADDRESSED



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



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

progress

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

CA required

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

CA required

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



60 = SOME NON-COMPLIANCES; Corrective action required





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Supplier to complete Emerson to complete

Brown = Revised









Correct Row Order

light-green cells light-yellow cells



STANDARD CHECKLIST

0-Jan-00 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

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

CA required

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

CA required

100 = NO NON-COMPLIANCES; Excellent / Highly commendable



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 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

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

effectiveness

Supplier to return the completed ESAC Workbook to the Emerson

auditor by the date agreed upon.

Supplier to provide documented objective evidence that each CAPA

has been implemented by the completion date specified.



Emerson auditor to use scoring instructions below when

assigning the "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

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

CA required x

Top









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Contents English Hide >> > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > > 70

Conditionally

Acceptable or

Not Acceptable / Not Approved Conditionally

Acceptable / Approved

Approved









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