Audit Program for Inspection of Goods Business by xya58877

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									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




    Emerson Proprietary                                                                                                        Contents
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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.




      Emerson Proprietary                                                                                                                                                              Contents
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Emerson Proprietary                                                                                               Contents
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                                                                     N   Insert columns
                                                                     N   Insert rows
                                                                     N   Insert hyperlinks
                                                                     N   Delete columns
                                                                     N   Delete rows
                                                                     N   Sort
                                                                     Y   Use AutoFilter
                                                                     N   Use PivotTable report
                                                                     Y   Edit objects
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Emerson Proprietary                                                                                    Contents
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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
                Русско
                           Заполните поля выделенные светло зеленым на листе План проверки и Профиль Поставщика и Программма оценки                                 Русско
                                                             :                                                                                        .           Russian
 Russian
                                           ,                      -                  "                                         " "                       ".       (        )


                           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
25448673-415f-44f2-a140-5b5eb794bd7f.xls Language                            Date Prined: 1/20/2012                                                                   Page: 11 of 83
  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.




Emerson Proprietary                                                                                                                  Supplier Profile & Audit Plan
25448673-415f-44f2-a140-5b5eb794bd7f.xls                         Date Printed: 1/20/2012                                                         Page: 12 of 83
                                                                     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




Emerson Proprietary                                                                                                                  Supplier Profile & Audit Plan
25448673-415f-44f2-a140-5b5eb794bd7f.xls                         Date Printed: 1/20/2012                                                         Page: 13 of 83
                                                                             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)




     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.

                                                                             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
                                                                  light-green cells                    light-yellow cells

                                                          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
           1.0 QUALITY




                                                        clearly defined, included in the         objectives, goals, action plans,
2
                                                        business plan and monitored for          etc.
                                                        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
                                                       25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                            Date Printed: 1/20/2012                                                            Page: 17 of 83
                                                 Supplier to complete               Emerson to complete
    Brown = Revised
                                                   light-green cells                  light-yellow cells

                                           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.




                                        Emerson Proprietary                                                                                                                                                                                               Std Checklist
                                        25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                         Date Printed: 1/20/2012                                                       Page: 18 of 83
                                                 Supplier to complete                Emerson to complete
     Brown = Revised
                                                   light-green cells                   light-yellow cells

                                           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
                                  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.
9




                                  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.




                                        Emerson Proprietary                                                                                                                                                                                                 Std Checklist
                                        25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                           Date Printed: 1/20/2012                                                       Page: 19 of 83
                                                            Supplier to complete               Emerson to complete
         Brown = Revised
                                                              light-green cells                  light-yellow cells

                                                      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
          5.0 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.



                                             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.
                                                    are adequate to meet Emerson’s        Equipment/software
          5.0 DESIGN DEVELOPMENT &




                                                    requirements for design               capabilities; CAD, PRO-E, etc.
                                                    collaboration, tooling design and
                                                    electronic drawing and data
                   SUPPORT




                                                    exchange.
16
          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




                                                   Emerson Proprietary                                                                                                                                                                                                  Std Checklist
                                                   25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                            Date Printed: 1/20/2012                                                       Page: 20 of 83
                                                     Supplier to complete              Emerson to complete
     Brown = Revised
                                                       light-green cells                 light-yellow cells

                                               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
                                      6.3    Reliability test plans are           Reliability test plans, test
                                             developed and routinely followed.    reports,
                                             Testing is used to verify design     improvement/corrective actions
                                             spec's, drive design                 taken, design changes
      6.0 QUALITY PLANNING




                                             improvements and provide an on-      implemented
                                             going check of materials and
                                             workmanship. Documented
Top                                          procedures required. Records
                                             required.




                                      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.




                                            Emerson Proprietary                                                                                                                                                                                            Std Checklist
                                            25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                      Date Printed: 1/20/2012                                                       Page: 21 of 83
                                                    Supplier to complete               Emerson to complete
    Brown = Revised
                                                      light-green cells                  light-yellow cells

                                              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
                                     7.4    Quality records are maintained. A     Procedures, list of records to
     7.0 DRAWINGS & SPECIFICATIONS




                                            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.
5




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




                                            properly controlled and available     material receipt records
                                            Approved Supplier List (ASL).
7                                           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




                                           Emerson Proprietary                                                                                                                                                                                                 Std Checklist
                                           25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                           Date Printed: 1/20/2012                                                       Page: 22 of 83
                                                  Supplier to complete               Emerson to complete
     Brown = Revised
                                                    light-green cells                  light-yellow cells

                                            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
                                   8.5    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


                                          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




                                         Emerson Proprietary                                                                                                                                                                                                 Std Checklist
                                         25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                           Date Printed: 1/20/2012                                                       Page: 23 of 83
                                                    Supplier to complete               Emerson to complete
         Brown = Revised
                                                      light-green cells                  light-yellow cells

                                               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
                                       10.2 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.

                                       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




                                          Emerson Proprietary                                                                                                                                                                                                 Std Checklist
                                          25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                           Date Printed: 1/20/2012                                                       Page: 24 of 83
                                             Supplier to complete              Emerson to complete
    Brown = Revised
                                               light-green cells                 light-yellow cells

                                        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
                                11.1 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.



                                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




                                   Emerson Proprietary                                                                                                                                                                                              Std Checklist
                                   25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                        Date Printed: 1/20/2012                                                       Page: 25 of 83
                                                 Supplier to complete              Emerson to complete
     Brown = Revised
                                                   light-green cells                 light-yellow cells

                                            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
                                    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




                                    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




                                       Emerson Proprietary                                                                                                                                                                                                Std Checklist
                                       25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                          Date Printed: 1/20/2012                                                       Page: 26 of 83
                                                 Supplier to complete               Emerson to complete
     Brown = Revised
                                                   light-green cells                  light-yellow cells

                                            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
                                    13.3 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,
      13.0 MEASUREMENT EQUIPMENT




                                         the validity of previous              corrective actions, etc.
                                         measurements done on products
                                         where out-of-calibration measuring
                                         devices were used. Records
13                                       required.




                                    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




                                         system exists for production          PM schedule and compliance
       MAINTENANCE




                                         equipment, tools and fixtures.        results
16




                                       Emerson Proprietary                                                                                                                                                                                              Std Checklist
                                       25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                        Date Printed: 1/20/2012                                                       Page: 27 of 83
                                                     Supplier to complete               Emerson to complete
         Brown = Revised
                                                       light-green cells                  light-yellow cells

                                                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
                                        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
          15.0 ENVIRONMENTAL




                                             and regulations and to continual
                                             improvement and pollution
Bottom




                                             prevention.




                                        15.2 There is an environmental             Records of agency/gov
                                             management system that ensures        inspection or certification, doc'd
                                             compliance to all applicable          procedures for measuring and
                                             government regulations and there      monitoring environmentally
          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.




                                           Emerson Proprietary                                                                                                                                                                                                  Std Checklist
                                           25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                            Date Printed: 1/20/2012                                                       Page: 28 of 83
                                              Supplier to complete               Emerson to complete
    Brown = Revised
                                                light-green cells                  light-yellow cells

                                        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
                                15.4 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.




                                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.




                                    Emerson Proprietary                                                                                                                                                                                                   Std Checklist
                                    25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                             Date Printed: 1/20/2012                                                       Page: 29 of 83
                                                   Supplier to complete               Emerson to complete
     Brown = Revised
                                                     light-green cells                  light-yellow cells

                                              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
                                      16.5 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




                                      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.




                                         Emerson Proprietary                                                                                                                                                                                                  Std Checklist
                                         25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                            Date Printed: 1/20/2012                                                       Page: 30 of 83
                                                    Supplier to complete             Emerson to complete
     Brown = Revised
                                                      light-green cells                light-yellow cells

                                              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
                                      17.4 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.




                                      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.




                                          Emerson Proprietary                                                                                                                                                                                             Std Checklist
                                          25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                       Date Printed: 1/20/2012                                                       Page: 31 of 83
                                                       Supplier to complete              Emerson to complete
         Brown = Revised
                                                         light-green cells                 light-yellow cells

                                                  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
                                          17.9 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.




                                          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).




                                              Emerson Proprietary                                                                                                                                                                                               Std Checklist
                                              25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                         Date Printed: 1/20/2012                                                       Page: 32 of 83
                                          Supplier to complete              Emerson to complete
     Brown = Revised
                                            light-green cells                 light-yellow cells

                                     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
                              18.5 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 #
 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:


                                 Emerson Proprietary                                                                                                                                                                                                                          Std Checklist
                                 25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                                Date Printed: 1/20/2012                                                                           Page: 33 of 83
                               Supplier to complete                Emerson to complete
    Brown = Revised
                                 light-green cells                   light-yellow cells

                         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
                                                                                                                                               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
.
.
.                      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
.

                      Emerson Proprietary                                                                                                                                                                                               Std Checklist
                      25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                         Date Printed: 1/20/2012                                                       Page: 34 of 83
                               Supplier to complete               Emerson to complete
    Brown = Revised
                                 light-green cells                  light-yellow cells

                         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
.                      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




                      Emerson Proprietary                                                                                                                                                                                             Std Checklist
                      25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                                       Date Printed: 1/20/2012                                                       Page: 35 of 83
             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
  1.0 QUALITY




                                              clearly defined, included in the         objectives, goals, action plans,
                                              business plan and monitored for          etc.
                                                                                                                                                                                                                                                                                                3
                                              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
                                              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




                                                Emerson Proprietary                                                                                                                                                                                                       Std Checklist
                                                25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                         Date Printed: 1/20/2012                                                                               Page: 36 of 83
                                            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
                              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




                                      Emerson Proprietary                                                                                                                                                                                             Std Checklist
                                      25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                Date Printed: 1/20/2012                                                                              Page: 37 of 83
                                           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
                             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




                             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.




                                     Emerson Proprietary                                                                                                                                                                                               Std Checklist
                                     25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                  Date Printed: 1/20/2012                                                                              Page: 38 of 83
                                                  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
 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.



                                    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.
                                          are adequate to meet Emerson’s        Equipment/software
 5.0 DESIGN DEVELOPMENT &




                                          requirements for design               capabilities; CAD, PRO-E, etc.
                                          collaboration, tooling design and
                                          electronic drawing and data
          SUPPORT




                                          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




                                            Emerson Proprietary                                                                                                                                                                                                Std Checklist
                                            25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                   Date Printed: 1/20/2012                                                                              Page: 39 of 83
                                               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
                                 6.3   Reliability test plans are           Reliability test plans, test
                                       developed and routinely followed.    reports,
                                       Testing is used to verify design     improvement/corrective actions
                                       spec's, drive design                 taken, design changes
 6.0 QUALITY PLANNING




                                       improvements and provide an on-      implemented
                                       going check of materials and
                                       workmanship. Documented
                                       procedures required. Records                                                                                                                                                                                                   20
                                       required.




                                 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.




                                         Emerson Proprietary                                                                                                                                                                                          Std Checklist
                                         25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                             Date Printed: 1/20/2012                                                                              Page: 40 of 83
                                               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
                                 7.4   Quality records are maintained. A     Procedures, list of records to
 7.0 DRAWINGS & SPECIFICATIONS




                                       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




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




                                       properly controlled and available     material receipt records
                                       Approved Supplier List (ASL).
                                       Records required.                                                                                                                                                                                                                   27




                                 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




                                         Emerson Proprietary                                                                                                                                                                                               Std Checklist
                                         25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                  Date Printed: 1/20/2012                                                                              Page: 41 of 83
                                            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
                              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


                                    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




                                      Emerson Proprietary                                                                                                                                                                                               Std Checklist
                                      25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                  Date Printed: 1/20/2012                                                                              Page: 42 of 83
                                           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
                              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.

                              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




                                     Emerson Proprietary                                                                                                                                                                                              Std Checklist
                                     25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                 Date Printed: 1/20/2012                                                                              Page: 43 of 83
                                         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
                            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



                            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




                                   Emerson Proprietary                                                                                                                                                                                           Std Checklist
                                   25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                              Date Printed: 1/20/2012                                                                              Page: 44 of 83
                                            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
                               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




                               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




                                      Emerson Proprietary                                                                                                                                                                                             Std Checklist
                                      25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                Date Printed: 1/20/2012                                                                              Page: 45 of 83
                                            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
                               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,
 13.0 MEASUREMENT EQUIPMENT




                                    the validity of previous              corrective actions, etc.
                                    measurements done on products
                                    where out-of-calibration measuring
                                    devices were used. Records
                                    required.                                                                                                                                                                                                                       52




                               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




                                    system exists for production          PM schedule and compliance
  MAINTENANCE




                                    equipment, tools and fixtures.        results
                                                                                                                                                                                                                                                                    55




                                      Emerson Proprietary                                                                                                                                                                                           Std Checklist
                                      25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                              Date Printed: 1/20/2012                                                                              Page: 46 of 83
                                            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
                               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
 15.0 ENVIRONMENTAL




                                    and regulations and to continual
                                    improvement and pollution
                                    prevention.
                                                                                                                                                                                                                                                                        57




                               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




                                      Emerson Proprietary                                                                                                                                                                                               Std Checklist
                                      25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                  Date Printed: 1/20/2012                                                                              Page: 47 of 83
                                          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
                            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




                            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




                                    Emerson Proprietary                                                                                                                                                                                                Std Checklist
                                    25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                   Date Printed: 1/20/2012                                                                              Page: 48 of 83
                                              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
                                 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




                                 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.




                                        Emerson Proprietary                                                                                                                                                                                               Std Checklist
                                        25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                  Date Printed: 1/20/2012                                                                              Page: 49 of 83
                                               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
                                 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




                                 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.




                                         Emerson Proprietary                                                                                                                                                                                          Std Checklist
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                                              Supplier to complete             Emerson to complete
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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
                                 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




                                 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).




                                         Emerson Proprietary                                                                                                                                                                                            Std Checklist
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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
                            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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                                 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:

                                   Emerson Proprietary                                                                                                                                                                                              Std Checklist
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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

                                       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

                  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

                    Emerson Proprietary                                                                                                                                                                                             Std Checklist
                    25448673-415f-44f2-a140-5b5eb794bd7f.xls                                                                Date Printed: 1/20/2012                                                                              Page: 53 of 83
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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
                  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




                    Emerson Proprietary                                                                                                                                                                                           Std Checklist
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             Contents                                                            English                                                             Hide >> << Hide
                                                      Supplier to complete                 Emerson to complete
Brown = Revised                                                                                                                                      Hide >> << Hide
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                                                STANDARD CHECKLIST                                                                                  Hide >> << Hide
                                                           0-Jan-00                                                                                  Hide >> << Hide

                                                                                                                                                     Hide >> << Hide
                                                        Requirements                   Typical Objective Evidence
                              Instructions                   Findings                         Corrective Actions                                     Hide >> << Hide
                                        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.                                                                                              Hide >> << Hide




                                        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
                                                                                                                                                     Hide >> << Hide




                                        1.3   Quality performance targets are          Strategic and tactical
 MANAGEMENT
  1.0 QUALITY




                                              clearly defined, included in the         objectives, goals, action plans,
                                              business plan and monitored for          etc.                                                          Hide >> << Hide
                                              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
                                              metrics. Records required.                                                                             Hide >> << Hide




                                        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.                                                                            Hide >> << Hide




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                                            Supplier to complete               Emerson to complete
Brown = Revised                                                                                                                         Hide >> << Hide
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                                      STANDARD CHECKLIST                                                                               Hide >> << Hide
                                                 0-Jan-00                                                                               Hide >> << Hide

                                                                                                                                        Hide >> << Hide
                                                Requirements              Typical Objective Evidence
                              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                                                                        Hide >> << Hide
                                    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.
                                                                                                                                        Hide >> << Hide




                              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.
                                                                                                                                        Hide >> << Hide




                              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.                                                                                   Hide >> << Hide




                                      Emerson Proprietary                                                                                      Std Checklist
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                                           Supplier to complete                Emerson to complete
Brown = Revised                                                                                                                          Hide >> << Hide
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                                     STANDARD CHECKLIST                                                                                 Hide >> << Hide
                                               0-Jan-00                                                                                  Hide >> << Hide

                                                                                                                                         Hide >> << Hide
                                               Requirements               Typical Objective Evidence
                             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.
                                                                                                                                         Hide >> << Hide




                             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.                                                                                         Hide >> << Hide




                             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.                                                                           Hide >> << Hide




                             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                                                  Hide >> << Hide
                                   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
                                                                                                                                         Hide >> << Hide
                                   Records required.                      tests, pilot runs, etc.




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                                                  Supplier to complete               Emerson to complete
Brown = Revised                                                                                                                                  Hide >> << Hide
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                                            STANDARD CHECKLIST                                                                                  Hide >> << Hide
                                                      0-Jan-00                                                                                   Hide >> << Hide

                                                                                                                                                 Hide >> << Hide
                                                    Requirements                Typical Objective Evidence
 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                                          Hide >> << Hide
                                                                                eventual disposal, etc.



                                    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.
                                                                                                                                                 Hide >> << Hide




                                    5.4   Human and technical resources         Qualification of technical staff.
                                          are adequate to meet Emerson’s        Equipment/software
 5.0 DESIGN DEVELOPMENT &




                                          requirements for design               capabilities; CAD, PRO-E, etc.
                                          collaboration, tooling design and
                                          electronic drawing and data
          SUPPORT




                                          exchange.
                                                                                                                                                 Hide >> << Hide
 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                                                        Hide >> << Hide




                                    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
                                                                                                                                                 Hide >> << Hide




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                                               Supplier to complete             Emerson to complete
Brown = Revised                                                                                                                         Hide >> << Hide
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                                         STANDARD CHECKLIST                                                                            Hide >> << Hide
                                                   0-Jan-00                                                                             Hide >> << Hide

                                                                                                                                        Hide >> << Hide
                                                  Requirements              Typical Objective Evidence
                                 6.3   Reliability test plans are           Reliability test plans, test
                                       developed and routinely followed.    reports,
                                       Testing is used to verify design     improvement/corrective actions
                                       spec's, drive design                 taken, design changes
 6.0 QUALITY PLANNING




                                       improvements and provide an on-      implemented
                                       going check of materials and
                                       workmanship. Documented
                                       procedures required. Records                                                                     Hide >> << Hide
                                       required.




                                 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.
                                                                                                                                        Hide >> << Hide




                                 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.                                                       Hide >> << Hide




                                 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.
                                                                                                                                        Hide >> << Hide




                                 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                                     Hide >> << Hide
                                                                            notified of RoHS compliance
                                                                            status change.




                                         Emerson Proprietary                                                                                   Std Checklist
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                                               Supplier to complete               Emerson to complete
Brown = Revised                                                                                                                              Hide >> << Hide
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                                         STANDARD CHECKLIST                                                                                 Hide >> << Hide
                                                   0-Jan-00                                                                                  Hide >> << Hide

                                                                                                                                             Hide >> << Hide
                                                  Requirements               Typical Objective Evidence
                                 7.4   Quality records are maintained. A     Procedures, list of records to
 7.0 DRAWINGS & SPECIFICATIONS




                                       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.
                                                                                                                                             Hide >> << Hide




                                 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
                                                                                                                                             Hide >> << Hide




                                 8.2   Purchases from unapproved             ASL, procedures for control
                                       suppliers are prevented by a          and use of ASL, production
 8.0 PROCUREMENT




                                       properly controlled and available     material receipt records
                                       Approved Supplier List (ASL).
                                       Records required.                                                                                     Hide >> << Hide




                                 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                                     Hide >> << Hide
                                                                             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.
                                                                                                                                             Hide >> << Hide




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                                            Supplier to complete               Emerson to complete
Brown = Revised                                                                                                                           Hide >> << Hide
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                                                0-Jan-00                                                                                  Hide >> << Hide

                                                                                                                                          Hide >> << Hide
                                                Requirements              Typical Objective Evidence
                              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.                                                                               Hide >> << Hide




                              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                                          Hide >> << Hide
                                                                          inspection


                                    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.                                                                                     Hide >> << Hide




                              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.
                                                                                                                                          Hide >> << Hide




                              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.
                                                                                                                                          Hide >> << Hide




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                                             Requirements                Typical Objective Evidence
                              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                                         Hide >> << Hide




                              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                                       Hide >> << Hide
                                   production.                           (ESD), RoHS compliant
                                                                         materials & other process
                                                                         conditions.

                              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.                                   Hide >> << Hide




                              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.                                                                                            Hide >> << Hide
 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.
                                                                                                                                        Hide >> << Hide




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                                           Requirements                Typical Objective Evidence
                            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.                                                Hide >> << Hide




                            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.
                                                                                                                                   Hide >> << Hide




                            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.                                                                                          Hide >> << Hide




                            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.                                                                                 Hide >> << Hide




                            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




                                                                                                                                   Hide >> << Hide




                            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.
                                                                                                                                   Hide >> << Hide




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                                              Requirements                Typical Objective Evidence
                               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.                                                                                   Hide >> << Hide




                               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
                                                                                                                                        Hide >> << Hide
                                                                          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.
                                                                                                                                        Hide >> << Hide




                               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.                                                                     Hide >> << Hide




                               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.



                                                                                                                                        Hide >> << Hide




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                                              Requirements                Typical Objective Evidence
                               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.
                                                                                                                                      Hide >> << Hide




                               13.4 Assessments are made to check         Assessment records,
 13.0 MEASUREMENT EQUIPMENT




                                    the validity of previous              corrective actions, etc.
                                    measurements done on products
                                    where out-of-calibration measuring
                                    devices were used. Records
                                    required.                                                                                         Hide >> << Hide




                               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.
                                                                                                                                      Hide >> << Hide




                               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.                                                                      Hide >> << Hide




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




                                    system exists for production          PM schedule and compliance
  MAINTENANCE




                                    equipment, tools and fixtures.        results
                                                                                                                                      Hide >> << Hide




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                                              Requirements                Typical Objective Evidence
                               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
                                                                                                                                          Hide >> << Hide




                               15.1 A documented environmental            Environmental policy statement
                                    policy exists that includes a         document
                                    commitment to comply with
                                    relevant environmental legislation
 15.0 ENVIRONMENTAL




                                    and regulations and to continual
                                    improvement and pollution
                                    prevention.
                                                                                                                                          Hide >> << Hide




                               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.                                                          Hide >> << Hide




                               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.                                                                         Hide >> << Hide




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                                           Requirements                  Typical Objective Evidence
                            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                                     Hide >> << Hide
                                                                         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)
                                                                                                                                         Hide >> << Hide




                            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.                                                                          Hide >> << Hide




                            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.
                                                                                                                                         Hide >> << Hide




                            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.                                                                                       Hide >> << Hide




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                                                Requirements                Typical Objective Evidence
                                 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                                         Hide >> << Hide
                                                                            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.

                                                                                                                                            Hide >> << Hide




                                 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.                                             Hide >> << Hide
                                      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
                                                                                                                                            Hide >> << Hide
                                      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)




                                      commodity and/or manufacturing                                                                        Hide >> << Hide
                                      process used.




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                                                Requirements               Typical Objective Evidence
                                 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.                                 Hide >> << Hide




                                 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.                                    Hide >> << Hide




                                 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
                                                                                                                                        Hide >> << Hide
                                                                           as, ISO, IEC, EPA.




                                 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                                      Hide >> << Hide
                                                                           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                                    Hide >> << Hide
                                                                           mixing of RoHS compliant &
                                                                           non-compliant materials.




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                                                Requirements               Typical Objective Evidence
                                 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.                                               Hide >> << Hide
                                                                           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.                                                     Hide >> << Hide




                                 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.                                                                                       Hide >> << Hide




                                 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                                        Hide >> << Hide
                                                                           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.                                                                           Hide >> << Hide



                                 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                                      Hide >> << Hide
                                                                           (ES) and/or Risk Management
                                                                           Measures (RMM).




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                                                                                                                                     Hide >> << Hide
                                          Requirements               Typical Objective Evidence
                            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.                                        Hide >> << Hide




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                                 TOTAL SCORES FOR THIS CHECKLIST ONLY


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

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                              0-Jan-00                                                                                Hide >> << Hide

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                            Requirements                 Typical Objective Evidence
                                       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

                  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

                    Emerson Proprietary                                                                                      Std Checklist
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                          Supplier to complete               Emerson to complete
Brown = Revised                                                                                                     Hide >> << Hide
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                    STANDARD CHECKLIST                                                                             Hide >> << Hide
                              0-Jan-00                                                                              Hide >> << Hide

                                                                                                                    Hide >> << Hide
                           Requirements                  Typical Objective Evidence
                  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
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                    Emerson Proprietary                                                                                    Std Checklist
                    25448673-415f-44f2-a140-5b5eb794bd7f.xls                             Date Printed: 1/20/2012        Page: 73 of 83
Contents      Note: Each Requirement must have a score or "n/a". Section & total score are negatively effected by "blank" cells. Use the Standard Checklist to enter scores.
                                           Emerson Supplier Audit Checklist                                    Supplier:

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




       Emerson Proprietary                                                                                                                                                       Audit Results
       25448673-415f-44f2-a140-5b5eb794bd7f.xls                                        Date Printed: 1/20/2012                                                                 Page: 74 of 83
                                     Emerson Supplier Audit Checklist                           Supplier:

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




     Emerson Proprietary                                                                                                                                          Audit Results
     25448673-415f-44f2-a140-5b5eb794bd7f.xls                           Date Printed: 1/20/2012                                                                 Page: 75 of 83
                                      Emerson Supplier Audit Checklist                                      Supplier:

                                              Audit Results                                        Commodity Family:
                                                                                                                                                                    Section Scores
Division;                                                     S.C. Org.:                                                                                Supplier       On-Site
                                                              Total         Mandatory      Req.      Supplier Self-     On-Site Audit    After CAPA    Self-Audit       Audit        After CAPA
               Standard Checklist Section                   Req'mnts       Req'ments (M)   No.       Audit SCORE          SCORE         Verif. SCORE    SCORE          SCORE        Verif. SCORE
                                                                                           17.1
 1.0        Quality Management                                  4              1           17.2
                                                                                           17.3
                                                                                           17.4
            Restriction of Hazardous Substances                                            17.5
17.0        (RoHS)                                             10              0
                                                                                           17.6
                                                                                           17.7
                                                                                           17.8
                                                                                           17.9
                                                                                           17.10
                                                                                           18.1
                                                                                           18.2
18.0        REACH Compliance                                    5              0           18.3
                                                                                           18.4
                                                                                           18.5
        Number of Requirements Possible (including RoHS):      81             27                          0%                0%              0%           MANDATORY REQUIREMENTS ONLY
                         Number of Requirements Audited:       0               0                                                                       STD REQUIREMENTS (Incl. Mandatory)
                                                                                                          0%                0%              0%         ADDITIONAL REQUIREMENTS
                                                                                                                                                                       Overall score is weighted
Revisions (shown in brown text):
                                                                                                                                                       OVERALL          average of Std Req's &
Added REACH Compliance section 18.0 and updated formulas.
                                                                                                                                                                       Additional Req's scores




     Emerson Proprietary                                                                                                                                                       Audit Results
     25448673-415f-44f2-a140-5b5eb794bd7f.xls                                      Date Printed: 1/20/2012                                                                   Page: 76 of 83
                                     Emerson Supplier Audit Checklist                                       Supplier:

                                             Audit Results                                         Commodity Family:
                                                                                                                                                                     Section Scores
Division;                                                   S.C. Org.:                                                                                   Supplier         On-Site
                                                           Total          Mandatory         Req.     Supplier Self-     On-Site Audit    After CAPA     Self-Audit         Audit        After CAPA
              Standard Checklist Section                 Req'mnts        Req'ments (M)      No.      Audit SCORE          SCORE         Verif. SCORE     SCORE            SCORE        Verif. SCORE
 AUDIT TEAM RECOMMENDATION & FINAL DISPOSITION
1.0  Quality Management                  4
Guidelines for Assigning Audit Team Recommendation 1 Final Disposition
                                                   &
   The Audit Team Recommendation (ATR) and Final Disposition (FD) are assigned by using the three guidelines below. These are guidelines only, not strict rules. The On-Site
   Overall Score, the total On-Site Mandatory Requirements Score and auditor experience are all taken into consideration when making the ATR and several additional factors
   are reviewed when Division management determines the FD.
      Example; Let's say the On-Site Overall Score is between 60 and 69 and the On-Site Mandatory Req's Score is less than 59. According to the guidelines the ATR should be
      "Not Acceptable", however the Auditor determines the ATR is "Conditionally Acceptable" and notes the reason in the Auditor Comment box. Then the Division management
      considers the audit scores, ATR and the Auditor's Comments when determining their FD. If the FD is "Conditionally Accept", then the Division (or Procurement Office) must
      verify the effectiveness of the supplier's corrective actions and develop an improvement plan to raise the supplier's scores above 70. This should take place prior to
      production, but circumstances may cause production to start before the corrections can be made. It is the Division's responsibility to take all necessary precautions to
      maintain product quality by adjusting their quality plan to offset the increased risk.
   In all cases, it is very important that Corrective Actions are verified to ensure the supplier has met the Requirement and the effected scores can be adjusted to 70% or
   above prior to production/shipping of Emerson part numbers. The Corrective Action follow-up is typically the responsibility of the Division that will be using the parts/materials.

             Guideline: If Total Mandatory Requirements Score AND On-Site Overall Score = 70 or Greater, then
             Audit Team Recommendation should be "Acceptable" and Final Disposition should be "Approved"
             Guideline: If Total Mandatory Requirements Score OR On-Site Overall Score = 60 to 69, then
             Audit Team Recommendation should be "Conditionally Acceptable" and Final Disposition should be "Conditional Approval"
             Guideline: If Total Mandatory Requirements Score OR On-Site Overall Score = 59 or Less, then
             Audit Team Recommendation should be "Not Acceptable" and Final Disposition should be "Not Approved"

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

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

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

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

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

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

     Emerson Proprietary                                                                                                                                                          Audit Results
     25448673-415f-44f2-a140-5b5eb794bd7f.xls                                     Date Printed: 1/20/2012                                                                       Page: 77 of 83
                                   Emerson Supplier Audit Checklist                            Supplier:

                                           Audit Results                              Commodity Family:
                                                                                                                                                        Section Scores
Division;                                         S.C. Org.:                                                                                Supplier       On-Site
                                                  Total         Mandatory      Req.     Supplier Self-     On-Site Audit    After CAPA     Self-Audit       Audit     After CAPA
              Standard Checklist Section        Req'mnts       Req'ments (M)   No.      Audit SCORE          SCORE         Verif. SCORE     SCORE          SCORE     Verif. SCORE
                                                                                  Graphic Depiction of ATR and FD Guidelines
 1.0        Quality Management                      4              1           <60                            60 - 70                                        >70
                                                                                                                           Conditionally
                                                                                                                           Acceptable or
                                                                Not Acceptable / Not Approved                              Conditionally
                                                                                                                                                Acceptable / Approved
                                                                                                                            Approved




     Emerson Proprietary                                                                                                                                          Audit Results
     25448673-415f-44f2-a140-5b5eb794bd7f.xls                          Date Printed: 1/20/2012                                                                  Page: 78 of 83
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Emerson Proprietary                                                    Audit Results
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Emerson Proprietary                                                    Audit Results
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Emerson Proprietary                                                    Audit Results
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Emerson Proprietary                                                    Audit Results
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