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Supplier Assessment Report
INFORMATION TO BE FILLED BY SUPPLIER INFORMATION TO BE FILLED BY NEWELL AUDITOR
Supplier General Information
Supplier name: Self Assessment Date:
Supplier address: (Manufacturing Facility) City : ST: Zip/Pin :
Country : Web Page
Remittance To address : City : ST: Zip code :
Country :
List of other locations :
Is there a signed Supplier Confidentiality Agreement in place? (Mark YES/ NO) NO DATE Existing GBU(s)
OR New
Supplier
Supplier
Is there a signed Product Safety Agreement in place? (Mark YES / NO) NO DATE Last Audit Last SA
Date Score
Supplier Contacts
Name Title Phone Number Cell Phone Email
Owner / President /M.D. /
General Manager
Operations Manager
Sales & Marketing Mgr.
(Newell Account)
Engineering Manager
Quality Manager
Management
Representative QMS
Facilities & Company Data (Attach detailed data as necessary)
Total Plant Area : Unit SQ Number of buildings :
METER
Sales last 3 Yrs : Last (Last- (Last -2) Private OR Public Owned Company :
(Thousand USD) Year 1) Year
Year
Total Employees : Employee Turn over %age : Total Temporary OR Contract Temp. Employee
Employee : Turnover %age :
Employee Representation Name of the Trade Strike history : NO Labor Union Contract
(Union/Welfare Committee) Union (Mark YES/NO) Validity :
Communication Top Opn Mkt Mgr Engg Mgr QA Mgr Engr Working Shift(s) Weekly Off Security Services
(English) Mgmt Mngr (1 / 2 / 3) Day(s): (Self/Outsource) :
Independently NO NO NO NO NO NO Exports Mj. Raw
Business
(Mark YES/NO) Material
%Age
Main & Sub
With Assistance YES YES YES YES YES YES Domestic Customer Suplr(s)
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Supplier Assessment Report
List any scheduled Annual Maintenance
shut downs or holidays :
Core Competencies
Describe in detail your
company's core
competencies.
Attach a detailed manufacturing
equipment list.
Development & Value Improvement Projects
Describe the Supplier’s
ability to contribute to new
product, design, and
prototype opportunities.
Active Continuous Improvement Program
Describe the Supplier’s
Continuous Improvement
Culture, including how
improvements are fostered
and maintained.
Supplier Name : Newell SA Date :
Element
Newell's
0 = No System 1 = Major Deficiencies 2 = Minor Deficiencies Self Assessment
Subsystem Assessment
Rating
Ratings : Rating
3 = Satisfactory 4 = Good with Proven Record of Continuous Improvement
Section 1: Management Responsibility
Quality Objectives and responsibilities are clearly stated, widely communicated, measured and understood throughout the
company. Management has appointed a full time dedicated and qualified resource to lead QMS in the company
1.1
Regularly scheduled management reviews occur. Customer Satisfaction remains a key measurement of effectiveness of Quality
Management System. Key Performance Indicators(KPI) like DPPM,Service Level, Customer Complaints are reviewed in
1.2 management review meetings and Corrective Action plan is developed / implemented/ verified.
Management has a "defect prevention" culture to achieve continuous quality improvement. Process Performance is measured
against the Quality objectives and investment opportunities are explored to support the process, consistently year over year.
1.3
Management has invested in appropriate resources to drive and maintain; Advanced Quality Planning , Corrective Action,
Continuous improvement, Training, Gauging, 5S, Lean, 6 Sigma and Preventative Maintenance.
1.4
Section 2: Focus 5 Tools
Metrics and systems are in place to drive and maintain quality improvements.
2.1
Tools, resources and management support necessary to drive year over year productivity improvements are in place and being
2.2 utilized
Supplier support Newell's Lead Time Expectations and has a plan in place to reduce it in future.
2.3
Metrics are in place to measure on time delivery. A process is in place to communicate to the customer, in advance, when the
2.4 possibility of missing a delivery exists. A contingency plan is part of the procedure in case supplier misses a ship date?
The supplier understands and supports the payment terms.
2.5
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Supplier Assessment Report
Section 3: Quality System
Quality System is clearly documented in the Quality Manual which follows ISO9001-2000 OR ISO/TS16949-2002 (TS-2) OR later
3.1
Advanced Quality Planning ensures compatibility of design, process, inspection, and test procedures together with applicable
3.2 documentation.
There is a system for first article sample submission that includes,FMEA, Control Plans, Gauge R&R, Capability studies and a
3.3 first article inspection report.
The Quality System defines Quality plans including identification of controls, processes, equipment, fixtures, resources and
3.4 skills, etc. Key Characteristics are clearly defined and effectively communicated through out the business.
The Quality System includes updating of Prints/Specifications, inspection and testing techniques and Quality system
3.5 documentation.
Employees are adequately trained and actively involved in APQP, Corrective actions, and Continuous improvement teams.
3.6 Company has procedures, and also training was provided to all related employees.
A formal system exists to manage change in the business, including notifying the customer of process, tooling, equipment and
3.7 material changes. Customer approval is required before change implementation.
Quality records are controlled and adequate to verify conformance to specification, conformance to operating procedures and
3.8 provide problem-solving evidence.
An effective Internal Auditing program is in place
3.9
Section 4: Purchasing
A formal supplier rating/ Supplier evaluation program exists inline with Newell's Supplier Assessment procedure and findings are
given due considerations while making a sourcing decision. Raw Material Supplier is also assessed with the same criteria
4.1
All purchased material requirements are adequately specified and enforced.
4.2
An effective supplier certification program exists and includes Quality, price, delivery, and service performance measures.
4.3
An effective procured material and services quality improvement program exists including sub-suppliers.
4.4
Supplier material certification is required and verified for all strategic materials used in production.
4.5
Supplier process/product change system is in place with the company being informed of changes.
4.6
4.7 Supplier has a process to do a best total cost analysis for any buy or make decisions
Adequate final auditing at the sub-supplier or receiving inspection at the supplier exists for key characterizes.
4.8
Section 5: Inspection and test- Process Control
A detailed Process Control Plan exists with well-identified process control steps, reaction plans and critical parameters identified.
5.1
Setup and operating parameters are documented and monitored during the production run.
5.2
Critical tooling (dies, molds, fixtures etc.) are verified prior to use and maintained appropriately.
5.3
Calibrated, variable gauging demonstrating an appropriate Gauge R&R and Precision to Tolerance (P/T), are used to control the
5.4 process and verify product conformance throughout the processes.
Supervisor or Operator is expected to initiate line stoppage when defective material is identified.
5.5
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Supplier Assessment Report
Tools and measures to control of Critical to Quality (CTQ) product and process parameters are implemented at appropriate level
5.6 and is being monitored periodically. Supplier maintains a list of Newell's assets e.g. Jigs, fixtures, tooling or special gauges and
equipments and provides fit to use certificate periodically.
In-process and final product is adequately identified and uniquely traceable to; materials used, equipment maintenance and
5.7 calibration.
Product Identification is adequate to clearly identify product in the event of defective material reaching our facilities.
5.8
A Multi Layered Process Audit Mechanism Exist to measure the process control effectiveness. Issues are identified and
5.9 improved/ recorded.
Section 6: Control of Test Equipment
A formal calibration program including; identification, calibration intervals, traceability, calibration method/equipment,
6.1 environment exists with fully documented calibration procedures and adequately trained resources.
Quality measurement and control equipment, including tools and fixtures that are used for inspection, are sufficient to assure
6.2 conformance to requirements.
Accuracy, Repeatability and Reproducibility of measuring devices and inspection or testing processes has been established and
6.3 is frequently reviewed for improvement? Note: Are gauge R&R studies conducted and are P/T ratios acceptable (< 10%)?
There is a documented procedure to initiate correlation studies between the supplier and their customers during product
6.4 development and/or manufacturing startup.
Calibration and preventative maintenance cycles are documented and on schedule.
6.5
Section 7: Control of Nonconforming Product
Suspected non-conforming products is adequately identified to prevent further use, moved out of the normal process flow when
7.1 possible, and recorded in a central database for management reporting
Non-conforming products is subjected to review by qualified, designated persons prior to introduction back into the normal
7,2 process flow?
Formal customer approval is required for product that meets form fit and function but is not at the typical level of Quality
7.3
Steps for dealing with non-conforming materials are set out in documented procedures with examples of tags, forms and reports.
7.4
Adequate steps are taken to prevent recurrence of non-conformity.
7.5
An effective process that identifies non-conformities and problems with a common source versus those that are a unique
7.6 occurrence is in place and widely implemented.
To prevent future recurrence of a given non-conformity, appropriate consideration is given to changing manufacturing, packing
7.7 or transit process and documentation is updated.
Section 8: Corrective and preventive Action
A formal corrective action system exist to assure effective closure and follow-up of customer and internal problems and
8.1 complaints. Is the same system used for both internal and customer corrective action?
An adequate containment action process exist to protect the customer while the corrective and preventative action is determined.
8.2
Root cause analysis and control plan updating is an integral part of the supplier’s corrective action system and the appropriate
8.3 levels of closed loop control are in place to verify that the root cause(s) have been identified and controls are effective?
When preventive measures are implemented, the effect is verified and monitored to ensure that the desired goals are being
8.4 met, Consistently. Process Audit includes the health of Error Proofing installed.
Permanent changes resulting from corrective action(s) are recorded in work instructions, manufacturing and test processes,
8.5 control plan, training documents etc.
The corrective and preventative action process is system based i.e. Are people targeted or are the various system/process
8.6 deficiencies addressed?
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Supplier Assessment Report
Section 9: Document Control
The supplier maintains a master list to avoid (preclude) use of invalid or obsolete documents.
9.1
Manufacturing, process and configuration documents are under issue control.
9.2
A Document change procedure that ensures the key users of documents are informed of changes and their comments are
9.3 considered in upcoming changes exists and is widely used.
The document control system ensures that the most current customer specifications are available to, and used by,
9.4 manufacturing personnel.
Section 10: Handling, Storage, Packaging, & Delivery
Work In Progress (WIP) is adequately identified as to its status, legibly and durably labeled and stored in an appropriate way.
10.1
The packaging of Work In Progress and completed product is adequate to safeguard mechanical shock, environmental damage
10.2 and damage within the plant?
Packaging is adequate to withstand environmental extremes throughout the entire process.
10.3
Final packaging is adequately labeled to ensure accurate selection and identification by stores personnel and by incoming
10.4 inspection at the customer.
The storage life of the product been established.
10.5
FIFO techniques in place and actively used.
10.6
Barcode printing is readily available to meet NWL requirements.
10.7
Section 11: Ethical Standard
The address of the supplier's facility is the same address as stated on Business License?
11.1
The lowest salary is in line with local limit, number on contract and actual paid. (include monthly, daily and hourly).
11.2
Personnel Records e.g. Appointment Letter with employee's acceptance, Copy of ID card, Photo, Join date, Age Verification
11.3 records are available
An assessment may be FAILED (Unsatisfactory or Denial or Cancelled) by a critical findings in areas child labor, forced labor,
corporal punishment, discrimination, human rights violations, illegal transshipments, bribery, and unsafe working conditions.
11.4 Supplier Ethical performance in above cited areas are clean and within local regulations
Employees are not prevented Or intimidated by supervisor / management for involvement in to union activities. In case union
does not exist worker's benefit committees are formed to address grievances and improve work conditions
11.5
For all the Employee's (Direct / Indirect ) actual working time record is kept and maintained with "In & Out" time recording.
11.6
Actual OT number exceeds the limit of daily and monthly OT hours stated in local labor law? The Max working hour and OT
11.7 hour per day, per week and per month are recorded.
Section 12: Environment Health and Safety
Fire-fighting equipments such as fire extinguisher and sprinkler are adequate in numbers and are available and maintained as
per legal and Fire safety requirements. All the areas including living area has Fire Control Measures. Periodic inspection of
12.1
these equipments are done to ensure its good condition for usage
The relevant PPE (personal protection equipment) such as safety gloves, safety glasses, masks, etc. is provided to employees.
12.2 Training on proper use of PPE is being imparted and is effective.
Discharge permit for sewage, waste water, air emission, open burning etc. are available with the factory
12.3
Factory has declared and is controlling usage of hazardous materials / wastes stored/used in factory（including but not limited
to chemical products, degreasers, corrosives, flammable or combustibles, fuels, solvents, paints, medication, oil , gas and etc.
12.4 A master list to record the inventory of hazardous materials or wastes is available and is revised periodically.
Supplier ensures proper and prescribed usage of hazardous materials/wastes stored. Supplier posses MSDS, leakage
prevention units (the secondary containers), proper Personal Protection Equipments for users. Compulsory safe handling and
12.5 first aid training is imparted to all the employees vulnerable to exposure to these chemicals.
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Supplier Assessment Report
Hazardous waste disposal is done as per recommendation of the local governmental norms. Use of authorized company for
waste disposal or ETP plant in-house is recommended to treat the water properly before releasing. Process Check performed at
12.6 ETP plant as per defined audit plan and a reaction plan exists
Environmental accidents prevention measures are part of safety training and emergency evacuation plan exists in each work
and living area.
12.7
Safety training is part of the QMS training calendar. Safety Training records are available for mock drill for Fire Fighting and Fire
12.8 Evacuation Plan and training is repeated many times a year to include all the employees
Section 13: Product Safety
Supplier has Manual about product integrity and procedures about product safety
13.1
Product safety and reliability test are being performed during new product development stage. Periodic monitoring after mass
13.2 production for all products is also being carried out.
Certificate of Compliance (COC) is periodically submitted to customer according to the agreed Quality Plan. Relevant test
13.3 reports are supplied along with COC
Supplier understands the Product Safety Requirements (PSR) related to their product catalog. Specific legal requirements and
13.4 regulations of the manufacturing and destination countries are included in the PSR
Supplier either has its own product testing capability and / or arrangements with an accredited outside laboratory for Heavy
13.5 Metal Testing in accordance to the relevant standards. Such a lab posses documented testing procedure, lists of equipment and
tests and can provide test certificate with clear traceability
Change of material, process or sub-supplier requires product safety test(s) to be performed to validate the change. All changes
13.6 and test results after validation are informed to customer.
The product safety requirements are considered and implemented in supplier's FMEA, control plan, PPAP procedure, risk
13.7 management and other related procedures as part of the preventive actions.
Product safety issue if detected automatically triggers a well defined contingency plan to immediately withdraw and/ r safe
contain out of control goods. The contingency plan is updated regularly and approved by the management team. The
13.8 contingency plan shall be communicated with relevant employees regularly.
A written procedure of product recall and traceability is in place to distinguish the affected lots from all lots produced. Supplier
13.9 can demonstrate the traceability to the level of shipment, PO, outer box, inner box or individual product.
Product safety awareness training provided to all the employees. Such training records are available and effectiveness is
13.10 verified periodically.
Section 14: Supply Chain Security Verification
Supplier understands the threat perception from global terrorism and is aware of local laws to comply for container security.
Supplier demonstrates his commitment to meet the intent of global security guidelines as per CTPAT. Supplier has qualified
14.1 security agency with trained personnel in this regard and has a written security service contract in place. Management has
appointed a security in charge to represent the managements responsibility in this aspect
Procedures, Instructions are in place to meet the requirements of Personnel Security expectations. Procedures are reviewed
periodically for any potential threat. The security organization structure is well defined for each aspect of security. E.g. Physical
14.2
Security, Personnel Security, Container Security, Data Access Control, Vehicle Parking
Company has CCTV(s) installed at least at Container Loading Point and Final Packaging Area, CCTV footage should be
14.3 recorded during working hours at least. Final Packaging Area has access control. Boundary walls surrounding the company has
height more than 8 feet and are well illuminated and watched at all the times
Container Integrity Verification Record as per written procedure is being created with pictures clearly showing the container
14.4 number for each shipment with clear traceability to the invoice no. and Security Seal Serial Number. Records are being
maintained and audited, about container seal intactness verification done by local customs.
A written contract in place between supplier and service provider for transport and shipping consolidation to define the role and
14.5 responsibilities to ensure compliance to CTPAT expectations. E.g. Change of route, Halts during transportation shall be reported
if exceeds unreasonable time period from normal travel duration.
A register Must be in place with Security Main gate for recording Name of Visitor, Purpose of Visit, Proof Of Identity (Business
Card, Driving License, ID Number), Time In & Out during normal working hours. All visitors must be well identified and their
14.6 access to Loading Unloading Area, Final Packaging area shall not be permitted with out accompany of authorized people
The Supplier has unannounced security audit and incident reporting mechanism. All security practice violation incidents are
attended in order to avoid the recurrence in future. Further Security Assessments results are reviewed during Management
14.7 Review Meeting.
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Supplier Assessment Report
Assessment Summary
Supplier Name: Newell SA Date :
Supplier Classification : Guidelines for Purchasing Decision / Next Assessment
Level 1 - Favorable/ONCE per 2 Year Level 2 - Favorable/ONCE per Year Level 3 - Unfavorable/ Within 1/2 Yr to reach L-2 Level 4
- Unfavorable/Next Chance ONLY after 2 Yrs.
Bonus Scoring Options
Total
Self Assessment Newell Assessment Total
Certification Status Valid up Bonus Elements Available
Total Points Points
to Points
ISO9001-2000 NO 0 1. Management Responsibility
/TS16949-2002 0 0 0
SA8000 / WMES NO 0 2. Focus 5 Tools
Audit Or Equal 0 0 0
OHSAS 18001- NO 0 3. Quality System
1999 0 0 0
ISO14000 NO 0 4. Purchasing
0 0 0
QC080000 NO 0 5. Inspection and Test
0 0 0
Focus Five Target Actual Bonus 6. Control of Test Equipment
0 0 0
DPPM (12month) <2500 0 7. Control of Nonconforming Product
0 0 0
SERVICE LEVEL >98% 0 8. Corrective Action
(12Months) 0 0 0
Lead Time(Days) 50 0 9. Document Control
(Committed) 0 0 0
DPO Performance 90 0 10. Handling, Storage, Packaging & Delivery
0 0 0
Productivity 5% 0 11. Ethical Standard
(%age of Spend) 0 0 0
12. Environment, Health And Safety
Total Bonus Benefit 0 0 0 0
13. Product Safety
Communication 0 0 0 0
14. Supply Chain Security Verification
0 0 0
Total Score= {(Total Points Gained + Bonus) / (Total Available Points)} 0 / 0 0 / 0 0
Approvals
Supplier Self Approvals
Management Representative -Supplier Approved on Sourcing Contact - Newell Self Approval Date
Newell Approvals
Auditor(s) Date GBU Function Important Instructions
Lead Quality 1) The purpose of this assessment is to establish supplier's commitment to
consistently deploy best quality management practices, increased accountability
Member1 towards society, Care for its employees, customer and nature.
2) A more detailed assessment for ES, EHS and CTPAT may be required to be done
Member2 if so desired by Newell's customers.
3) Result of this assessment does not necessarily confirms award of business
Member3 opportunity to supplier.
Final Assessment Result
Approved Conditionally Approved Not Approved SA CANCELLED
(Score >75%) (60%≦Score≦75%) (Score < 60%) (Zero in Section 11)
USE FORM IN NEXT WORKSHEET (Corrective Action needed for all Items with a score of 0 or 1)
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Control
SUPPLIER ASSESSMENT CORRECTIVE ACTION REPORT
Number
Supplier Name Assessment Date (X) Actual Date Contact Details
Auditee (Management Rep.) Required Submission Date (X+10days) Auditor
Lead Auditor Required Closure Date(X+60days) Auditee
Section Findings Action Proposed Key Date Status Review-1 (7 Days) Review-2 (20 Days)
1) Format Row Height to accommodate the text 2) Hide Blank rows before submitting to Newell
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Control
SUPPLIER ASSESSMENT CORRECTIVE ACTION REPORT
Number
Supplier Name Assessment Date (X) Actual Date Contact Details
Auditee (Management Rep.) Required Submission Date (X+10days) Auditor
Lead Auditor Required Closure Date(X+60days) Auditee
Section Findings Action Proposed Key Date Status Review-1 (7 Days) Review-2 (20 Days)
Page 9 Of 14 08068d12-6a40-4bd5-96a7-bf8db36b152c.xls
Control
SUPPLIER ASSESSMENT CORRECTIVE ACTION REPORT
Number
Supplier Name Assessment Date (X) Actual Date Contact Details
Auditee (Management Rep.) Required Submission Date (X+10days) Auditor
Lead Auditor Required Closure Date(X+60days) Auditee
Section Findings Action Proposed Key Date Status Review-1 (7 Days) Review-2 (20 Days)
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Control
SUPPLIER ASSESSMENT CORRECTIVE ACTION REPORT
Number
Supplier Name Assessment Date (X) Actual Date Contact Details
Auditee (Management Rep.) Required Submission Date (X+10days) Auditor
Lead Auditor Required Closure Date(X+60days) Auditee
Section Findings Action Proposed Key Date Status Review-1 (7 Days) Review-2 (20 Days)
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Appendix B
Supportive Information Submission Checklist
Information
Submission
Sharing
during
Audit
List of Documents for Submission
a. Business License, signed & with company seal Mandatory Mandatory
b. List of machine & equipments and List of Newell's Assets
Mandatory Mandatory
maintained by Supplier
c. List of Holidays Mandatory Preferred
d. Financial Results of past 2 years Mandatory Optional
e. Installed Capacity Assessment Preferred Optional
f. Last 12 months DPPM Performance Preferred Optional
g. Last 12 months Service Level Performance Preferred Optional
h. Letter for Lead Time Commitment Preferred Optional
i. Letter for Payment Terms with Newell Preferred Optional
j. Latest CDA signed & with company seal Mandatory Mandatory
k. Newell’s Product Safety Letter signed & with company seal Mandatory Mandatory
l. Latest list of Hazardous materials used in the plant. Mandatory Mandatory
l. Copies of Valid Management Certifications
1) QMS – ISO-9001-2000 OR ISO/TS 16949-2002 (TS-2) (Preferred to
have soft version of QMS manual sent to us before audit )
Preferred Optional
2) Social Accountability – SA8000 / Walmart's Ethical Assessment Report Preferred Optional
3) Environment, Health and Safety ISO 14000 Preferred Optional
4) Occupational Health & Safety OHSAS18001 Preferred Optional
5) Hazardous Material Management QC080000 Preferred Optional
Remarks (If any):
Issue :Feb'08 Rev- Aug'08
Check Box
Remarks If Any using drop
down list
o
o
o
o
o
o
o
o
o
o
o
o
o
o
o
o
o
o
Always use Pictures formated with
MUST provide Pictures as a Objective Evidence compressed mode
SN Element Or Process Picture Picture Comments
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