Docstoc

Quality Management Internal Audit Report

Document Sample
Quality Management Internal Audit Report Powered By Docstoc
					                                                                           Includes the following translations; Chinese-Simple, Chinese-
               INTENDED FOR USE WITH EXCEL 2003 OR 2007
                                                                           Traditional, Dutch, English, French, German, Russian & Spanish.              Table of Contents
                                                          Revision Level: ESAC 2008-06
                                                                                                                                             Contents

                                  Emerson Supplier Audit Checklist                                                                             What's new with this revision?
           ESAC provides a standardized evaluation of a supplier's quality potential. It is based on ISO                                     Language
           9001 & TS16949 and strongly emphasizes manufacturing process/quality control. The audit
           process typically reveals opportunities for improvement and corrective actions are                                                Instructions
           implemented to help reduce quality risks and improve supply chain reliability. In addition, the                                     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
           to assist in making sourcing decisions. We believe you will find ESAC to be a valuable tool for
           both supplier selection and supplier improvement.                                                                                   Audit Scores & Findings
           Emerson personnel should be properly trained prior to leading a supplier audit. If auditor                                          Supplier Corrective Actions
           training is not available within your Division, we recommend professional organizations, such
           as the American Society for Quality (ASQ). The ESAC Core Team has developed a 4-hour                                                RoHS Requirements
           training course and ESAC Scoring Guidelines. The "Auditing with ESAC" course provides                                               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.                                        Audit Team Recommendation
                    Request ESAC Database Access                                       Sign-in to ESAC Database                                Final Disposition
              General Instructions:
                                                                                                                                             Auditor Notes & Attachments
              a.) Set the Excel macro security to medium. Click "Enable Macros" when opening this file.)
              b.) Use the "Language" and "Show-Hide" buttons as necessary to facilitate use.                                                 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
      Sponsored by the Emerson Quality Council (Emerson Proprietary)                                                                         Auditor Qualifications

Emerson Proprietary                                                                                                                                                               Contents
afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                Date Printed: 7/27/2011                                                              Page: 1 of 47
      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
afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                      Date Printed: 7/27/2011                                                          Page: 2 of 47
      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
afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                        Date Printed: 7/27/2011                                                                    Page: 3 of 47
                                                                                                                                                                  Language
       Available
      Languages
                                                                    Language Selection Instruction                                                                Selection
                                                                                                                                                                   Buttons
Chinese-                   供应商指示:                                                                                                                               Chinese-Simple
               中国简单
 Simple                    点击右边按钮这本作业簿会以您选择语言显示。请填妥在"评审计划&供应商背景"和"标准清单"页浅绿色突出的区域。                                                                                 (中国简单)

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

                           LEVERANCIERSINSTRUCTIES: Klik op de knop rechts in de taal die u verkiest om de verschillende onderdelen van deze                        Dutch
  Dutch       Nederlands   vragenlijst te tonen. Vervolledig de in lichtgroen gekleurde velden op de bladzijden "Leveranciersprofiel & Auditplan" and
                                                                                                                                                                 (Nederlands)
                           "Standaard vragenlijst".

                           SUPPLIER INSTRUCTION: Click button to the right to display portions of this workbook in the language you choose. Complete
 English       English                                                                                                                                             English
                           the areas highlighted in light-green on the "Supplier Profile & Audit Plan" and "Standard Checklist" pages.

                           INSTRUCTIONS FOURNISSEUR : Cliquer sur le bouton de droite pour afficher les différentes parties de ce questionnaire dans                French
 French        Français    la langue de votre choix. Compléter les zones repérées en vert clair sur les onglets « Renseignements fournisseur et plan d'audit
                                                                                                                                                                  (Français)
                           » et « Questionnaire standard ».

                           LIEFERANTEN-ANWEISUNG: Knopf rechts anklicken um die Ansicht dieses Arbeitsbuches in der Sprache Ihrer Wahl                              German
 German        Deutsch     anzuzeigen. Vervollständige die hellgrün unterlegten Bereiche in den Seiten des „Audit-Planes, Lieferanten-Profiles-“ und in den
                                                                                                                                                                   (Deutsch)
                           „Standardchecklisten“.

                           ИНСТРУКЦИЯ ДЛЯ ПОСТАВЩИКА: Щелкните кнопкой справа чтобы данный текст отобразился на выбранном языке.                                   Russian
 Russian       Русско
                           Заполните поля , выделенные светло-зеленым на листе "План проверки и Профиль Поставщика" и "Программма оценки".                         (Русско)


                           INSTRUCCION AL PROVEEDOR: Haga clic en el boton de la derecha para mostrar partes de este archivo en el idioma que                       Spanish
 Spanish       Español
                           escoja. Llene las areas en verde claro en las paginas "Supplier Profile & Audit Plan" y "Standard Checklist."                           (Español)




  Company Confidential
  afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls Language                     Date Prined: 7/27/2011                                                                Page: 4 of 47
                                                               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
afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                     Date Printed: 7/27/2011                                                          Page: 5 of 47
                                                               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
afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                     Date Printed: 7/27/2011                                                          Page: 6 of 47
                                                                       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 Are specifications reviewed and production methods established that ensure applicable
                                                                         customer and regulatory requirements can be met on a consistent basis?

                                                                       2 When required, is the customer notified of changes to items that may adversely affect quality
                                                                         or reliability, such as, manufacturing site, process methods, raw materials, etc.?


                                                                       3 Is there a documented corrective action system in use that focuses on elimination of problem
                                                                         root cause?
                                                                       4 Are defined methodologies used to actively pursue cost containment and other continual
                                                                         improvement activities? (e.g., Lean, Six Sigma, Kaizen, 5S, etc.)

                                                                       5 Are control plans (or equivalent) maintained that show the process steps, key inspection
                                                                         points, inspection/test method, sample size and frequency?

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


                                                                       7 Are documented methods used to qualify and approve machinery, process equipment,
                                                                         inspection/test equipment and production tooling?

                                                                       8 Is product conformance to specified requirements verified prior to further processing or
                                                                         shipment and are records maintained?
                                                                       9 Are precautions taken to control and monitor the condition of product during storage, handling
                                                                         and shipping to prevent loss or damage? (e.g. shelf-life or ESD sensitive materials, etc.)


                                                                       10 Are the materials and parts produced in accordance with applicable environmental and
                                                                          product safety regulations, laws and directives? (ie., RoHS, UL)




Emerson Proprietary                                                                                                                      Supplier Profile & Audit Plan
afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                           Date Printed: 7/27/2011                                                            Page: 7 of 47
                                                                     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
afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                           Date Printed: 7/27/2011                                                             Page: 8 of 47
                                                               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
                                                               ^
                                                               ^
                                                               ^
                                                               ^
                                                               ^




Emerson Proprietary                                                                                                              Supplier Profile & Audit Plan
afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                     Date Printed: 7/27/2011                                                          Page: 9 of 47
                                            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
                              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.




                              1.2   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




                              1.3   Quality performance targets are       Strategic and tactical
 MANAGEMENT




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




                                    business plan and monitored for       etc.
                                    improvements.



                              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.




                              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.




                                      Emerson Proprietary                                                                                                                                                                                       Std Checklist
                                      afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                       Date Printed: 7/27/2011                                                 Page: 10 of 47
                                            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
                                    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.




                              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.




                              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.




                              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.




                                      Emerson Proprietary                                                                                                                                                                                        Std Checklist
                                      afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                        Date Printed: 7/27/2011                                                 Page: 11 of 47
                                           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
                             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.




                             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.




                             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
                                   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
                                   Records required.                      tests, pilot runs, etc.
 5.0 DESIGN DEVELOPMENT




                             5.2   Product specifications and             Complete product
                                   drawings are generated,                characteristics, application
                                   controlled and maintained for new      requirements, and other
        & SUPPORT




                                   or changed product designs.            information essential for its
                                   Records required.                      safe and proper use and
                                                                          eventual disposal, etc.




                                     Emerson Proprietary                                                                                                                                                                                       Std Checklist
                                     afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                       Date Printed: 7/27/2011                                                 Page: 12 of 47
                                                  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
                                    5.3   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.




                                    5.4   Human and technical resources         Qualification of technical staff.
 5.0 DESIGN DEVELOPMENT &




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




                                          electronic drawing and data
                                          exchange.
 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




                                    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




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




                                          spec's, drive design                  taken, design changes
                                          improvements and provide an on-       implemented
                                          going check of materials and
                                          workmanship. Documented
                                          procedures required. Records
                                          required.




                                            Emerson Proprietary                                                                                                                                                                                          Std Checklist
                                            afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                          Date Printed: 7/27/2011                                                 Page: 13 of 47
                                               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
                                 6.4   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.




                                 7.1   New and revised customer             Technical review of methods to
                                       specifications are reviewed and      be used, capability studies on
 7.0 DRAWINGS &
 SPECIFICATIONS




                                       implemented in a timely manner.      similar parts, documented
                                       Documented procedures required.      review procedure, ie., APQP,
                                                                            PPAP.




                                 7.2   Current process control              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.




                                 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
                                                                            notified of RoHS compliance
                                                                            status change.
 7.0 DRAWINGS & SPECIFICATIONS




                                 7.4   Quality records are maintained. A    Procedures, list of records to
                                       record control system is in place    be kept with retention periods
                                       for the identification, storage,     specified
                                       protection, retrieval, retention
                                       time, and disposition of quality
                                       records.




                                         Emerson Proprietary                                                                                                                                                                                    Std Checklist
                                         afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                    Date Printed: 7/27/2011                                                 Page: 14 of 47
                                 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
                   8.1   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




                   8.2   Purchases from unapproved             ASL, procedures for control
 8.0 PROCUREMENT




                         suppliers are prevented by a          and use of ASL, production
                         properly controlled and available     material receipt records
                         Approved Supplier List (ASL).
                         Records required.



                   8.3   Preventive actions are taken to       Supplier quality performance
                         continuously improve performance      analysis, performance trends,
 8.0 PROCUREMENT




                         of the supplier base. Records         supplier audit reports, Inflation
                         required.                             Model, documented goals
                                                               regarding raw material cost
                                                               containment




                   8.4   A supplier quality assurance          Receiving inspection, supplier
                         system ensures that all purchased     audits, source inspection,
                         product or material conforms to       qualification testing, Certificate
 8.0 PROCUREMENT




                         defined specifications and            of Compliance (COC),
                         applicable regulatory or customer     component marking, labeling,
                         requirements. Records required.       etc.




                   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.




                   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
                                                               inspection




                           Emerson Proprietary                                                                                                                                                                                         Std Checklist
                           afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                         Date Printed: 7/27/2011                                                 Page: 15 of 47
                                            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
                                    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.




                              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.




                              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.




                              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




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




                                      Emerson Proprietary                                                                                                                                                                                        Std Checklist
                                      afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                        Date Printed: 7/27/2011                                                 Page: 16 of 47
                                           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
                              10.4 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.




                              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.
 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.




                              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.




                              11.2 Written improvement plans are         Documented reaction plan &
                                   implemented to reduce sources of      process corrections. SPC trend
 PROCESS CONTROL
  11.0 STATISTICAL




                                   variation.                            charts showing current status
                                                                         vs. goals. Improvement plan.




                              11.3 Process capability is measured         Documented process
 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.




                                     Emerson Proprietary                                                                                                                                                                                      Std Checklist
                                     afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                      Date Printed: 7/27/2011                                                 Page: 17 of 47
                                            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
                               11.4 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.




                               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




                               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.




                               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.




                               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
                                                                          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.




                                      Emerson Proprietary                                                                                                                                                                                     Std Checklist
                                      afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                     Date Printed: 7/27/2011                                                 Page: 18 of 47
                                           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
                              13.1 Gage Repeatability &                  GR&R studies, reports
 13.0 MEASUREMENT EQUIPMENT




                                   Reproducibility studies are
                                   conducted to verify suitability of
                                   measuring devices for their use in
                                   checking product quality or control
                                   of processes. Records required.




                              13.2 Measuring devices, gaging and         Gage calibration stickers,
                                   test equipment are routinely          calibration records, positive
                                   calibrated and controlled per         identification or segregation of
                                   documented procedures. Records        out-of-calibration devices, and
 13.0 MEASUREMENT EQUIPMENT




                                   required.                             inventory, location & status
                                                                         records, etc.




                              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.




                              13.4 Assessments are made to check         Assessment records,
                                   the validity of previous              corrective actions, etc.
 13.0 MEASUREMENT




                                   measurements done on products
     EQUIPMENT




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




                                     Emerson Proprietary                                                                                                                                                                                       Std Checklist
                                     afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                       Date Printed: 7/27/2011                                                 Page: 19 of 47
                                            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
                               13.5 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.




                               14.1 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.




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




                                    system exists for production          PM schedule and compliance
                                    equipment, tools and fixtures.        results




                               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




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




                                    improvement and pollution
                                    prevention.




                                      Emerson Proprietary                                                                                                                                                                                       Std Checklist
                                      afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                       Date Printed: 7/27/2011                                                 Page: 20 of 47
                                         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
                            15.2 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.




                            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.




                            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
                                                                       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)




                            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.




                                   Emerson Proprietary                                                                                                                                                                                         Std Checklist
                                   afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                         Date Printed: 7/27/2011                                                 Page: 21 of 47
                                          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
                            16.3 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.




                            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.




                            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
                                                                         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.




                                    Emerson Proprietary                                                                                                                                                                                          Std Checklist
                                    afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                          Date Printed: 7/27/2011                                                 Page: 22 of 47
                                              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
                                 17.1 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.
                                      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.




                                 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
                                      process used.




                                 17.4 Qualified personnel are available     Training & education records.
 17.0 RESTRICTION OF HAZARDOUS




                                      to implement and sustain all          Interview engineering,
                                      aspects of RoHS compliance.           technical, quality control
        SUBSTANCES (RoHS)




                                                                            personnel. Number of qualified
                                                                            personnel is adequate to
                                                                            prevent unacceptable delays.




                                 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.




                                 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.




                                        Emerson Proprietary                                                                                                                                                                                      Std Checklist
                                        afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                      Date Printed: 7/27/2011                                                 Page: 23 of 47
                                               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
                                 17.7 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
                                                                           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
                                                                           mixing of RoHS compliant &
                                                                           non-compliant materials.




                                 17.9 There are documented                 Observation of handling /
 17.0 RESTRICTION OF HAZARDOUS




                                      procedures in handling the           labeling techniques in use.
                                      screening, rework or refurbishing    Production operators are aware
        SUBSTANCES (RoHS)




                                      of finished goods returned from      in distinguishing RoHS
                                      the field and customers.             materials and processes
                                                                           versus non-RoHS.
                                                                           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.




                                 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.




                                         Emerson Proprietary                                                                                                                                                                                    Std Checklist
                                         afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                    Date Printed: 7/27/2011                                                 Page: 24 of 47
                                      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
                         18.2 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
                                                                   responsible individuals.




                         18.3 REACH Compliance Documents           Compliance Plan, Supplier
 18.0 REACH
 Compliance




                              and instructions for their use are   Letters, Customer Letters
                              established and followed.


                         18.4 Supplier must have a system in       Database/files. Records of
                              place to communicate safe            communication to customers of
 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
                                                                   (ES) and/or Risk Management
                                                                   Measures (RMM).



                         18.5 The supplier has informed            If the official candidate list has
                              Emerson if they are providing (or    been published by the ECHA
                              will be providing) Emerson with      (European Chemicals Agency),
                              products that contain Substances     then look for records of
 18.0 REACH Compliance




                              of Very High Concern (SVHC) that     communication to Emerson of
                              exceed 0.1% wt./wt.                  the presence of SVHC, if
                                                                   applicable. Traceability of
                                                                   chemical identification.




                                                                                                                                                                                      Additional Findings
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #

                                Emerson Proprietary                                                                                                                                                                                             Std Checklist
                                afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                        Date Printed: 7/27/2011                                                      Page: 25 of 47
                        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
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #




                                                                                          Not Applicable
                                                                                                                                                       After




                                                                                                           Not Verified
                                                                                                                           Supplier   On-Site          CAPA
                  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
                                                      "n/a" & "Not Verified"):                                                 0              0          0                                               (date):
                                               Maximum Total Score Available:                0               0               8100           8100       8100              Emerson Audit Leader (name & title):
p                                              Standard Checklist Score:                                                      0%             0%         0%         Supplier QA Representative (name & title):
                                                                               Dates:                                                                              CA-PA Verification & Finding Closure Date:




                   Emerson Proprietary                                                                                                                                                                                                                 Std Checklist
                   afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                                           Date Printed: 7/27/2011                                                                       Page: 26 of 47
                                            Supplier to complete               Emerson to complete
Brown = Revised
                                              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
                              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.




                              1.2   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




                              1.3   Quality performance targets are       Strategic and tactical
 MANAGEMENT




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




                                    business plan and monitored for       etc.
                                    improvements.



                              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.




                              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.




                                      Emerson Proprietary                                                                                                                                                                                             Std Checklist
                                      afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                Date Printed: 7/27/2011                                                                              Page: 27 of 47
                                            Supplier to complete               Emerson to complete
Brown = Revised
                                              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
                                    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.




                              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.




                              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.




                              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.




                                      Emerson Proprietary                                                                                                                                                                                              Std Checklist
                                      afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                 Date Printed: 7/27/2011                                                                              Page: 28 of 47
                                           Supplier to complete                Emerson to complete
Brown = Revised
                                             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
                             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.




                             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.




                             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
                                   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
                                   Records required.                      tests, pilot runs, etc.
 5.0 DESIGN DEVELOPMENT




                             5.2   Product specifications and             Complete product
                                   drawings are generated,                characteristics, application
                                   controlled and maintained for new      requirements, and other
        & SUPPORT




                                   or changed product designs.            information essential for its
                                   Records required.                      safe and proper use and
                                                                          eventual disposal, etc.




                                     Emerson Proprietary                                                                                                                                                                                             Std Checklist
                                     afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                Date Printed: 7/27/2011                                                                              Page: 29 of 47
                                                  Supplier to complete               Emerson to complete
Brown = Revised
                                                    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
                                    5.3   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.




                                    5.4   Human and technical resources         Qualification of technical staff.
 5.0 DESIGN DEVELOPMENT &




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




                                          electronic drawing and data
                                          exchange.
 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




                                    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




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




                                          spec's, drive design                  taken, design changes
                                          improvements and provide an on-       implemented
                                          going check of materials and
                                          workmanship. Documented
                                          procedures required. Records
                                          required.




                                            Emerson Proprietary                                                                                                                                                                                                Std Checklist
                                            afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                   Date Printed: 7/27/2011                                                                              Page: 30 of 47
                                               Supplier to complete             Emerson to complete
Brown = Revised
                                                 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
                                 6.4   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.




                                 7.1   New and revised customer             Technical review of methods to
                                       specifications are reviewed and      be used, capability studies on
 7.0 DRAWINGS &
 SPECIFICATIONS




                                       implemented in a timely manner.      similar parts, documented
                                       Documented procedures required.      review procedure, ie., APQP,
                                                                            PPAP.




                                 7.2   Current process control              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.




                                 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
                                                                            notified of RoHS compliance
                                                                            status change.
 7.0 DRAWINGS & SPECIFICATIONS




                                 7.4   Quality records are maintained. A    Procedures, list of records to
                                       record control system is in place    be kept with retention periods
                                       for the identification, storage,     specified
                                       protection, retrieval, retention
                                       time, and disposition of quality
                                       records.




                                         Emerson Proprietary                                                                                                                                                                                          Std Checklist
                                         afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                             Date Printed: 7/27/2011                                                                              Page: 31 of 47
                                 Supplier to complete               Emerson to complete
Brown = Revised
                                   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
                   8.1   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




                   8.2   Purchases from unapproved             ASL, procedures for control
 8.0 PROCUREMENT




                         suppliers are prevented by a          and use of ASL, production
                         properly controlled and available     material receipt records
                         Approved Supplier List (ASL).
                         Records required.



                   8.3   Preventive actions are taken to       Supplier quality performance
                         continuously improve performance      analysis, performance trends,
 8.0 PROCUREMENT




                         of the supplier base. Records         supplier audit reports, Inflation
                         required.                             Model, documented goals
                                                               regarding raw material cost
                                                               containment




                   8.4   A supplier quality assurance          Receiving inspection, supplier
                         system ensures that all purchased     audits, source inspection,
                         product or material conforms to       qualification testing, Certificate
 8.0 PROCUREMENT




                         defined specifications and            of Compliance (COC),
                         applicable regulatory or customer     component marking, labeling,
                         requirements. Records required.       etc.




                   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.




                   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
                                                               inspection




                           Emerson Proprietary                                                                                                                                                                                               Std Checklist
                           afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                  Date Printed: 7/27/2011                                                                              Page: 32 of 47
                                            Supplier to complete              Emerson to complete
Brown = Revised
                                              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
                                    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.




                              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.




                              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.




                              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




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




                                      Emerson Proprietary                                                                                                                                                                                              Std Checklist
                                      afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                 Date Printed: 7/27/2011                                                                              Page: 33 of 47
                                           Supplier to complete              Emerson to complete
Brown = Revised
                                             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
                              10.4 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.




                              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.
 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.




                              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.




                              11.2 Written improvement plans are         Documented reaction plan &
                                   implemented to reduce sources of      process corrections. SPC trend
 PROCESS CONTROL
  11.0 STATISTICAL




                                   variation.                            charts showing current status
                                                                         vs. goals. Improvement plan.




                              11.3 Process capability is measured         Documented process
 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.




                                     Emerson Proprietary                                                                                                                                                                                            Std Checklist
                                     afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                               Date Printed: 7/27/2011                                                                              Page: 34 of 47
                                            Supplier to complete              Emerson to complete
Brown = Revised
                                              light-green cells                 light-yellow cells

                                       STANDARD CHECKLIST
                                                 0-Jan-00                                                         ROOT CAUSE                 REMEDIAL ACTION              CORRECTIVE ACTION             PREVENTIVE ACTION                   CONTROLS
                                                                                                           & Scope of Problem Including   Immediate Actions Taken to   Taken to Address Root Cause     Actions Taken to Prevent      Deployed to Monitor CA/PA
                                              Requirements                Typical Objective Evidence               Other Areas              Address Issue / Finding       & Prevent Recurrence       Similar Issues in Other Areas         Effectiveness
                               11.4 Out of control conditions are noted   Control charts
 11.0 STATISTICAL PROCESS




                                    on charts and documented
                                    corrective action is taken to bring
                                    the process back into control.
         CONTROL




                                    Documented procedures required.
                                    Records required.




                               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




                               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.




                               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.




                               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
                                                                          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.




                                      Emerson Proprietary                                                                                                                                                                                           Std Checklist
                                      afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                              Date Printed: 7/27/2011                                                                              Page: 35 of 47
                                           Supplier to complete              Emerson to complete
Brown = Revised
                                             light-green cells                 light-yellow cells

                                     STANDARD CHECKLIST
                                               0-Jan-00                                                            ROOT CAUSE                 REMEDIAL ACTION              CORRECTIVE ACTION             PREVENTIVE ACTION                   CONTROLS
                                                                                                            & Scope of Problem Including   Immediate Actions Taken to   Taken to Address Root Cause     Actions Taken to Prevent      Deployed to Monitor CA/PA
                                            Requirements                 Typical Objective Evidence                 Other Areas              Address Issue / Finding       & Prevent Recurrence       Similar Issues in Other Areas         Effectiveness
                              13.1 Gage Repeatability &                  GR&R studies, reports
 13.0 MEASUREMENT EQUIPMENT




                                   Reproducibility studies are
                                   conducted to verify suitability of
                                   measuring devices for their use in
                                   checking product quality or control
                                   of processes. Records required.




                              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.




                              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.




                              13.4 Assessments are made to check         Assessment records,
                                   the validity of previous              corrective actions, etc.
 13.0 MEASUREMENT




                                   measurements done on products
     EQUIPMENT




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




                                     Emerson Proprietary                                                                                                                                                                                             Std Checklist
                                     afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                Date Printed: 7/27/2011                                                                              Page: 36 of 47
                                            Supplier to complete               Emerson to complete
Brown = Revised
                                              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
                               13.5 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.




                               14.1 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.




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




                                    system exists for production          PM schedule and compliance
                                    equipment, tools and fixtures.        results




                               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




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




                                    improvement and pollution
                                    prevention.




                                      Emerson Proprietary                                                                                                                                                                                             Std Checklist
                                      afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                Date Printed: 7/27/2011                                                                              Page: 37 of 47
                                         Supplier to complete               Emerson to complete
Brown = Revised
                                           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
                            15.2 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.




                            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.




                            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
                                                                       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)




                            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.




                                   Emerson Proprietary                                                                                                                                                                                               Std Checklist
                                   afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                  Date Printed: 7/27/2011                                                                              Page: 38 of 47
                                          Supplier to complete                Emerson to complete
Brown = Revised
                                            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
                            16.3 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.




                            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.




                            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
                                                                         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.




                                    Emerson Proprietary                                                                                                                                                                                                Std Checklist
                                    afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                   Date Printed: 7/27/2011                                                                              Page: 39 of 47
                                              Supplier to complete               Emerson to complete
Brown = Revised
                                                light-green cells                  light-yellow cells

                                         STANDARD CHECKLIST
                                                  0-Jan-00                                                           ROOT CAUSE                 REMEDIAL ACTION              CORRECTIVE ACTION             PREVENTIVE ACTION                   CONTROLS
                                                                                                              & Scope of Problem Including   Immediate Actions Taken to   Taken to Address Root Cause     Actions Taken to Prevent      Deployed to Monitor CA/PA
                                                Requirements                Typical Objective Evidence                Other Areas              Address Issue / Finding       & Prevent Recurrence       Similar Issues in Other Areas         Effectiveness
                                 17.1 A RoHS compliance policy is           Documented procedures that
 17.0 RESTRICTION OF HAZARDOUS




                                      documented and maintained that        set requirements for planning,
                                      defines the requirements for          verification, on-going control,
        SUBSTANCES (RoHS)




                                      material and process qualification,   record keeping & customer
                                      on-going compliance verification,     communications. Supplier's
                                      manufacturing controls,               management support.
                                      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.




                                 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
                                      process used.




                                 17.4 Qualified personnel are available     Training & education records.
 17.0 RESTRICTION OF HAZARDOUS




                                      to implement and sustain all          Interview engineering,
                                      aspects of RoHS compliance.           technical, quality control
        SUBSTANCES (RoHS)




                                                                            personnel. Number of qualified
                                                                            personnel is adequate to
                                                                            prevent unacceptable delays.




                                 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.




                                 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.




                                        Emerson Proprietary                                                                                                                                                                                            Std Checklist
                                        afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                               Date Printed: 7/27/2011                                                                              Page: 40 of 47
                                               Supplier to complete            Emerson to complete
Brown = Revised
                                                 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
                                 17.7 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
                                                                           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
                                                                           mixing of RoHS compliant &
                                                                           non-compliant materials.




                                 17.9 There are documented                 Observation of handling /
 17.0 RESTRICTION OF HAZARDOUS




                                      procedures in handling the           labeling techniques in use.
                                      screening, rework or refurbishing    Production operators are aware
        SUBSTANCES (RoHS)




                                      of finished goods returned from      in distinguishing RoHS
                                      the field and customers.             materials and processes
                                                                           versus non-RoHS.
                                                                           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.




                                 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.




                                         Emerson Proprietary                                                                                                                                                                                          Std Checklist
                                         afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                             Date Printed: 7/27/2011                                                                              Page: 41 of 47
                                      Supplier to complete              Emerson to complete
Brown = Revised
                                        light-green cells                 light-yellow cells

                                STANDARD CHECKLIST
                                           0-Jan-00                                                            ROOT CAUSE                 REMEDIAL ACTION              CORRECTIVE ACTION             PREVENTIVE ACTION                   CONTROLS
                                                                                                        & Scope of Problem Including   Immediate Actions Taken to   Taken to Address Root Cause     Actions Taken to Prevent      Deployed to Monitor CA/PA
                                        Requirements               Typical Objective Evidence                   Other Areas              Address Issue / Finding       & Prevent Recurrence       Similar Issues in Other Areas         Effectiveness
                         18.2 Responsibilities for REACH have      Look for identification of an
 18.0 REACH Compliance




                              been clearly defined and assigned    individual or individuals (i.e..,
                              to appropriate personnel.            naming an entire department is
                                                                   not acceptable). Record the
                                                                   names and titles of the
                                                                   responsible individuals.




                         18.3 REACH Compliance Documents           Compliance Plan, Supplier
 18.0 REACH
 Compliance




                              and instructions for their use are   Letters, Customer Letters
                              established and followed.


                         18.4 Supplier must have a system in       Database/files. Records of
                              place to communicate safe            communication to customers of
 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
                                                                   (ES) and/or Risk Management
                                                                   Measures (RMM).



                         18.5 The supplier has informed            If the official candidate list has
                              Emerson if they are providing (or    been published by the ECHA
                              will be providing) Emerson with      (European Chemicals Agency),
                              products that contain Substances     then look for records of
 18.0 REACH Compliance




                              of Very High Concern (SVHC) that     communication to Emerson of
                              exceed 0.1% wt./wt.                  the presence of SVHC, if
                                                                   applicable. Traceability of
                                                                   chemical identification.




 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #
 Req #

                                Emerson Proprietary                                                                                                                                                                                              Std Checklist
                                afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                                 Date Printed: 7/27/2011                                                                              Page: 42 of 47
                        Supplier to complete            Emerson to complete
Brown = Revised
                          light-green cells               light-yellow cells

                   STANDARD CHECKLIST
                            0-Jan-00                                                           ROOT CAUSE                 REMEDIAL ACTION              CORRECTIVE ACTION              PREVENTIVE ACTION                   CONTROLS
                                                                                        & Scope of Problem Including   Immediate Actions Taken to   Taken to Address Root Cause      Actions Taken to Prevent      Deployed to Monitor CA/PA
                         Requirements               Typical Objective Evidence                  Other Areas              Address Issue / Finding       & Prevent Recurrence        Similar Issues in Other Areas         Effectiveness
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #




                  TOTAL SCORES FOR THIS CHECKLIST ONLY

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




                   Emerson Proprietary                                                                                                                                                                                            Std Checklist
                   afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                                              Date Printed: 7/27/2011                                                                               Page: 43 of 47
                                     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



10.0        Manufacturing Quality                    6              3




   Emerson Proprietary                                                                                                                                           Audit Results
   afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                             Date Printed: 7/27/2011                                                                Page: 44 of 47
                                     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
   afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                             Date Printed: 7/27/2011                                                                Page: 45 of 47
                                      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
   afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                        Date Printed: 7/27/2011                                                                  Page: 46 of 47
                                     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
   afa37876-9f4b-49e9-8f0c-3e4c562606fb.xls                                      Date Printed: 7/27/2011                                                                      Page: 47 of 47

				
DOCUMENT INFO
Shared By:
Categories:
Tags:
Stats:
views:30
posted:7/27/2011
language:English
pages:47
Description: Quality Management Internal Audit Report document sample