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NEWELLRUBBERMAID SUPPLIER ASSESSMENT USAGE INSTRUCTIONS
GENERAL INSTRUCTIONS PAGE 1 OF 3 PROCESS
1)The attached Assessment Tab will be used by NewellRubbermaid to evaluate Supplier's
business process management capabilities. Submittal of this questionnaire, by itself, does not
constitute an approval of a supplier as an approved source. Newell Rubbermaid may, after
receipt of the completed questionnaire,Conduct an on-site survey of supplier's facility. Since
Supplier Assessment approval is necessary before a Procurement award can be made, it is to
supplier's benefit to return this form with self assessment, as soon as possible.
2) All the questions must be answered by supplier. If any line item/expectations are not
understood clearly, supplier is encouraged to contact the concerned supplier quality engineer.
Mention NA in case of non applicability of a line item/expectations.
3) Answers should reflect supplier current status. Do not reflect procedures or capabilities which
are anticipated or proposed. Such a proposal should be mentioned in Audit Comment
4) Supplier is encouraged to read the Assessment Scoring Criteria as shown in this Tab. (scroll
Horizontal Bar Right)
5) Supplier is expected to provide all supportive documents/ pictures as per appendix B or as
deemed necessary by SQE
6) Return the fully completed form to the concerned Supplier Quality Engineer within 7 days.
Send a copy of the same to supplier assessment process coordinator
7) For the line item with scores less than 2, supplier is expected to submit a written corrective
action plan in the CAR worksheet with a time line, with in 15 days of audit date
N
DECLARATION :
Publish the r
I undersigned have read the Newell Rubbermaid supplier assessment procedural requirements and
certify that all the informations provided here are accurate and complete. Further we certified that to
the best of our knowledge as on date, we do not have any child (<14yrs) or juvenile (>=14 but
<18yrs) employed directly or indirectly. We shall be solely responsible, accountable and liable for all
legal purposes in case a child labor is being reported in future or during this assessment. We also
confirm to provide necessary access of information to the auditor by records, interviews of employees N
etc.
Supplier Authorized Signatory Position date / Place
NewellRubbermaid Confidential 321a2111-deeb-4cbd-b350-f88f1ca0358a.xls
NEWELLRUBBERMAID SUPPLIER ASSESSMENT USAGE INSTRUCTIONS
PROCESS FLOW SUPPLIER ASSESSMENT Page 2 OF 3 Assessme
PROCESS STEP PROCESS OWNER DOCUMENT/ RECORD
Sourcing: New <Supplier Profile> Scoring:
Audit Initiative
Database: Existing. Master list of supplier
assessment history Score 4: Th
implemented
Send Self Assessment Form to supplier SQE <Supplier Assessment area/ item co
Form> have demons
the requirem
Supplier <Supplier Assessment
Complete self-assessment and comeback Score 3: Th
Format & Appendix B>
report implemented
assessment a
Rubbermaid,
SQE/QualityLeader/ <Self Assessment Report, area/item be
Sourcing History of Violations OR
Risk Assessment Intelligence Input &
Score 2: Th
Request from SQE> flow, but was
effectively. T
Announced Un-announced
SQE & Supplier but there ma
<Supplier Assessment
SQE Tool>
On Site Assessment
Score 1: Th
Quality Group <Supplier Assessment supplier coul
Submit Audit Report Leader Tool> or more than
N
SQE to Supplier,
Approved ? Sourcing & GBU Score 0: Th
the supplier
Y
<Supplier Assessment or more than
Supplier
Publish the report & Raise CAR requirements Tool>
SQE & Sourcing Assessment
<Supplier Assessment
Fill CAR and implement actions SQE & Sourcing Form>
Approved -
CAR Form individual ite
Follow up CAR SQE
N CAR Form
Conditional
CAR closed? to 60%, and
Not Approv
Y except Sectio
Update SA Database
Assessment
of line items
Report" the r
Close the case
NewellRubbermaid Confidential 321a2111-deeb-4cbd-b350-f88f1ca0358a.xls
NEWELLRUBBERMAID SUPPLIER ASSESSMENT USAGE INSTRUCTIONS
Assessment Criteria: Page 3 Of 3
Scoring:
Score 4: The supplier had clearly defined and documented procedures, and
mplemented the procedures effectively. There was NO finding in the assessment
area/ item concerned. Supplier has a procedure to establish Bench Marking and
have demonstrated performance near to best. The actual status already exceeded
he requirements of Newell Rubbermaid.
Score 3: The supplier had clearly defined and documented procedures, and
mplemented the procedures effectively. There was no MAJOR finding in the
assessment area/item concerned. The supplier satisfied all requirements of Newell
Rubbermaid, but there may have been max two Minor assessment findings for the
area/item being assessed.
Score 2: The supplier had a defined and documented procedures including a work
low, but was missing one or two key elements, or did not implement them
effectively. There was no MAJOR finding in the assessment area /item concerned
but there may have been max three Minor findings.
Score 1: The supplier had defined a work flow, but there was no procedure. The
upplier could consistently perform in the area being assessed. One MAJOR finding
or more than three MINOR findings were found for the area/item being assessed.
Score 0: The supplier had no defined procedure, and no work flow defined that
he supplier could conduct consistently. One or more than one A CRITICAL finding
or more than one MAJOR finding made during the assessment of the area/item.
Assessment Result:
Approved - Total score is higher than / equal to 75%, and No 0 score for
ndividual item.
Conditionally Approved- Total score is lower than 75%, but higher than / equal
o 60%, and Some line items could be 0 score except Section 11.
Not Approved - Total score is lower than 60%, some line items are 0 score,
except Section 11.
Assessment Cancellation - Whatever the total score is, if there is 0 score in any
of line items in Section 11.1, 11.4, 11.5 and 11.13 of the "Supplier Assessment
Report" the result shall be "Assessment Cancellation".
NewellRubbermaid Confidential 321a2111-deeb-4cbd-b350-f88f1ca0358a.xls
Supplier Assessment Report
INFORMATION TO BE FILLED BY SUPPLIER INFORMATION TO BE FILLED BY NEWELL AUDITOR
Basic Assessment (Section 1 to 14) Production Process specific assessment should be done Self Inspection
Advance Assessment (Section 15) inconsultation with designated engineering resource ASSESSMENT OBJECTIVE Certification
Supplier General Information
Supplier name: Self Assessment Date:
Supplier address: (Manufacturing Facility) City : ST: Zip/Pin :
Country : Web Page
Remittance To address : City : ST: Zip code :
Country :
List of other locations :
GBU
Is there a signed Supplier Confidentiality Agreement in place? (Mark YES/ NO) NO DATE
GROUP
Existing
OR New
Supplier?
Is there a signed Product Safety Agreement in place? (Mark YES / NO) NO DATE Last Audit Last SA
Date Score
Supplier Contacts
Name Title Phone Number Cell Phone Email
Owner / President /M.D. /
General Manager
Operations Manager
Sales & Marketing Mgr.
(Newell Account)
Engineering Manager
Quality Manager
Management
Representative QMS
Facilities & Company Data (Attach detailed data as necessary)
Total Plant Area : Unit SQ Number of buildings :
METER
Sales last 3 Yrs : Last Year (Last-1) (Last -2) Private OR Public Owned Company :
(Thousand USD) Year Year
Total Employees : Employee Turn over %age : Total Temporary OR Contract Temp. Employee
Employee : Turnover %age :
Employee Representation Name of the Trade Strike history : NO Labor Union Contract
(Union/Welfare Committee) Union (Mark YES/NO) Validity :
Communication Top Opn Mkt Mgr Engg Mgr QA Mgr Engr Working Shift(s) Weekly Off Security Services
(English) Mgmt Mngr (1 / 2 / 3) Day(s): (Self/Outsource) :
Independently NO NO NO NO NO NO Exports Mj. Raw
Business
(Mark YES/NO) Material
%Age
Main & Sub
With Assistance YES YES YES YES YES YES Domestic Customer Suplr(s)
List any scheduled Annual Maintenance
shut downs or holidays :
Core Competencies
Describe in detail your
company's core
competencies.
Attach a detailed manufacturing
equipment list.
Development & Value Improvement Projects
Newell Rubbermaid Confidential Page 4of 20 321a2111-deeb-4cbd-b350-f88f1ca0358a.xls
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Describe the Supplier’s
ability to contribute to new
product, design, and
prototype opportunities.
Active Continuous Improvement Program
Describe the Supplier’s
Continuous Improvement
Culture, including how
improvements are fostered
and maintained.
Supplier Name : Newell SA Date :
Element GBU Specific
Supplier Newell
Max Audit Audit
0 = No System 1 = Major Deficiencies 2 = Minor Deficiencies
Actual
Subsystem Score
Ratings :
3 = Satisfactory 4 = Good with Proven Record of Continuous Improvement Full Wt Score Score
Section 1: Management Responsibility Sec 1 Sum
32 0 0 0 0
1.1 Strategic business plan exists with clear company vision and mission. 4
Quality Objectives and responsibilities are clearly stated, widely communicated, measured and understood throughout the
1.2 company. 4
Management has appointed a full time dedicated and qualified resource to lead QMS in the company
1.3 4
Regularly scheduled management reviews are held to review company operating effectiveness and efficiency.
1.4 4
Key Performance Indicators(KPI) like DPPM, Process performance, Customer satisfaction/voice and customer Complaints are
reviewed in management review meetings and Corrective Action plan is developed / implemented/ verified.
1.5 4
Management has a "defect prevention" culture to achieve continuous quality improvement.
1.6 4
Management has invested in an appropriate resources to drive and maintain -- Advanced Quality Planning , Corrective Action,
1.7 Continuous improvement, Training, Gauging, 5S, Lean, 6 Sigma and Preventative Maintenance. 4
A disaster and contingency plan exist. (ie - Earthquake, Flu, etc..)
1.8 4
Sec 2 Sum
Section 2: Focus 5 Tools 20 0 0 0 0
Metrics and systems are in place to drive and maintain quality improvements.
2.1 4
Tools, resources and management support necessary to drive continuous productivity improvements are in place and being
2.2 utilized 4
Supplier support Newell's Lead Time Expectations and has a plan in place to reduce it in future.
2.3 4
Metrics are in place to measure on time delivery. A process is in place to communicate to the customer, in advance, when the
2.4 possibility of missing a delivery exists. A contingency plan is part of the procedure in case supplier misses a ship date? 4
The supplier understands and supports the payment terms. (Target 2010 - 90 DPO)
2.5 4
Section 3: Quality System Sec 3 Sum
56 0 0 0 0
Quality System is clearly documented in the Quality Manual which follows ISO9001-2000 OR ISO/TS16949-2002 (TS-2) OR
3.1 latest revision. 4
Supplier has well defined New Product Development Process in place.
3.2 4
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NPD process starts is authorized only if technical fesibility is ensured by technical team and all the customer specifications on
3.3 product, Test & Validation are avaliable. Packaging Expectations are also available and understood. 4
First Article Inspection conducted for dimensional, Appearance and performance aspects and Reports are prepapred before
3.4 Sample Submission to customer. 4
Supplier is aware of Failure Mode Effect Analysis as an important part of New Product Development. FMEA is conducted with a
3.5 cross functional approach. FMEA is revised during a life cycle of product as a new failure mode is identified. 4
Proto Type and Produc Quality Control Plans are in use.Range Samples are used in support of Control Plan during production.
3.6 Control Plan has a well defined reaction Plan. 4
Measurement System readiness is evaluated during NPD with appropriate tools. such as Gauge Calibration, Gauge R&R and
3.7 Critical to Quality, CTQ, 4
Measurement of Process Capability is conducted on key processes with high RPN from FMEA. Cpk improvement plan exist,
3.8 reviewed periodically by Quality OR Engineering Manager during Production Part Approval Process 4
The Quality Plans include identification of controls mechanism, processes, equipment, fixtures, resources and skills, etc. Key
3.9 Characteristics are clearly defined and effectively communicated through out the business. 4
The Quality System includes documentation such as work instructions with regular updating of prints/specifications, inspection
3.10 and testing techniques 4
Training system exists with reviews. Training requirements and special skills are identified for all employee.
3.11 4
A formal system exists to manage change in the business, including notifying the customer of process, tooling, equipment and
3.12 material changes. Customer approval is required before change being implemented. 4
Quality records are controlled and adequate to verify conformance to specification, conformance to operating procedures, and to
3.13 provide problem-solving evidence. 4
An effective Internal Auditing program is in place
3.14 4
Section 4: Purchasing Sec 4 Sum
32 0 0 0 0
A formal Supplier Rating/ Supplier Assessment System/Program exists for Raw Material Supplier that is also assessed with the
same criteria
4.1 4
All purchased material requirements are adequately specified/enforced and procured under approved supplier list.
4.2 4
An effective supplier system control exists including quality, price, delivery, and service performance measures.
4.3 4
Supplier performance metrics are reported on a regular frequency.
4.4 4
Supplier material certification is required and verified for all strategic materials used in production.
4.5 4
Supplier process/product change system is in place with the company being informed of changes.
4.6 4
Supplier rating and best product costing are considered for sourcing/purchasing decision.
4.7 4
Adequate assessment and control at the sub-supplier or receiving inspection at the supplier exists for key components and raw
4.8 material 4
Section 5: Inspection and test- Process Control Sec 5 Sum
44 0 0 0 0
A detailed Process Control Plan exists with well-identified process parameters, process inspection and testing control steps,
5.1 reaction plans and critical parameters. 4
Process setup and Control parameters are documented and monitored during the production run.
5.2 4
5.2.1 Procedure and work instructions are created and released before new product/process is started
Critical tooling (dies, molds, fixtures etc.) are verified prior to use and maintained appropriately.
5.3 4
Calibrated gauging demonstrating an appropriate Gauge R&R and Precision to Tolerance (P/T), are used to control the process
5.4 and verify product conformance throughout the processes. 4
Supervisor or Operator is authorized to initiate line stoppage when defective product/material is identified.
5.5 4
Tools and measures to control of Critical to Quality (CTQ) product and process parameters are implemented at appropriate level
5.6 and is being monitored periodically. 4
Supplier maintains a list of Newell's assets e.g. Jigs, fixtures, tooling or special gauges and equipments and provides fit to use
5.7 certificate periodically. 4
In-process and final product is adequately identified and segregated.
5.8 4
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The products is uniquely traceable to materials used, equipment used with maintenance and calibration record.
5.9 4
Product Identification is adequate to clearly identify product in the event of defective material found in the facilities.
5.10 4
A Multi Layered Process Audit Mechanism Exist to measure the process control effectiveness. Issues are identified and improved/
5.11 recorded. 4
Section 6: Control of Test Equipment Sec 6 Sum
24 0 0 0 0
A formal calibration program including; identification, calibration intervals, traceability, calibration method/equipment, environment
6.1 exists with fully documented calibration procedures 4
A list of CTQ measuring devices/gauges is maintained.
6.2 4
Quality measurement and control equipment, including tools and fixtures that are used for inspection, are sufficient to assure
6.3 conformance to requirements listed on product quality plan. 4
MSA Measurement system analysis such as Accuracy, Repeatability and Reproducibility is used and frequently reviewed for
6.4 improvement? Note: Are gauge R&R studies conducted and are P/T ratios acceptable (< 10%)? 4
There is a documented procedure to initiate correlation studies between the supplier and their customers during product
6.5 development and/or manufacturing startup. 4
Calibration and preventative maintenance are documented and implemented in regular intervals
6.6 4
Section 7: Control of Nonconforming Product Sec 7 Sum
28 0 0 0 0
Suspected non-conforming products is adequately identified to prevent further use, move out of the normal process flow when
7.1 possible with records 4
Non-conforming products are subjected to be reviewed by qualified, designated persons prior to introduction back into the normal
7.2 production process 4
Formal customer approval is required for using non-confirming product
7.3 4
A documented procedures exists that defines identification, segregation and disposition of non-forming product.
7.4 4
Adequate steps are taken to prevent recurrence of non-conformity.
7.5 4
An effective process that identifies non-conformities and problems with a common source versus those that are a unique
7.6 occurrence, is in place and widely implemented. 4
To prevent future recurrence of a given non-conformity, appropriate review on current process is activated and documented.
7.7 4
Section 8: Corrective and preventive Action Sec 8 Sum
28 0 0 0 0
A formal corrective and preventive action system exist to assure effective closure and follow-up of customer and internal problems
8.1 and complaints. 4
An adequate containment action process exist while the corrective and preventative action is determined.
8.2 4
Root cause analysis and control plan updating is an integral part of the supplier’s corrective action system
8.3 4
Effective verification control is in place to verify that the root cause(s) and corrective actions
8.4 4
When preventive measures are implemented, the effect is verified and monitored to ensure that the desired goals are being
8.5 fulfilled 4
Permanent changes resulting from corrective action(s) are documented in work instructions, SOP, manufacturing and test
8.6 processes, control plan, training documents etc. 4
Corrective and preventive actions are reviewed for application in other product and processes.
8.7 4
Section 9: Document Control Sec 9 Sum
24 0 0 0 0
A documented procedure exists to define requirements for creation and revision of control documents.
9.1 4
The supplier maintains a master list to avoid (preclude) use of invalid or obsolete documents.
9.2 4
Manufacturing, process and specification documents are under revision control.
9.3 4
A Document change procedure that ensures the key users of documents are being informed of changes
9.4 4
Revision history(reaons for change) is maintained for controlled documents.
9.5 4
The document control system ensures that the most current revision of customer specifications, procedures and work instruction
9.6 are available at or reasonably near point of use. 4
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Section 10: Handling, Storage, Packaging, & Delivery Sec 10 Sum
28 0 0 0 0
Work In Progress (WIP) product is adequately identified as to its status, legibly and durably labeled and stored in an appropriate
10.1 way. 4
The packaging of Work In Progress and completed product is adequate protected against environmental damage and damage
10.2 within the plant? 4
Packaging is adequate designed to withstand environmental extremes throughout the entire process. This relates to the Work in
10.3 Process (WIP) container/packaging. 4
Final packaging is adequately labeled to ensure identification and segregation by stores personnel and by incoming inspection at
10.4 the customer. 4
The procedure for product storage shelf life is established and properly implemented.
10.5 4
FIFO techniques are in place and actively used with proper control on handleing, storage, packing & label printing.
10.6 4
Barcode printing is readily available to meet NWL requirements.
10.7 4
Section 11: Ethical Standard Sec 11 Sum
32 0 0 0 0
The address of the supplier's facility is the same address as stated on Business License?
11.1 4
The salary is in line with local regulation on lowest limit, number on contract and actual paid. (include monthly, daily and hourly).
11.2 4
Personnel Records e.g. Appointment Letter with employee's acceptance, Copy of ID card, Photo, Join date, Age Verification
11.3 records are available 4
An assessment is being treated as FAILED (Unsatisfactory or Denial or Cancelled) by a critical findings in areas of child labor,
forced labor, corporal punishment, discrimination, human rights violations, illegal transshipments, bribery, and unsafe working
11.4 conditions. Supplier Ethical performance in above cited areas are clean and following local regulations 4
Employees are not prevented Or intimidated by supervisor / management for participating union activities.
11.5 4
In case union does not exist, worker's benefit committees are formed to address grievances and improve work conditions
11.6 4
For all the Employee's (Direct / Indirect ) actual working time record is kept and maintained with "In & Out" time recording.
11.7 4
Actual OT number exceeds the limit of daily and monthly OT hours stated in local labor law? The Max working hour and OT hour
11.8 per day, per week and per month are recorded. 4
Section 12: Environment, Health and Safety Sec 12 Sum
60 0 0 0 0
Fire-fighting equipments such as fire extinguisher and sprinkler are adequately installed with sufficient quantity and maintained as
per legal and Fire safety requirements
12.1 4
All the areas including living area has Fire Control Measures with periodic inspection of these equipments to ensure its good
condition for usage.
12.2 4
The relevant PPE (personal protection equipment) such as safety gloves, safety glasses, masks, etc. is identified and provided to
employees
12.3 4
12.4 PPE is readily available at the point of use. 4
Training on proper use of PPE is being provided and is effective.
12.5 4
Discharge permit for sewage, waste water, air emission, open burning etc. are available with the factory
12.6 4
Factory has declared and is controlling usage of hazardous materials / wastes stored/used in factory（including but not limited to
12.7 chemical products, degreasers, corrosives, flammable or combustibles, fuels, solvents, paints, medication, oil , gas and etc.) 4
A master list to record the inventory of hazardous materials or wastes is available and is revised periodically.
12.8 4
Supplier ensures proper identification and prescribed usage of hazardous materials/wastes being stored. Supplier posses MSDS,
leakage prevention units (the secondary containers), proper Personal Protection Equipments for users
12.9 4
Compulsory safety handling and first aid training is provided to all the employees vulnerable to exposure to these chemicals.
12.10 4
Hazardous waste disposal is implemented as per recommendation of the local governmental norms. Use of authorized company
12.11 for waste disposal or ETP plant in-house is recommended to treat the water properly before release 4
Process Check is performed at ETP plant as per defined audit plan and a containment/clean up plan exists
12.12 4
Environmental accidents prevention measures are part of safety training and emergency evacuation plan exists in each work and
12.13 living area. 4
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Safety training is part of the QMS training calendar. Safety Training records are available for mock drill for Fire Fighting and Fire
12.14 Evacuation Plan and training is executed yearly to include all the employees 4
Factory has visible and effective ways to implement energy conservation. E.g. Use of LED or CFL Lights over conventional
lighting, Use of Day lights, Minimize usage of Air conditioner, etc. Management promotes employees' active participation to bring
12.15 4
awareness on global warming. Necessary visual aids are available in shop floor.
Section 13: Product Safety (PS) Sec 13 Sum
40 0 0 0 0
Supplier has signed Newell Rubbermaid Global Sourcing's Product Safety Declaration Letter and stamped with company seal.
13.1 Further GBU specific PS declarations are also signed as applicable. 4
Product safety and reliability test are being performed during new product development stage. Sub-supplier is communicated the
Product Safety expectations as a part of specifications and a Certificate of Compliance is a mandated along with each batch
13.2 composition. Periodic self monitoring after mass production for all products is also being carried out. 4
Certificate of Compliance (COC) is periodically submitted to customer according to the agreed Quality Plan. Relevant test reports
13.3 are supplied together with COC 4
Supplier understands the Product Safety Requirements (PSR) related to their product catalog. Specific legal requirements and
13.4 regulations of the manufacturing and destination countries are included in the PSR 4
Supplier either has its own product testing capability and / or arrangements with an accredited outside laboratory for Heavy Metal
13.5 Testing in accordance to the relevant standards. The accredited lab posses documented testing procedure, lists of equipment and 4
tests, can provide test certificate with clear traceability
Change of material, process or sub-supplier requires product safety test(s) are to be performed to validate the change. All
13.6 changes and test results after validation are informed to customer. 4
The product safety requirements are considered and implemented in supplier's FMEA, control plan, PPAP procedure, risk
13.7 management and other related procedures are formed as part of the preventive actions. 4
Product safety issue if detected automatically triggers a well defined contingency plan immediately. The contingency plan is
updated regularly and approved by the management team. The contingency plan shall be communicated with relevant
13.8 employees regularly. 4
A written procedure of product recall and traceability is in place to distinguish the affected lots from all lots produced. Supplier can
13.9 demonstrate the traceability to the level of shipment, PO, outer box, inner box or individual product. 4
Product safety awareness training is provided to all the employees. Such training records are available and effectiveness is
13.10 verified periodically. 4
Section 14: Supply Chain Security Verification Sec 14 Sum
48 0 0 0 0
Supplier understands the threat perception from global terrorism and is aware of local laws to comply for container security.
14.1 Supplier demonstrates his commitment to meet the intent of global security guidelines as per CTPAT 4
Supplier has qualified security agency with trained personnel in this regard and has a written security service contract in place.
14.2 Management has appointed a security in charge to represent the managements responsibility in this aspect 4
Procedures, Instructions are in place and reviewed periodically to meet the requirements of company and personnel Security
14.3 expectations and against any potential threat 4
The scope of security is well defined for each aspect of security. E.g. Physical Security, Personnel Security, Container Security,
14.4 Data Access Control, Vehicle Parking 4
Company has CCTV(s) installed at least at Container Loading Point and Final Packaging Area, CCTV footage should be recorded
14.5 during working hours at least. 4
14.6 Final Packaging and product storage/warehouse area have authorized access controlled. 4
Boundary walls surrounding the company has height more than 8 feet and are well illuminated and watched at all times
14.7 4
Container Integrity Verification procedure is created with pictures clearly showing the container number for each shipment with
14.8 clear traceability to the invoice no. and Security Seal Serial Number 4
14.9 Records are being maintained and audited, about container seal intactness verification done by local customs. 4
A written contract is in place between supplier and service provider for transport and shipping consolidation to define the role and
14.10 responsibilities to ensure compliance to CTPAT expectations. E.g. Change of route, Halts during transportation shall be reported 4
if exceeds unreasonable time period from normal travel duration.
A register must be in place with Security Main gate for recording Name of Visitor, Purpose of Visit, Proof Of Identity (Business
Card, Driving License, ID Number), Time In & Out during normal working hours. All visitors must be well identified and their
14.11 access to Loading Unloading Area, Final Packaging area shall not be permitted without accompanied of authorized people 4
The Supplier has unannounced security audit and incident reporting mechanism. All security practice violation incidents are well
followed with corrective/preventive actions Further Security Assessments results are reviewed during Management Review
14.12 Meeting.
4
Section 15: Operational Excellence Sec 15 Sum
48 0 0 0 0
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15.1 Walkways (Gangways) & Work Area is clearly defined 4
15.2 Product quality specifications/Range samples/Work instructions and process set-up requirements are visible in work areas 4
15.3 Visual Identification of material (Raw, WIP and Finished) is used to identify inventory, tools, processes, flow, etc. 4
15.4 Production output quantity is prominently recorded hourly and displayed and monitored by Production supervisor during the shift. 4
15.5 5S program is in place and goals are established with clear improvement targets. 4
15.6 5S program and procedures are in place with verification system such as audit and corrective actions. 4
15.7 Value stream maps are created (Current and Future State) 4
15.8 Future state value stream maps are created to document the ideal state & Projects are initiated to obtain the ideal future state 4
15.9 Change over (SMED - Single Minute Exchange of Dies) time is measured and concentrated efforts are done to reduce it. 4
15.10 Kaizen events are used in the factory to drive improvements 4
15.11 Value Analysis (VA) methods are used to identify suitable cost-saving material or design alternatives 4
Problem Solving tools are used to solve problems - DMAIC (Six Sigma) / Fish Bone/Design Failure Mode Effect Analysis(DFMEA
15.12 or FMEA)/Design of Experiment (DOE) OR any other Systemic Problem solving methodology (s) is practiced
4
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Assessment Summary
Supplier Name: Newell SA Date :
Supplier Classification : Guidelines for Purchasing Decision / Next Assessment
Level 1 - Favorable/ONCE per 2 Year Level 2 - Favorable/ONCE per Year Level 3 - Unfavorable/ Within 1/2 Yr to reach L-2 Level 4 -
Unfavorable/Next Chance ONLY after 2 Yrs.
Bonus Scoring Options
Total
Self Assessment Newell Assessment Total
Certification Status Valid up Bonus Elements Available
Total Points Points
to Points
ISO9001-2000 NO 0
/TS16949-2002 1. Management Responsibility 0 0 0.0
SA8000 / WMES NO 0
Audit Or Equal 2. Focus 5 Tools 0 0 0.0
OHSAS 18001- NO 0
1999 3. Quality System 0 0 0.0
ISO14000 NO 0
4. Purchasing 0 0 0.0
QC080000 NO 0
5. Inspection and Test 0 0 0.0
Total Certification Bonus 0
6. Control of Test Equipment 0 0 0.0
Focus Five Target Actual Bonus
7. Control of Nonconforming Product 0 0 0.0
Quality DPPM <2500 0
8. Corrective Action 0 0 0.0
SERVICE >98% 0
LEVEL (on time
full qty) 9. Document Control 0 0 0.0
Lead Time 50 0
Committed (days)
10. Handling, Storage, Packaging & Delivery 0 0 0.0
PAYMENT 90 0
TERMS (days)
11. Ethical Standard 0 0 0.0
SAVINGS (%age 5% 0
of Spend) 12. Environment, Health And Safety 0 0 0.0
Total Focus Five Bonus 0 13. Product Safety 0 0 0.0
Total Communication Bonus 0 14. Supply Chain Security Verification 0 0 0.0
Over All Bonus 0 15. OPEX 0 0 0.0
Total Score (%)= {(Sum of Weighted Actual Scores + Bonus) / (Sum of Available
0 / 0 0 / 0 0.0% 0
Weighted Points)} X 100
Approvals
Supplier Self Approvals
Management Representative -Supplier Approved on Sourcing Contact - Newell Self Approval Date
Newell Approvals
Auditor(s) Date GBU Function Important Instructions
Lead Quality 1) The purpose of this assessment is to establish supplier's commitment to consistently
deploy best quality management practices, increased accountability towards society,
Member1 Care for its employees, customer and nature.
2) A more detailed assessment for ES, EHS and CTPAT may be required to be done if
Member2 so desired by Newell's customers.
3) Result of this assessment does not necessarily confirms award of business
Member3 opportunity to supplier.
Final Assessment Result
Approved Conditionally Approved Not Approved SA CANCELLED
(Score >75%) (60%≦Score≦75%) (Score < 60%) (Zero in Section 11)
USE FORM IN NEXT WORKSHEET (Corrective Action needed for all Items with a score of 0 or 1)
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Control
SUPPLIER ASSESSMENT CORRECTIVE ACTION REPORT Number
Supplier Name Assessment Date (X) Actual Date Contact Details
Auditee (Management Rep.) Required Submission Date (X+10days) Auditor
Lead Auditor Required Closure Date(X+60days) Auditee
Section Findings Action Proposed Key Date Status Review-1 (7 Days) Review-2 (20 Days)
1) Format Row Height to accommodate the text 2) Hide Blank rows before submitting to Newell
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Control
SUPPLIER ASSESSMENT CORRECTIVE ACTION REPORT Number
Supplier Name Assessment Date (X) Actual Date Contact Details
Auditee (Management Rep.) Required Submission Date (X+10days) Auditor
Lead Auditor Required Closure Date(X+60days) Auditee
Section Findings Action Proposed Key Date Status Review-1 (7 Days) Review-2 (20 Days)
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Control
SUPPLIER ASSESSMENT CORRECTIVE ACTION REPORT Number
Supplier Name Assessment Date (X) Actual Date Contact Details
Auditee (Management Rep.) Required Submission Date (X+10days) Auditor
Lead Auditor Required Closure Date(X+60days) Auditee
Section Findings Action Proposed Key Date Status Review-1 (7 Days) Review-2 (20 Days)
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Control
SUPPLIER ASSESSMENT CORRECTIVE ACTION REPORT Number
Supplier Name Assessment Date (X) Actual Date Contact Details
Auditee (Management Rep.) Required Submission Date (X+10days) Auditor
Lead Auditor Required Closure Date(X+60days) Auditee
Section Findings Action Proposed Key Date Status Review-1 (7 Days) Review-2 (20 Days)
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Control
SUPPLIER ASSESSMENT CORRECTIVE ACTION REPORT Number
Supplier Name Assessment Date (X) Actual Date Contact Details
Auditee (Management Rep.) Required Submission Date (X+10days) Auditor
Lead Auditor Required Closure Date(X+60days) Auditee
Section Findings Action Proposed Key Date Status Review-1 (7 Days) Review-2 (20 Days)
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Control
SUPPLIER ASSESSMENT CORRECTIVE ACTION REPORT Number
Supplier Name Assessment Date (X) Actual Date Contact Details
Auditee (Management Rep.) Required Submission Date (X+10days) Auditor
Lead Auditor Required Closure Date(X+60days) Auditee
Section Findings Action Proposed Key Date Status Review-1 (7 Days) Review-2 (20 Days)
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Appendix B
Supportive Information Submission Checklist
Information
Submission
Sharing
during
Audit
List of Documents for Submission
a. Business License, signed & with company seal Mandatory Mandatory
b. List of machine & equipments and List of Newell's Assets
Mandatory Mandatory
maintained by Supplier
c. List of Holidays Mandatory Preferred
d. Financial Results of past 2 years Mandatory Optional
e. Installed Capacity Assessment Preferred Optional
f. Last 12 months DPPM Performance Preferred Optional
g. Last 12 months Service Level Performance Preferred Optional
h. Letter for Lead Time Commitment Preferred Optional
i. Letter for Payment Terms with Newell Preferred Optional
j. Latest CDA signed & with company seal Mandatory Mandatory
k. Newell’s Product Safety Letter signed & with company seal Mandatory Mandatory
l. Latest list of Hazardous materials used in the plant. Mandatory Mandatory
l. Copies of Valid Management Certifications
1) QMS – ISO-9001-2000 OR ISO/TS 16949-2002 (TS-2) (Preferred to
have soft version of QMS manual sent to us before audit )
Preferred Optional
2) Social Accountability – SA8000 / Walmart's Ethical Assessment Report Preferred Optional
3) Environment, Health and Safety ISO 14000 Preferred Optional
4) Occupational Health & Safety OHSAS18001 Preferred Optional
5) Hazardous Material Management QC080000 Preferred Optional
Remarks (If any):
Issue :Feb'08 Rev- Aug'08
Check Box
Remarks If Any using drop
down list
o
o
o
o
o
o
o
o
o
o
o
o
o
o
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o
Always use Pictures formated with
MUST provide Pictures as a Objective Evidence compressed mode
SN Element Or Process Picture Picture Comments
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