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Supplier Audit Check List - Excel

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Supplier Audit Check List - Excel 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-                                               RoHS Requirements
          hour training course and ESAC Scoring Guidelines. The "Auditing with ESAC" course                                                   REACH Compliance
          provides 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
4c87170e-92aa-4121-a1ae-da549929c01a.xls                                               Date Printed: 8/18/2011                                                              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
4c87170e-92aa-4121-a1ae-da549929c01a.xls                                      Date Printed: 8/18/2011                                                          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
4c87170e-92aa-4121-a1ae-da549929c01a.xls                                       Date Printed: 8/18/2011                                                                    Page: 3 of 47
                                                                                                                                                                  Language
       Available
      Languages
                                                                    Language Selection Instruction                                                                Selection
                                                                                                                                                                   Buttons
                                                                                                                                                                   Chinese-
Chinese-                   供应商指示:
               中国简单                                                                                                                                                Simple
 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
  4c87170e-92aa-4121-a1ae-da549929c01a.xls Language                     Date Prined: 8/18/2011                                                                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
4c87170e-92aa-4121-a1ae-da549929c01a.xls                    Date Printed: 8/18/2011                                                          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
4c87170e-92aa-4121-a1ae-da549929c01a.xls                    Date Printed: 8/18/2011                                                          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
4c87170e-92aa-4121-a1ae-da549929c01a.xls                              Date Printed: 8/18/2011                                                          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
4c87170e-92aa-4121-a1ae-da549929c01a.xls                           Date Printed: 8/18/2011                                                             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
4c87170e-92aa-4121-a1ae-da549929c01a.xls                     Date Printed: 8/18/2011                                                          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    On-Site   After CAPA                                CA-PA     Completion
                                                                                                                                       Self-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,
                                    participates in periodic quality    inspection yields, resource
 1.0 QUALITY MANAGEMENT




                                    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,        measurement, internal audits,
                                    design reviews, customer            action plans, customer surveys
                                    satisfaction surveys or other
                                    meaningful inputs. Documented
                                    procedures required. Records
                                    required.




                                      Emerson Proprietary                                                                                                                                                                                  Std Checklist
                                      4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                  Date Printed: 8/18/2011                                                 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    On-Site   After CAPA                                CA-PA     Completion
                                                                                                                                       Self-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,
                                    place that provides root cause        trend charts, meeting minutes,
                                    analysis and takes timely and         nonconformance frequency &
 2.0 CONTINUOUS IMPROVEMENT




                                    effective action to prevent           cost analysis. Does CA
                                    recurrence. Documented                system cover customer,
                                    procedures required. Records          internal & 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.




                                      Emerson Proprietary                                                                                                                                                                                  Std Checklist
                                      4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                  Date Printed: 8/18/2011                                                 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    On-Site   After CAPA                                CA-PA     Completion
                                                                                                                                     Self-Audit    Audit       Verif.             AUDIT FINDINGS &    Req'd?       Date




                                                                                                         Not
                                               Requirements             Typical Objective Evidence                                    SCORE       SCORE       SCORE                OBSERVATIONS       (Y / N)   (mm/dd/yy)   Status
                             3.3   Suitable methods are used to         Records of student testing,
                                   verify training effectiveness.       production quality records,
                                   Records required.                    audit records, interview
 3.0 TRAINING & EDUCATION




                                                                        workers to validate training
                                                                        records. Look for use of
                                                                        training aids & work
                                                                        instructions at work stations.




                             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,
 4.0 OCCUPATIONAL HEALTH &




                                   (OHS) policy states the              health & safety trend charts,
                                   organization’s health and safety     accident rate improvement
                                   objectives and management's          history, etc.
          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,     meeting minutes, accident
                                   the 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        user surveys, technical design
 5.0 DESIGN DEVELOPMENT &




                                   into product designs and/or          reviews, mfg process
                                   manufacturing processes. Critical-   capability studies, formal
                                   to-Quality (CTQ) characteristics     process qualification plan,
          SUPPORT




                                   are identified and understood.       manufacturing verification
                                   Records required.                    tests, pilot runs, etc.




                                     Emerson Proprietary                                                                                                                                                                                 Std Checklist
                                     4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                 Date Printed: 8/18/2011                                                 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    On-Site   After CAPA                                CA-PA     Completion
                                                                                                                                                Self-Audit    Audit       Verif.             AUDIT FINDINGS &    Req'd?       Date




                                                                                                                    Not
                                                    Requirements              Typical Objective Evidence                                         SCORE       SCORE       SCORE                OBSERVATIONS       (Y / N)   (mm/dd/yy)   Status
 DEVELOPMENT & SUPPORT




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




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



                                    5.3   Design validation is an integral    Design results,
                                          part of the design process and      manufacturability, productivity
 5.0 DESIGN DEVELOPMENT & SUPPORT




                                          occurs prior to production          and cost studies, confirmation
                                          release. 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.
                                          are adequate to meet Emerson’s      Equipment/software
 5.0 DESIGN DEVELOPMENT &




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




                                          exchange.
 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




                                            Emerson Proprietary                                                                                                                                                                                     Std Checklist
                                            4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                     Date Printed: 8/18/2011                                                 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    On-Site   After CAPA                                CA-PA     Completion
                                                                                                                                         Self-Audit    Audit       Verif.             AUDIT FINDINGS &    Req'd?       Date




                                                                                                             Not
                                                  Requirements              Typical Objective Evidence                                    SCORE       SCORE       SCORE                OBSERVATIONS       (Y / N)   (mm/dd/yy)   Status
                                 6.3   Reliability test plans are           Reliability test plans, test
                                       developed and routinely followed.    reports,
                                       Testing is used to verify design     improvement/corrective
                                       spec's, drive design                 actions taken, design changes
 6.0 QUALITY PLANNING




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




                                 6.4   Product reliability test data is     Reliability test summary
                                       available upon request and           reports/charts
 6.0 QUALITY PLANNING




                                       historical test performance data
                                       shows a highly stable process
                                       and product design. Records
                                       required.




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




                                       implemented in a timely manner.      on 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
 SPECIFICATIONS
 7.0 DRAWINGS &




                                       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,           compliance to Jedec
                                       product transfers, raw material or   standards JESD 46 and JESD
                                       product obsolescence. Records        48 (or equivalent, if app.).
                                       required.                            Signed material / process
                                                                            change requests. Customers
                                                                            are notified of RoHS
                                                                            compliance status change.




                                         Emerson Proprietary                                                                                                                                                                                 Std Checklist
                                         4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                 Date Printed: 8/18/2011                                                 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    On-Site   After CAPA                                CA-PA     Completion
                                                                                                                                              Self-Audit    Audit       Verif.             AUDIT FINDINGS &    Req'd?       Date




                                                                                                                  Not
                                                  Requirements               Typical Objective Evidence                                        SCORE       SCORE       SCORE                OBSERVATIONS       (Y / N)   (mm/dd/yy)   Status
                                 7.4   Quality records are maintained. A     Procedures, list of records to
 7.0 DRAWINGS & SPECIFICATIONS




                                       record control system is in place     be kept with retention periods
                                       for the identification, storage,      specified
                                       protection, retrieval, retention
                                       time, and disposition of quality
                                       records.




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




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




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




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




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




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




                                         Emerson Proprietary                                                                                                                                                                                      Std Checklist
                                         4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                      Date Printed: 8/18/2011                                                 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    On-Site   After CAPA                                CA-PA     Completion
                                                                                                                                         Self-Audit    Audit       Verif.             AUDIT FINDINGS &    Req'd?       Date




                                                                                                             Not
                                                Requirements              Typical Objective Evidence                                      SCORE       SCORE       SCORE                OBSERVATIONS       (Y / N)   (mm/dd/yy)   Status
                              8.5   A system exists for the               Procedures, segregation
                                    identification, verification and      during storage, limited and
 8.0 PROCUREMENT




                                    protection of customer supplied       controlled access to stored
                                    product that includes notifying the   inventories
                                    customer if product is damaged
                                    or lost. Records required.




                              9.1   Receiving inspection is performed     Procedures, inspection
                                    per documented procedures and         instructions resources
 9.0 INCOMING
    MATERIAL




                                    detailed work instructions.           (manpower and equipment)
                                    Records required.                     allocated for incoming
                                                                          inspection


                              9.2   Inspected material is adequately      Quality Control label, marking
 9.0 INCOMING MATERIAL




                                    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
                                    requests require root cause           procedure, standardized
 9.0 INCOMING MATERIAL




                                    investigation and records show        Corrective Action form,
                                    responses are analyzed.               analysis of corrective action
                                    Documented procedures                 cycle time and closure
                                    required. Records required.           measurements




                              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.




                                      Emerson Proprietary                                                                                                                                                                                    Std Checklist
                                      4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                    Date Printed: 8/18/2011                                                 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    On-Site   After CAPA                                CA-PA     Completion
                                                                                                                                                             Self-Audit    Audit       Verif.             AUDIT FINDINGS &    Req'd?       Date




                                                                                                                                 Not
                                                                Requirements                 Typical Objective Evidence                                       SCORE       SCORE       SCORE                OBSERVATIONS       (Y / N)   (mm/dd/yy)   Status
                                                 10.2 Control Plans are used to plan         Process flow diagram,
                                                      and 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          Handling procedures for
       QUALITY




                                                      and tests to be done during            Electro-Static Discharge
                                                      production.                            (ESD), RoHS compliant
                                                                                             materials & other process
                                                                                             conditions.

                                                 10.4 Appropriate inspections, tests and     Records of inspections
 10.0 MANUFACTURING QUALITY




                                                      process adjustments are made           performed at incoming, first
                                                      per applicable work instructions to    piece, in-process and/or final
                                                      verify conformance at key points       inspection or test. Capability
                                                      throughout the process and prior       study, material test, RoHS and
                                                      to shipment. Records required.         other regulatory tests, etc.




                                                 10.5 The inspection and process             Batch records, travelers, tags,
 10.0 MANUFACTURING QUALITY 10.0 MANUFACTURING




                                                      status of product is identified and    labels, product markings or
                                                      maintained throughout the              use of designated & identified
                                  QUALITY




                                                      production process. Records            areas.
                                                      required.




                                                 10.6 Customers are notified of low          Corrective actions, records of
                                                      yield production lots or issues that   customer notifications,
                                                      affect product reliability.            reliability test data, etc.
                                                      Documented procedures
                                                      required. Records required.




                                                        Emerson Proprietary                                                                                                                                                                                      Std Checklist
                                                        4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                      Date Printed: 8/18/2011                                                 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    On-Site   After CAPA                                CA-PA     Completion
                                                                                                                                    Self-Audit    Audit       Verif.             AUDIT FINDINGS &    Req'd?       Date




                                                                                                        Not
                                           Requirements                Typical Objective Evidence                                    SCORE       SCORE       SCORE                OBSERVATIONS       (Y / N)   (mm/dd/yy)   Status
                            11.1 Key part characteristics and          Histograms, run charts, SPC
                                 process parameters are reviewed       charts, pareto analysis, cause
 11.0 PROCESS CONTROL




                                 and statistically based controls      & effect diagrams, DOE,
                                 and/or problem solving tools are      mistake proofing, documented
                                 used to control variation.            reaction plan & process
                                                                       corrections.




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




                                 of variation.                         trend 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.



                            11.4 Out of control conditions are         Control charts
 11.0 STATISTICAL PROCESS




                                 noted 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
    MATERIAL




                                 required. 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.




                                   Emerson Proprietary                                                                                                                                                                                  Std Checklist
                                   4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                  Date Printed: 8/18/2011                                                 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    On-Site   After CAPA                                CA-PA     Completion
                                                                                                                                        Self-Audit    Audit       Verif.             AUDIT FINDINGS &    Req'd?       Date




                                                                                                            Not
                                              Requirements               Typical Objective Evidence                                      SCORE       SCORE       SCORE                OBSERVATIONS       (Y / N)   (mm/dd/yy)   Status
                               12.3 Use of nonconforming material is     Written procedure, waiver or
 12.0 NONCONFORMING




                                    documented under a formal            concession records
                                    waiver or concession system.
       MATERIAL




                                    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                Look for mixing of RoHS
                                    required. 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.




                               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.               out-of-calibration devices, and
 13.0 MEASUREMENT EQUIPMENT




                                    Records required.                    inventory, location & status
                                                                         records, etc.




                                      Emerson Proprietary                                                                                                                                                                                   Std Checklist
                                      4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                   Date Printed: 8/18/2011                                                 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    On-Site   After CAPA                                CA-PA     Completion
                                                                                                                                         Self-Audit    Audit       Verif.             AUDIT FINDINGS &    Req'd?       Date




                                                                                                             Not
                                              Requirements                  Typical Objective Evidence                                    SCORE       SCORE       SCORE                OBSERVATIONS       (Y / N)   (mm/dd/yy)   Status
                               13.3 Gages and test equipment are            Calibration procedures, and
                                    calibrated against standards            calibration stickers and other
 13.0 MEASUREMENT




                                    traceable to a recognized               records.
      EQUIPMENT




                                    regulatory body or agency.
                                    Records required.




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




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




                               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                  Review of storage area,
 14.0 PREVENTIVE MAINTENANCE




                                    appropriate, clearly defined area,      labeling, tooling records
                                    with 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,
                                    system exists for production            PM schedule and compliance
 14.0 PREVENTIVE
   MAINTENANCE




                                    equipment, tools and fixtures.          results




                                      Emerson Proprietary                                                                                                                                                                                    Std Checklist
                                      4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                    Date Printed: 8/18/2011                                                 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    On-Site   After CAPA                                CA-PA     Completion
                                                                                                                                       Self-Audit    Audit       Verif.             AUDIT FINDINGS &    Req'd?       Date




                                                                                                           Not
                                              Requirements               Typical Objective Evidence                                     SCORE       SCORE       SCORE                OBSERVATIONS       (Y / N)   (mm/dd/yy)   Status
                               14.3 Preventive Maintenance schedule      No equipment, tools, or
 14.0 PREVENTIVE MAINTENANCE




                                    is followed. Product cannot be       fixtures are in use that are
                                    made with tools that are outside     outside TPM schedule, or have
                                    of maintenance period.               unclear status
                                    Performance is audited




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




                                    improvement and pollution
                                    prevention.




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




                                    regulations and there are no         environmentally sensitive
                                    outstanding, unresolved violations   activities w/ list of mtl's and
                                    of these regulations.                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      stream and consumption;
 15.0 ENVIRONMENTAL




                                    of hazardous chemicals and to        inventory control procedures.
                                    ensure that Class I ozone
                                    depleting chemicals are not used
                                    in the manufacturing process.




                                      Emerson Proprietary                                                                                                                                                                                  Std Checklist
                                      4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                  Date Printed: 8/18/2011                                                 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    On-Site   After CAPA                                CA-PA     Completion
                                                                                                                                     Self-Audit    Audit       Verif.             AUDIT FINDINGS &    Req'd?       Date




                                                                                                         Not
                                           Requirements                Typical Objective Evidence                                     SCORE       SCORE       SCORE                OBSERVATIONS       (Y / N)   (mm/dd/yy)   Status
                            15.4 An on-going emphasis is placed        Records/use of; non-
                                 on using materials that are;          hazardous (RoHS/WEEE
                                 compliant with applicable             compliant) materials in
 15.0 ENVIRONMENTAL




                                 regulations like RoHS & WEEE,         production, biodegradable
                                 biodegradable, recyclable, re-        materials, returnable
                                 usable, reduces pollutant             containers or packaging,
                                 emissions at the point of use.        recycling program, packaging
                                                                       materials made of recycled
                                                                       materials.




                            16.1 Areas around the facility are clean   Observe production, office &
                                 and orderly. Tools and                product storage areas for use
 16.0 STORAGE & PACKAGING




                                 equipment are properly stored         of 5S/6S principles (Sort, Set-
                                 and readily available for use.        in-order, Shine, Standardize,
                                 Lighting and air quality are          Sustain + Safety)
                                 adequate.




                            16.2 Proper equipment and methods          Observe handling and transit
                                 are used to prevent product           of raw material, work-in-
 16.0 STORAGE &
   PACKAGING




                                 damage or loss in all phases of       process, and finished goods.
                                 the material handling process.




                            16.3 Documented procedures are             FIFO practices are defined,
 16.0 STORAGE & PACKAGING




                                 followed to ensure proper control     packaging specifications, test
                                 and preservation of handling,         results, handling and storage
                                 storage (FIFO), packaging, and        procedures.
                                 delivery of product.




                            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           carton strength tests
                                 shipment. Packaging tests if
                                 required. Records required.




                                    Emerson Proprietary                                                                                                                                                                                  Std Checklist
                                    4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                  Date Printed: 8/18/2011                                                 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    On-Site   After CAPA                                CA-PA     Completion
                                                                                                                                            Self-Audit    Audit       Verif.             AUDIT FINDINGS &    Req'd?       Date




                                                                                                                Not
                                                Requirements               Typical Objective Evidence                                        SCORE       SCORE       SCORE                OBSERVATIONS       (Y / N)   (mm/dd/yy)   Status
                                 16.5 Stored product/material is           Doc'd list of shelf-life sensitive
                                      periodically inspected, and where    products/materials (e.g.,
                                      applicable, actions are taken to     sealants, adhesives, solder
                                      prevent deterioration per            paste, paint/varnish, o'rings).
 16.0 STORAGE & PACKAGING




                                      documented procedures.               Look for poor storage
                                                                           conditions & damage (e.g.,
                                                                           rust or water damage).
                                                                           Handling procedures for
                                                                           Electro-Static Discharge
                                                                           (ESD) & other sensitive
                                                                           conditions.




                                 16.6 Contingency plans have been          Process covering utility
                                      developed that describe actions      interruptions, labor shortages,
 16.0 STORAGE & PACKAGING




                                      to be taken in the event of a        key equipment failures, major
                                      major interruption of the            production issues.
                                      manufacturing process.




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




                                 17.2 Technical & customer                 Records, plans, updates,
 SUBSTANCES (RoHS)
 17.0 RESTRICTION OF




                                      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-
 HAZARDOUS SUBSTANCES




                                      each RoHS controlled hazardous       type or manufacturing process
   17.0 RESTRICTION OF




                                      substance. Test sampling plan is     used. Procedures, test
                                      based on analysis of risk for each   methods, sampling plan,
          (RoHS)




                                      commodity and/or manufacturing       control plan.
                                      process used.




                                        Emerson Proprietary                                                                                                                                                                                     Std Checklist
                                        4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                     Date Printed: 8/18/2011                                                 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    On-Site   After CAPA                                CA-PA     Completion
                                                                                                                                        Self-Audit    Audit       Verif.             AUDIT FINDINGS &    Req'd?       Date




                                                                                                            Not
                                                Requirements               Typical Objective Evidence                                    SCORE       SCORE       SCORE                OBSERVATIONS       (Y / N)   (mm/dd/yy)   Status
                                 17.4 Qualified personnel are available    Training & education records.
 17.0 RESTRICTION OF HAZARDOUS




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




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




                                 17.5 RoHS technical requirements and      Test methods/procedures, tin
 HAZARDOUS SUBSTANCES




                                      inspection criteria are              whisker analysis instructions,
   17.0 RESTRICTION OF




                                      documented and available where       XRF work instructions, QC
                                      needed, e.g. solder fillet, tin      audits, etc. Ref to Jedec/IPC
          (RoHS)




                                      whiskers..                           Joint publication JP-002.




                                 17.6 Test methods and acceptance          Acceptance limits do not
 SUBSTANCES (RoHS)
 17.0 RESTRICTION OF




                                      limits follow recognized standards   exceed RoHS limits.
      HAZARDOUS




                                      and RoHS requirements.               References to recognized
                                                                           standard test protocols, such
                                                                           as, ISO, IEC, EPA.




                                 17.7 Incoming materials and finished      RoHS testing procedure,
 17.0 RESTRICTION OF HAZARDOUS




                                      goods are periodically tested with   sampling plan/frequency, test
                                      appropriate equipment to confirm     records. Use of XRF analyzer,
        SUBSTANCES (RoHS)




                                      RoHS compliance. Compliance          atomic absorption analyzer,
                                      declarations and test records are    UV-VIS equipment, etc..
                                      maintained for a minimum of 5        Qualified independent
                                      years.                               chemical lab 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
        SUBSTANCES (RoHS)




                                      non-compliant and RoHS               aware in distinguishing RoHS
                                      compliant items.                     materials and processes
                                                                           versus non-RoHS. Look for
                                                                           mixing of RoHS compliant &
                                                                           non-compliant materials.




                                         Emerson Proprietary                                                                                                                                                                                Std Checklist
                                         4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                Date Printed: 8/18/2011                                                 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    On-Site   After CAPA                                CA-PA     Completion
                                                                                                                                           Self-Audit    Audit       Verif.             AUDIT FINDINGS &    Req'd?       Date




                                                                                                               Not
                                                Requirements               Typical Objective Evidence                                       SCORE       SCORE       SCORE                OBSERVATIONS       (Y / N)   (mm/dd/yy)   Status
                                 17.9 There are documented                 Observation of handling /
 17.0 RESTRICTION OF HAZARDOUS




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




                                      of finished goods returned from      aware 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
 SUBSTANCES (RoHS)
 17.0 RESTRICTION OF




                                      system is used to monitor the        maintained to track RoHS
                                      status of RoHS compliance and        compliance status by part
      HAZARDOUS




                                      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.




                                 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
 Compliance
 18.0 REACH




                                      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
 18.0 REACH Compliance




                                      handling information (such as a      of the Material Safety Data
                                      Material Safety Data Sheet) for      Sheet (MSDS) or Safety Data
                                      any dangerous substances             Sheet (SDS) in the EU which
                                      contained in or on it's products.    may include Exposure
                                                                           Scenario (ES) and/or Risk
                                                                           Management Measures
                                                                           (RMM).




                                         Emerson Proprietary                                                                                                                                                                                   Std Checklist
                                         4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                   Date Printed: 8/18/2011                                                 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     On-Site    After CAPA                                                      CA-PA     Completion
                                                                                                                                             Self-Audit     Audit        Verif.             AUDIT FINDINGS &                          Req'd?       Date




                                                                                                          Not
                                          Requirements               Typical Objective Evidence                                               SCORE        SCORE        SCORE                OBSERVATIONS                             (Y / N)   (mm/dd/yy)   Status
                            18.5 The supplier has informed           If the official candidate list has
                                 Emerson if they are providing (or   been published by the ECHA
                                 will be providing) Emerson with     (European Chemicals
                                 products that contain Substances    Agency), then look for records
    18.0 REACH Compliance




                                 of Very High Concern (SVHC)         of communication to Emerson
                                 that exceed 0.1% wt./wt.            of 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 #
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #
    Req #
                                                                                                            Not Applicable




                                                                                                                                             Supplier                   After
                                                                                                                             Not Verified




                                                                                                                                            Self-Audit     On-Site     CAPA
                                 TOTAL SCORES FOR THIS CHECKLIST ONLY                                                                          Std        Audit Std   Verif. 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
                                   4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                                             Date Printed: 8/18/2011                                                                       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,
                                    participates in periodic quality    inspection yields, resource
 1.0 QUALITY MANAGEMENT




                                    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,        measurement, internal audits,
                                    design reviews, customer            action plans, customer surveys
                                    satisfaction surveys or other
                                    meaningful inputs. Documented
                                    procedures required. Records
                                    required.




                                      Emerson Proprietary                                                                                                                                                                                            Std Checklist
                                      4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                              Date Printed: 8/18/2011                                                                               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,
                                    place that provides root cause        trend charts, meeting minutes,
                                    analysis and takes timely and         nonconformance frequency &
 2.0 CONTINUOUS IMPROVEMENT




                                    effective action to prevent           cost analysis. Does CA
                                    recurrence. Documented                system cover customer,
                                    procedures required. Records          internal & 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.




                                      Emerson Proprietary                                                                                                                                                                                            Std Checklist
                                      4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                              Date Printed: 8/18/2011                                                                               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
                             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.




                             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,
 4.0 OCCUPATIONAL HEALTH &




                                   (OHS) policy states the              health & safety trend charts,
                                   organization’s health and safety     accident rate improvement
                                   objectives and management's          history, etc.
          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,     meeting minutes, accident
                                   the 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        user surveys, technical design
 5.0 DESIGN DEVELOPMENT &




                                   into product designs and/or          reviews, mfg process
                                   manufacturing processes. Critical-   capability studies, formal
                                   to-Quality (CTQ) characteristics     process qualification plan,
          SUPPORT




                                   are identified and understood.       manufacturing verification
                                   Records required.                    tests, pilot runs, etc.




                                     Emerson Proprietary                                                                                                                                                                                           Std Checklist
                                     4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                             Date Printed: 8/18/2011                                                                               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
 DEVELOPMENT & SUPPORT




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




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



                                    5.3   Design validation is an integral    Design results,
                                          part of the design process and      manufacturability, productivity
 5.0 DESIGN DEVELOPMENT & SUPPORT




                                          occurs prior to production          and cost studies, confirmation
                                          release. 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.
                                          are adequate to meet Emerson’s      Equipment/software
 5.0 DESIGN DEVELOPMENT &




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




                                          exchange.
 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




                                            Emerson Proprietary                                                                                                                                                                                               Std Checklist
                                            4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                 Date Printed: 8/18/2011                                                                               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
                                 6.3   Reliability test plans are           Reliability test plans, test
                                       developed and routinely followed.    reports,
                                       Testing is used to verify design     improvement/corrective
                                       spec's, drive design                 actions taken, design changes
 6.0 QUALITY PLANNING




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




                                 6.4   Product reliability test data is     Reliability test summary
                                       available upon request and           reports/charts
 6.0 QUALITY PLANNING




                                       historical test performance data
                                       shows a highly stable process
                                       and product design. Records
                                       required.




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




                                       implemented in a timely manner.      on 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
 SPECIFICATIONS
 7.0 DRAWINGS &




                                       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,           compliance to Jedec
                                       product transfers, raw material or   standards JESD 46 and JESD
                                       product obsolescence. Records        48 (or equivalent, if app.).
                                       required.                            Signed material / process
                                                                            change requests. Customers
                                                                            are notified of RoHS
                                                                            compliance status change.




                                         Emerson Proprietary                                                                                                                                                                                           Std Checklist
                                         4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                             Date Printed: 8/18/2011                                                                               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
                                 7.4   Quality records are maintained. A     Procedures, list of records to
 7.0 DRAWINGS & SPECIFICATIONS




                                       record control system is in place     be kept with retention periods
                                       for the identification, storage,      specified
                                       protection, retrieval, retention
                                       time, and disposition of quality
                                       records.




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




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




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




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




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




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




                                         Emerson Proprietary                                                                                                                                                                                                Std Checklist
                                         4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                  Date Printed: 8/18/2011                                                                               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
                              8.5   A system exists for the               Procedures, segregation
                                    identification, verification and      during storage, limited and
 8.0 PROCUREMENT




                                    protection of customer supplied       controlled access to stored
                                    product that includes notifying the   inventories
                                    customer if product is damaged
                                    or lost. Records required.




                              9.1   Receiving inspection is performed     Procedures, inspection
                                    per documented procedures and         instructions resources
 9.0 INCOMING
    MATERIAL




                                    detailed work instructions.           (manpower and equipment)
                                    Records required.                     allocated for incoming
                                                                          inspection


                              9.2   Inspected material is adequately      Quality Control label, marking
 9.0 INCOMING MATERIAL




                                    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
                                    requests require root cause           procedure, standardized
 9.0 INCOMING MATERIAL




                                    investigation and records show        Corrective Action form,
                                    responses are analyzed.               analysis of corrective action
                                    Documented procedures                 cycle time and closure
                                    required. Records required.           measurements




                              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.




                                      Emerson Proprietary                                                                                                                                                                                              Std Checklist
                                      4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                Date Printed: 8/18/2011                                                                               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
                                                 10.2 Control Plans are used to plan         Process flow diagram,
                                                      and 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          Handling procedures for
       QUALITY




                                                      and tests to be done during            Electro-Static Discharge
                                                      production.                            (ESD), RoHS compliant
                                                                                             materials & other process
                                                                                             conditions.

                                                 10.4 Appropriate inspections, tests and     Records of inspections
 10.0 MANUFACTURING QUALITY




                                                      process adjustments are made           performed at incoming, first
                                                      per applicable work instructions to    piece, in-process and/or final
                                                      verify conformance at key points       inspection or test. Capability
                                                      throughout the process and prior       study, material test, RoHS and
                                                      to shipment. Records required.         other regulatory tests, etc.




                                                 10.5 The inspection and process             Batch records, travelers, tags,
 10.0 MANUFACTURING QUALITY 10.0 MANUFACTURING




                                                      status of product is identified and    labels, product markings or
                                                      maintained throughout the              use of designated & identified
                                  QUALITY




                                                      production process. Records            areas.
                                                      required.




                                                 10.6 Customers are notified of low          Corrective actions, records of
                                                      yield production lots or issues that   customer notifications,
                                                      affect product reliability.            reliability test data, etc.
                                                      Documented procedures
                                                      required. Records required.




                                                        Emerson Proprietary                                                                                                                                                                                                Std Checklist
                                                        4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                  Date Printed: 8/18/2011                                                                               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
                            11.1 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         process corrections. SPC
 PROCESS CONTROL
  11.0 STATISTICAL




                                 of variation.                         trend 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.



                            11.4 Out of control conditions are         Control charts
 11.0 STATISTICAL PROCESS




                                 noted 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
    MATERIAL




                                 required. 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.




                                   Emerson Proprietary                                                                                                                                                                                            Std Checklist
                                   4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                              Date Printed: 8/18/2011                                                                               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
                               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                Look for mixing of RoHS
                                    required. 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.




                               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.               out-of-calibration devices, and
 13.0 MEASUREMENT EQUIPMENT




                                    Records required.                    inventory, location & status
                                                                         records, etc.




                                      Emerson Proprietary                                                                                                                                                                                             Std Checklist
                                      4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                               Date Printed: 8/18/2011                                                                               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
                               13.3 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,
 13.0 MEASUREMENT EQUIPMENT




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




                               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                  Review of storage area,
 14.0 PREVENTIVE MAINTENANCE




                                    appropriate, clearly defined area,      labeling, tooling records
                                    with 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,
                                    system exists for production            PM schedule and compliance
 14.0 PREVENTIVE
   MAINTENANCE




                                    equipment, tools and fixtures.          results




                                      Emerson Proprietary                                                                                                                                                                                              Std Checklist
                                      4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                Date Printed: 8/18/2011                                                                               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
                               14.3 Preventive Maintenance schedule      No equipment, tools, or
 14.0 PREVENTIVE MAINTENANCE




                                    is followed. Product cannot be       fixtures are in use that are
                                    made with tools that are outside     outside TPM schedule, or have
                                    of maintenance period.               unclear status
                                    Performance is audited




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




                                    improvement and pollution
                                    prevention.




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




                                    regulations and there are no         environmentally sensitive
                                    outstanding, unresolved violations   activities w/ list of mtl's and
                                    of these regulations.                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      stream and consumption;
 15.0 ENVIRONMENTAL




                                    of hazardous chemicals and to        inventory control procedures.
                                    ensure that Class I ozone
                                    depleting chemicals are not used
                                    in the manufacturing process.




                                      Emerson Proprietary                                                                                                                                                                                            Std Checklist
                                      4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                              Date Printed: 8/18/2011                                                                               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
                            15.4 An on-going emphasis is placed        Records/use of; non-
                                 on using materials that are;          hazardous (RoHS/WEEE
                                 compliant with applicable             compliant) materials in
 15.0 ENVIRONMENTAL




                                 regulations like RoHS & WEEE,         production, biodegradable
                                 biodegradable, recyclable, re-        materials, returnable
                                 usable, reduces pollutant             containers or packaging,
                                 emissions at the point of use.        recycling program, packaging
                                                                       materials made of recycled
                                                                       materials.




                            16.1 Areas around the facility are clean   Observe production, office &
                                 and orderly. Tools and                product storage areas for use
 16.0 STORAGE & PACKAGING




                                 equipment are properly stored         of 5S/6S principles (Sort, Set-
                                 and readily available for use.        in-order, Shine, Standardize,
                                 Lighting and air quality are          Sustain + Safety)
                                 adequate.




                            16.2 Proper equipment and methods          Observe handling and transit
                                 are used to prevent product           of raw material, work-in-
 16.0 STORAGE &
   PACKAGING




                                 damage or loss in all phases of       process, and finished goods.
                                 the material handling process.




                            16.3 Documented procedures are             FIFO practices are defined,
 16.0 STORAGE & PACKAGING




                                 followed to ensure proper control     packaging specifications, test
                                 and preservation of handling,         results, handling and storage
                                 storage (FIFO), packaging, and        procedures.
                                 delivery of product.




                            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           carton strength tests
                                 shipment. Packaging tests if
                                 required. Records required.




                                    Emerson Proprietary                                                                                                                                                                                            Std Checklist
                                    4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                              Date Printed: 8/18/2011                                                                               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
                                 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      interruptions, labor shortages,
 16.0 STORAGE & PACKAGING




                                      to be taken in the event of a        key equipment failures, major
                                      major interruption of the            production issues.
                                      manufacturing process.




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




                                 17.2 Technical & customer                 Records, plans, updates,
 SUBSTANCES (RoHS)
 17.0 RESTRICTION OF




                                      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-
 HAZARDOUS SUBSTANCES




                                      each RoHS controlled hazardous       type or manufacturing process
   17.0 RESTRICTION OF




                                      substance. Test sampling plan is     used. Procedures, test
                                      based on analysis of risk for each   methods, sampling plan,
          (RoHS)




                                      commodity and/or manufacturing       control plan.
                                      process used.




                                        Emerson Proprietary                                                                                                                                                                                               Std Checklist
                                        4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                 Date Printed: 8/18/2011                                                                               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
                                 17.4 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
 HAZARDOUS SUBSTANCES




                                      inspection criteria are              whisker analysis instructions,
   17.0 RESTRICTION OF




                                      documented and available where       XRF work instructions, QC
                                      needed, e.g. solder fillet, tin      audits, etc. Ref to Jedec/IPC
          (RoHS)




                                      whiskers..                           Joint publication JP-002.




                                 17.6 Test methods and acceptance          Acceptance limits do not
 SUBSTANCES (RoHS)
 17.0 RESTRICTION OF




                                      limits follow recognized standards   exceed RoHS limits.
      HAZARDOUS




                                      and RoHS requirements.               References to recognized
                                                                           standard test protocols, such
                                                                           as, ISO, IEC, EPA.




                                 17.7 Incoming materials and finished      RoHS testing procedure,
 17.0 RESTRICTION OF HAZARDOUS




                                      goods are periodically tested with   sampling plan/frequency, test
                                      appropriate equipment to confirm     records. Use of XRF analyzer,
        SUBSTANCES (RoHS)




                                      RoHS compliance. Compliance          atomic absorption analyzer,
                                      declarations and test records are    UV-VIS equipment, etc..
                                      maintained for a minimum of 5        Qualified independent
                                      years.                               chemical lab 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
        SUBSTANCES (RoHS)




                                      non-compliant and RoHS               aware in distinguishing RoHS
                                      compliant items.                     materials and processes
                                                                           versus non-RoHS. Look for
                                                                           mixing of RoHS compliant &
                                                                           non-compliant materials.




                                         Emerson Proprietary                                                                                                                                                                                          Std Checklist
                                         4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                            Date Printed: 8/18/2011                                                                               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
                                 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
        SUBSTANCES (RoHS)




                                      of finished goods returned from      aware 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
 SUBSTANCES (RoHS)
 17.0 RESTRICTION OF




                                      system is used to monitor the        maintained to track RoHS
                                      status of RoHS compliance and        compliance status by part
      HAZARDOUS




                                      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.




                                 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
 Compliance
 18.0 REACH




                                      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
 18.0 REACH Compliance




                                      handling information (such as a      of the Material Safety Data
                                      Material Safety Data Sheet) for      Sheet (MSDS) or Safety Data
                                      any dangerous substances             Sheet (SDS) in the EU which
                                      contained in or on it's products.    may include Exposure
                                                                           Scenario (ES) and/or Risk
                                                                           Management Measures
                                                                           (RMM).




                                         Emerson Proprietary                                                                                                                                                                                             Std Checklist
                                         4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                               Date Printed: 8/18/2011                                                                               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
                            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
                                 products that contain Substances    Agency), then look for records
    18.0 REACH Compliance




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




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




                                 TOTAL SCORES FOR THIS CHECKLIST ONLY

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

                                   Emerson Proprietary                                                                                                                                                                                               Std Checklist
                                   4c87170e-92aa-4121-a1ae-da549929c01a.xls                                                                Date Printed: 8/18/2011                                                                                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
   4c87170e-92aa-4121-a1ae-da549929c01a.xls                            Date Printed: 8/18/2011                                                           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
   4c87170e-92aa-4121-a1ae-da549929c01a.xls                           Date Printed: 8/18/2011                                                           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                                                           10              0
            (RoHS)                                                                          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
   4c87170e-92aa-4121-a1ae-da549929c01a.xls                                        Date Printed: 8/18/2011                                                              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
   4c87170e-92aa-4121-a1ae-da549929c01a.xls                                      Date Printed: 8/18/2011                                                                      Page: 47 of 47

				
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