Beruflich Dokumente
Kultur Dokumente
INTENDED FOR USE WITH EXCEL 2003 OR 2007 Traditional, Dutch, English, French, German, Russian & Spanish. Table of Contents
Revision Level: ESAC 2008-06
Contents
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
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.
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.
Chinese-
Chinese- 供应商指示: 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
中國傳統 Traditional (中國
Traditional 出的區域。
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“.
(intentionally
blank)
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)
(intentionally
blank)
总概述
General Information
ESAC is an assessment of the supplier's quality management system.
ESAC is based on ISO 9001:2000 and ISO/TS 16949:2002. A cross-reference table has been provided below. ISO / TS Cross-References
General quality system auditor training is a necessary first step to effectively using any formalized audit
protocol. Recommended minimum training for ESAC auditors and lead auditors are as follows;
Auditor: 16 hour general auditor course and 4 hours of training on how to use ESAC. Internal Auditor training and
participation is acceptable.
Lead Auditor: 40 hours of general auditor training and 4 hours of training on how to use ESAC. Experience should
include participation in at least three quality system audits as an auditor-in-training where at least one audit is an
ESAC audit.
Check the requested "Documentation to be Provided by Supplier". Return to this area to indicate items received. Supplier Provided Documentation
Fill-in the "Personnel Involved in Audit". You may need to complete this after the audit begins. Personnel Involved in Audit
Hide any unnecessary tabs. Typically, you should hide all tabs that have "Show / Hide" buttons on the Contents tab. Prepare Workbook
Send ESAC to supplier with instructions to complete the Supplier Profile and the Supplier Self-Audit scores. Also
instruct supplier to send the requested documentation and return the ESAC Workbook.
Supplier Self-Audit: Supplier uses the "Supplier Self-Audit SCORE" column on the Standard Checklist to indicate Supplier Self-Audit Score
level of compliance to each Requirement. Use scoring instructions below. Supplier may place "x" in Not Applicable
column, however final determination is made by Emerson.
Most auditors find it easier to note their observations and scores on a printed copy of the checklist and transfer the
information to the file afterward.
Emerson auditor types "x" in the “Not Applicable” column when appropriate. This must be based on product Not Applicable
requirements, not size of supplier.
Emerson auditor types "x" in the "Not Verified" column when appropriate. Use this only if time ran short and audit Not Verified
was incomplete for that requirement. Must be verified at next audit.
Emerson auditor to use scoring instructions below when assigning On-Site Audit Score.
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Emerson Supplier Audit Checklist
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tu 60 = SOME NON-COMPLIANCES; Corrective action required
id 70 = NO NON-COMPLIANCES; Meets Minimum Requirement / No CA required
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t 80 = NO NON-COMPLIANCES; Exceeds Minimum Requirement / No CA required
s
C 100 = NO NON-COMPLIANCES; Excellent / Highly commendable
h
e4 4 Audit Findings & Audit Team Recommendation
c
Emerson auditor records Findings and related information on the Standard Checklist (to right of the score Standard Checklist Findings
k columns). The same is done on the Added Requirements Checklist when applicable.
l
i Space is provided at the bottom of the Findings column for additional Findings if needed. Be sure to type in the Additional Findings/Observations
s Requirement reference number.
t If entering an Observation, enter "No" in the "Corrective Action Required" column. Corrective Action Required
Space is provided at the bottom of the Findings column for additional Observations if needed. Be sure to type in Additional Findings/Observations
the Requirement reference number.
Emerson auditor completes the “Audit Team Recommendation” and date on the Audit Results tab. Audit Team Recommendation
Use the filter arrow at the Finding column to display the Finding rows only by selecting "non-blank" rows.
Hide any unnecessary tabs. Typically, you should hide all tabs that have "Show / Hide" buttons on the Contents tab. Prepare Workbook
Send ESAC Workbook to supplier with instructions to complete the Supplier Corrective and Preventive Action
section on the Standard Checklist. It's to the right of the Findings column. (Be sure to hide unnecessary tabs.)
Supplier Corrective Action & Preventive Action (CAPA) plan must address:
Root Cause of the problem; should look beyond specific incident cited in Finding
If reviewed evidence is sufficient, the auditor presses the “Copy On-Site Audit Scores” button on the "Copy On-Site Scores" button (Emerson Only)
appropriate Checklist page. This copies all of the On-Site scores into the appropriate cells.
Emerson auditor adjusts the scores in the "After CAPA Verification Score" column based on the evidence After CAPA Verification Score (Emerson Only)
provided. See scoring instructions below.
Adjusted scores are used to make the Final Disposition.
Emerson auditor to use scoring instructions below when assigning After CAPA Verification Score.
List all audit records by supplier name or Commodity Family, supplier, country, etc. by selecting views from the
dropdown menus.
See instructions contained within the database for further details.
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 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 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 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?
10 Are the materials and parts produced in accordance with applicable environmental and product
safety regulations, laws and directives? (ie., RoHS, UL)
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 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.
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & OBSERVATIONS (Y / N) (mm/dd/yy) Status
1.1 The quality system is documented, Quality manual and all QS
1.0 QUALITY MANAGEMENT
1.2 Quality reports, trend charts and Product quality yield data, top
data analysis identify areas of problems and corresponding
1.0 QUALITY MANAGEMENT
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & OBSERVATIONS (Y / N) (mm/dd/yy) Status
2.2 A formal approach is used to Employee involvement /
2.0 CONTINUOUS IMPROVEMENT
3.1 The skill and education level Job descriptions, job skills
3.0 TRAINING & EDUCATION
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & OBSERVATIONS (Y / N) (mm/dd/yy) Status
3.3 Suitable methods are used to Records of student testing,
verify training effectiveness. production quality records, audit
Records required. records, interview workers to
3.0 TRAINING & EDUCATION
4.1 The Occupation Health & Safety Procedure for OHS training,
(OHS) management system communications, emergency
4.0 OCCUPATIONAL HEALTH &
4.2 The Occupation Health & Safety Policies and procedures, health
4.0 OCCUPATIONAL HEALTH &
4.3 Procedures are used for the on- Safety committee or group
4.0 OCCUPATIONAL
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & OBSERVATIONS (Y / N) (mm/dd/yy) Status
5.2 Product specifications and Complete product
5.0 DESIGN DEVELOPMENT
exchange.
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & OBSERVATIONS (Y / N) (mm/dd/yy) Status
6.3 Reliability test plans are Reliability test plans, test
developed and routinely followed. reports, improvement/corrective
Testing is used to verify design actions taken, design changes
spec's, drive design improvements implemented
6.0 QUALITY PLANNING
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & OBSERVATIONS (Y / N) (mm/dd/yy) Status
7.4 Quality records are maintained. A Procedures, list of records to be
7.0 DRAWINGS & SPECIFICATIONS
8.1 A formal process is used for the Supplier quality system audits
selection, qualification and re- and related corrective actions,
qualification of suppliers. Records engineering testing and
8.0 PROCUREMENT
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & OBSERVATIONS (Y / N) (mm/dd/yy) Status
8.5 A system exists for the Procedures, segregation during
identification, verification and storage, limited and controlled
protection of customer supplied access to stored inventories
8.0 PROCUREMENT
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & OBSERVATIONS (Y / N) (mm/dd/yy) Status
10.2 Control Plans are used to plan and Process flow diagram, statistical
deploy inspection and test tools to be used, key inspection
10.0 MANUFACTURING QUALITY
10.5 The inspection and process status Batch records, travelers, tags,
10.0 MANUFACTURING
required.
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & 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 &
and statistically based controls effect diagrams, DOE, mistake
11.0 PROCESS CONTROL
Records required.
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & OBSERVATIONS (Y / N) (mm/dd/yy) Status
12.3 Use of nonconforming material is Written procedure, waiver or
12.0 NONCONFORMING
required.
records, etc.
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & 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
Records required.
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & OBSERVATIONS (Y / N) (mm/dd/yy) Status
14.3 Preventive Maintenance schedule No equipment, tools, or fixtures
14.0 PREVENTIVE MAINTENANCE
prevention.
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & OBSERVATIONS (Y / N) (mm/dd/yy) Status
15.4 An on-going emphasis is placed Records/use of; non-hazardous
on using materials that are; (RoHS/WEEE compliant)
compliant with applicable materials in production,
regulations like RoHS & WEEE, biodegradable materials,
15.0 ENVIRONMENTAL
16.1 Areas around the facility are clean Observe production, office &
and orderly. Tools and equipment product storage areas for use of
16.0 STORAGE & PACKAGING
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & 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).
documented procedures. Look for poor storage conditions
16.0 STORAGE & PACKAGING
SUBSTANCES (RoHS)
process used.
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & OBSERVATIONS (Y / N) (mm/dd/yy) Status
17.4 Qualified personnel are available Training & education records.
17.0 RESTRICTION OF HAZARDOUS
SUBSTANCES (RoHS)
SUBSTANCES (RoHS)
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & OBSERVATIONS (Y / N) (mm/dd/yy) Status
17.9 There are documented procedures Observation of handling /
17.0 RESTRICTION OF HAZARDOUS
SUBSTANCES (RoHS)
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & OBSERVATIONS (Y / N) (mm/dd/yy) Status
18.5 The supplier has informed If the official candidate list has
Emerson if they are providing (or been published by the ECHA
will be providing) Emerson with (European Chemicals Agency),
products that contain Substances then look for records of
of Very High Concern (SVHC) that communication to Emerson of
18.0 REACH Compliance
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
Not Verified
After
TOTAL SCORES FOR THIS CHECKLIST ONLY Supplier On-Site CAPA
Self-Audit Audit Std Verif. Std
Std Chklst Chklst Chklst
SCORE SCORE SCORE On-Site Audit Findings
Sum of Scores (excluding Corrective Action plans will be submitted on
"n/a" & "Not Verified"): 0 0 0 (date):
Maximum Total Score Available: 0 0 8100 8100 8100 Emerson Audit Leader (name & title):
Standard Checklist Score: 0% 0% 0% Supplier QA Representative (name & title):
STANDARD CHECKLIST
Not Verified
Applicable
30-Dec-99 Supplier
CA-PA Completion
Req'd? Date
Not
Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE AUDIT
After CAPA Verif. SCOREFINDINGS & OBSERVATIONS (Y / N) (mm/dd/yy) Status
Dates: CA-PA Verification & Finding Closure Date:
STANDARD CHECKLIST
30-Dec-99 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 documented, Quality manual and all QS
1.0 QUALITY MANAGEMENT
1.2 Quality reports, trend charts and Product quality yield data, top
data analysis identify areas of problems and corresponding
1.0 QUALITY MANAGEMENT
STANDARD CHECKLIST
30-Dec-99 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
3.1 The skill and education level Job descriptions, job skills
3.0 TRAINING & EDUCATION
STANDARD CHECKLIST
30-Dec-99 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, audit
Records required. records, interview workers to
3.0 TRAINING & EDUCATION
4.1 The Occupation Health & Safety Procedure for OHS training,
(OHS) management system communications, emergency
4.0 OCCUPATIONAL HEALTH &
4.2 The Occupation Health & Safety Policies and procedures, health
4.0 OCCUPATIONAL HEALTH &
4.3 Procedures are used for the on- Safety committee or group
4.0 OCCUPATIONAL
STANDARD CHECKLIST
30-Dec-99 ROOT CAUSE REMEDIAL ACTION CORRECTIVE ACTION PREVENTIVE ACTION CONTROLS
& Scope of Problem Including Immediate Actions Taken to Taken to Address Root Cause & Actions Taken to Prevent Deployed to Monitor CA/PA
Requirements Typical Objective Evidence Other Areas Address Issue / Finding Prevent Recurrence Similar Issues in Other Areas Effectiveness
5.2 Product specifications and Complete product
5.0 DESIGN DEVELOPMENT
exchange.
STANDARD CHECKLIST
30-Dec-99 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, improvement/corrective
Testing is used to verify design actions taken, design changes
spec's, drive design improvements implemented
6.0 QUALITY PLANNING
STANDARD CHECKLIST
30-Dec-99 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 be
7.0 DRAWINGS & SPECIFICATIONS
8.1 A formal process is used for the Supplier quality system audits
selection, qualification and re- and related corrective actions,
qualification of suppliers. Records engineering testing and
8.0 PROCUREMENT
STANDARD CHECKLIST
30-Dec-99 ROOT CAUSE REMEDIAL ACTION CORRECTIVE ACTION PREVENTIVE ACTION CONTROLS
& Scope of Problem Including Immediate Actions Taken to Taken to Address Root Cause & Actions Taken to Prevent Deployed to Monitor CA/PA
Requirements Typical Objective Evidence Other Areas Address Issue / Finding Prevent Recurrence Similar Issues in Other Areas Effectiveness
8.5 A system exists for the Procedures, segregation during
identification, verification and storage, limited and controlled
protection of customer supplied access to stored inventories
8.0 PROCUREMENT
STANDARD CHECKLIST
30-Dec-99 ROOT CAUSE REMEDIAL ACTION CORRECTIVE ACTION PREVENTIVE ACTION CONTROLS
& Scope of Problem Including Immediate Actions Taken to Taken to Address Root Cause & Actions Taken to Prevent Deployed to Monitor CA/PA
Requirements Typical Objective Evidence Other Areas Address Issue / Finding Prevent Recurrence Similar Issues in Other Areas Effectiveness
10.2 Control Plans are used to plan and Process flow diagram, statistical
deploy inspection and test tools to be used, key inspection
10.0 MANUFACTURING QUALITY
10.5 The inspection and process status Batch records, travelers, tags,
10.0 MANUFACTURING
required.
STANDARD CHECKLIST
30-Dec-99 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 &
and statistically based controls effect diagrams, DOE, mistake
11.0 PROCESS CONTROL
Records required.
STANDARD CHECKLIST
30-Dec-99 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
required.
records, etc.
STANDARD CHECKLIST
30-Dec-99 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
Records required.
STANDARD CHECKLIST
30-Dec-99 ROOT CAUSE REMEDIAL ACTION CORRECTIVE ACTION PREVENTIVE ACTION CONTROLS
& Scope of Problem Including Immediate Actions Taken to Taken to Address Root Cause & Actions Taken to Prevent Deployed to Monitor CA/PA
Requirements Typical Objective Evidence Other Areas Address Issue / Finding Prevent Recurrence Similar Issues in Other Areas Effectiveness
14.3 Preventive Maintenance schedule No equipment, tools, or fixtures
14.0 PREVENTIVE MAINTENANCE
prevention.
STANDARD CHECKLIST
30-Dec-99 ROOT CAUSE REMEDIAL ACTION CORRECTIVE ACTION PREVENTIVE ACTION CONTROLS
& Scope of Problem Including Immediate Actions Taken to Taken to Address Root Cause & Actions Taken to Prevent Deployed to Monitor CA/PA
Requirements Typical Objective Evidence Other Areas Address Issue / Finding Prevent Recurrence Similar Issues in Other Areas Effectiveness
15.4 An on-going emphasis is placed Records/use of; non-hazardous
on using materials that are; (RoHS/WEEE compliant)
compliant with applicable materials in production,
regulations like RoHS & WEEE, biodegradable materials,
15.0 ENVIRONMENTAL
16.1 Areas around the facility are clean Observe production, office &
and orderly. Tools and equipment product storage areas for use of
16.0 STORAGE & PACKAGING
STANDARD CHECKLIST
30-Dec-99 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).
documented procedures. Look for poor storage conditions
16.0 STORAGE & PACKAGING
SUBSTANCES (RoHS)
process used.
STANDARD CHECKLIST
30-Dec-99 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
SUBSTANCES (RoHS)
SUBSTANCES (RoHS)
STANDARD CHECKLIST
30-Dec-99 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 procedures Observation of handling /
17.0 RESTRICTION OF HAZARDOUS
SUBSTANCES (RoHS)
STANDARD CHECKLIST
30-Dec-99 ROOT CAUSE REMEDIAL ACTION CORRECTIVE ACTION PREVENTIVE ACTION CONTROLS
& Scope of Problem Including Immediate Actions Taken to Taken to Address Root Cause & Actions Taken to Prevent Deployed to Monitor CA/PA
Requirements Typical Objective Evidence Other Areas Address Issue / Finding Prevent Recurrence Similar Issues in Other Areas Effectiveness
18.5 The supplier has informed If the official candidate list has
Emerson if they are providing (or been published by the ECHA
will be providing) Emerson with (European Chemicals Agency),
products that contain Substances then look for records of
of Very High Concern (SVHC) that communication to Emerson of
18.0 REACH Compliance
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STANDARD CHECKLIST
30-Dec-99 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
Dates: Date Supplier CA-PA Plan Reviewed:
Not Verified
Applicable
REQUIREMENTS Supplier
CA-PA Completion
Type audit 30-Dec-99 AUDIT FINDINGS & OBSERVATIONS Req'd? Date
Not
name here Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE
After CAPA Verif. SCORE(To be Completed by Emerson) (Y / N) (mm/dd/yy) Status
Use the EXAMPLE QUESTIONS below or replace them with your own. Use this Checklist "as needed" per your Division's rules. Click "Instructions" for more detail.
A-1 There is a company policy of Company policies, labor related
A. Labor Relations
Not Verified
Applicable
REQUIREMENTS Supplier
CA-PA Completion
Type audit 30-Dec-99 AUDIT FINDINGS & OBSERVATIONS Req'd? Date
Not
name here Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE
After CAPA Verif. SCORE(To be Completed by Emerson) (Y / N) (mm/dd/yy) Status
B-4 A formal procedure is in place Business ethics (code of
B. Business Ethics
(Code of Conduct)
Not Verified
Applicable
REQUIREMENTS Supplier
CA-PA Completion
Type audit 30-Dec-99 AUDIT FINDINGS & OBSERVATIONS Req'd? Date
Not
name here Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE
After CAPA Verif. SCORE(To be Completed by Emerson) (Y / N) (mm/dd/yy) Status
C-6 Air emissions from organic Emission records and site
chemicals, aerosols, corrosives, facilities
C. Environmental & OHS
Not Verified
Applicable
REQUIREMENTS Supplier
CA-PA Completion
Type audit 30-Dec-99 AUDIT FINDINGS & OBSERVATIONS Req'd? Date
Not
name here Requirements Typical Objective Evidence Supplier Self-Audit
On-Site
SCORE
Audit SCORE
After CAPA Verif. SCORE(To be Completed by Emerson) (Y / N) (mm/dd/yy) Status
Not Applicable
Supplier After
Not Verified
Audit Type
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.
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.
FD Auditor Comments:
(Required if FD does not meet guideline)
Checklist
Checklist Requirement
Used Number Auditor Notes / Observations / Photos / Attachments
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