S.A.M.

Supplier Assesment Maxion

SAM Date:
Supplier Name
Supplier Code Supplier code of parent location, if applicable:
Supplier adress

ISO 9001 certification Copy

ISO TS 16949 certification Copy
ISO 14001 certification Copy
BASC certification Copy
C/TPAT certification Copy
Other certifications:
Expiration Date: Copy
Expiration Date: Copy
Expiration Date: Copy

Scope (ref ISO TS 16949 certificate):

Name E-mail
Lead Auditor:
Participants:

Summary of Audit
Overall result Score
Not Acceptable 0.0%
 Supplier Assessment Survey Scoring Summary

Overall Result Score

Not Acceptable 0.0% Acceptable - no 'red' elements and percentage greater or equal to 85%
Conditionally Acceptable - no 'red' elements and percentage greater or equal to 66,6%
Not Acceptable - any 'red' element or percentage less than 66,6%

Chapter 1 2 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 Min Score Avg in %# R # Y # G #B

A Leadership/Management 0.0 0.0 0.0 0.0 0.0 0.0% 4 0 0 0
B Human Resources/Personnel 0.0 0.0 0.0 0.0 0.0% 3 -3 0 0
C Program Execution 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0% 15 -15 0 0
D Lean/Continuous Improvement 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0% 7 -7 0 0
E Production/Material Flow 0.0 0.0 0.0 0.0 0.0 0.0 0.0% 5 -5 0 0
F Quality 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0% 11 -11 0 0
G Supply Chain/Logistics 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0% 13 -13 0 0
H Purchasing/Procurement 0.0 0.0 0.0 0.0 0.0 0.0 0.0% 5 -5 0 0
I. Sustainability 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0% 17 -17 0 0
Total Supplier score 0.0% 80 0 0 0

Score Avg in %

A Leadership/Management
I. Sustainability B Human Resources/Personnel
100.0%

50.0%
H Purchasing/Procurement C Program Execution
0.0%

G Supply Chain/Logistics D Lean/Continuous Improvement

F Quality
E Production/Material Flow
 SAM EVALUATION SCORING CRITERIA

CRITERIA Rating

Suuplier is not familiar with the requirements of the core competency, or the controls for this competency would have
1
negative impact on Maxion

is knowledgeable of the requirements, and has basic skill in the use and implementation. The level of current use of
technology needs to be increased to comply to the expectations of Maxion
2
An action plan is needed or in place to reconcile the issues needed for compliance

Supplier is knowledgeable of the requirements, and skilled in the use and implementation of the core competency. 3

Supplier is exceeding the requirements, and demonstrates best-in-class competency. 4

Only if the item is not applicable enter N/A in the check box. This will re-set the parameters for the audit score and will not
effect the result. N/A
Please note. Use N/A or n/a, only - no other characters

INSTRUCTIONS

Section A,B,C,D,E,F,G,H contain criteria which have to be individually assessed and rated by choosing the score from the
scroll-down field in the column 'Score'. The average Score is calculated automatically. Please do not change the cells with
formulas.

It should be avoided to assess "N/A" to the extent possible. Be self-critical and reaslistic.

Do not change the format of the sheet.

 A Leadership/Management Input cells

A1 Strategic Plan Supplier Assessment Survey Scoring Summary

# Element Expectations Reference Auditors Comments Score
A1.1 Has a strategic plan been The plan identifies comprehensive market analysis for each product group, i.e.
developed? market growth, profitability forecasts.
The plan identifies and establishes capital expenditure and R&D plans.
The plan identifies competitive environment, regional developments, core
customers, technological developments
The plan identifies regional and global expectations and expansion.
The plan has specific goals and metrics to monitor success.
The plan identifies a vision of where the company wants to be in 5 years.
Average Element Rating 0
A2 Operational Plan
# Element Expectations Score
A2.1 Is a system in place that support A system exists that displays and/or reports on easily understood objectives and
customer-defined metrics? priorities, visible to all managers and employees. It is ensured that all employees
are empowered to effectively support the objectives of the operational plan.

# Element Expectations Reference Score

A2.2 Are there regular metrics reviews A schedule exists for regular management reviews of key metrics, and documents
that link to goals as defined in the corrective actions accordingly. A link to the specific strategic goal is indicated.
strategic plan?
0
A3 Innovation
# Element Expectations Reference Auditors Comments Score
A3.1 Is a process in place to develop New R&D or products (technology presentations, trade shows, joint product
and implement product development, customer VA/VE activities, etc.) are communicated to the customer.
innovation? There is successful implementation, at the customer, of products developed via
the R&D or NPD (New Product Development) process.

Patent are applied and/or awards protecting the proprietary knowledge and
intellectual property.
Benchmarking data are collected and used in the R&D or NPD process.
Advantage of understanding the capabilities and technologies (automotive and
non-automotive) is taken of their extended enterprise for R&D or NPD.
A dedicated organization, budget and staff exists to support R&D or NPD
activities. An established R&D or NPD process is in place.
0

Support
 B Human Resources/Personnel Input cells

B1 Staff Resource Plan Supplier Assessment Survey Scoring Summary

# Element Expectations Reference Auditors Comments Score
B1.1 Does a staff resource plan exist? Overtime is not used as a long-term solution for staffing requirements. Overtime is used in new Supplier painting
line.
A process exists for establishing resource requirements (facilities, technical
staffing, operational staffing, etc.) due to increasing (new programs, mergers,
acquisitions, etc.) or decreasing organizational sales or market share.
There is a procedure for acquiring additional resources (new facilities, staff, etc.)
when needed and there is upper management support when resource needs are
justified.
Employee succession plans exist for all key personnel.
Benefit and compensation analysis/studies are completed and used to support
recruiting and retention activities.
0
B2 Training and Development Plans
# Element Expectations Reference Auditors Comments Score
B2.1 Has an effective training and Each employee understands the expectations of their position (job description,
development system been training matrix and plans, skills, knowledge, competencies, attitude, company
established? values).
A training plan and budget exists for each employee. Training plan focus is first There is a general training plan which is
on capability gaps identified from the training matrix. Second focus is employee not including each employee.
development above and beyond those skills required for their current
responsibilities.
An active Leadership and Mentoring training program/policy/practice is in place. Leadership academey for all chief and
managers, engineer academy for all
engineer
Effectiveness of the training is measured via an employee skill gap analysis audit
prior to, and after the training.
Successful completion of the training is identified (date) on the employees training
matrix.
Employee evaluations are based on performance to expectations and the
"Supplier" way of doing business (training plan and opportunities, job metrics,
evaluation system, etc.).
The organization fosters employee satisfaction and commitment to organizational Employee Satisfaction Survey
goals by building and supporting open communication, trust, teamwork,
leadership, mentoring, and personal improvement.
Average Element Rating 0

# Element Expectations Reference Auditors Comments Score

B2.2 Does a training matrix exist listing Job descriptions and/or work instructions exist for each position, and the job
all levels of personnel and their description and/or work instruction identifies the responsibilities and core
core competencies? competencies for that position.
The training matrix Identifies the job description and/or work instructions.
The training matrix lists the individuals covered by the job description and/or work
instructions.
The training matrix contains the core competencies for the job description/work
instruction
The training matrix contains ranking/rating of employee capabilities relative to the
responsibilities and competencies required for the job description and/or work
instructions.
Average Element Rating 0

Support
 C Program Execution Input cells

C1 Program Management System Supplier Assessment Survey Scoring Summary

# Element Expectations Reference Auditors Comments Score
C1.1 Is a defined program management Dedicated program management personnel are in place and have been trained 3 project engineer in JAW
system in place?
Program management personnel is co-located with the customer or in close
proximity to customer launch teams for ease of regular interaction.
A method of identifying and tracking key program deliverables is established, ARAS
including internal milestones.
The Supplier has a method of tracking costs to ensure that programs are within Department budget is line with programs.
budgets. But it is not defined as each program.

The Supplier has a communication plan (design/phase exit reviews, issues list, Internal Official documentation (check
etc.) that keeps the external customer and internal company executives updated lists) are not usefull for technical item to
on any program issues or concerns. share with Central Engineering Dpt.
The Supplier has an internal new product development process or system. Early Product Management & APQP
System in place and usefull
Average Element Rating 0
C2 Advanced Product Quality Planning
# Element Expectations Reference Score
C2.1 Is a process to manage Advanced A cross-functional team is defined at the beginning of the program. Early Product Management Team is
Product Quality Planning (APQP) defined
in place? A program manager or person with clear overall program responsibility is defined. Yes, each customer program/project
manager were defined
A feasibility study is executed per DFM guideline, documented and resubmitted to ARAS Supplier Feasibility and Supplier
the customer prior to the purchase order. Draft BOM are in place
The process considers milestones for facilities, tools, gauges, all deliverables of Early Product Management checklist in
PPAP, staffing, testing,.... use
A timeline exists, clearly showing key milestones, build events and MRD (material ARAS Project timing and Customer
required date). Master Schedule in place
A program issues list exists and is up to date. Yes, exception report in every week
Regular scheduled reviews are conducted with the Supplier's program team. Early Product Mng meetings and
Average Element Rating 0

# Element Expectations Reference Score

C2.2 Is a process to manage Process The Overall Equipment Efficiency is measured at PSO (OEE - measured Only capacity verification is being done.
Sign Off in place? production output is measured against the financial planning volume / capacity OEE is calculated for each process/mch
planning volume) seperatly.

The duration of the process sign-off (PSO) is in line with VDA/ISO TS16949 Yes, SOP+2months
requirements or as agreed with customer.
Internal process sign-offs are conducted prior to customer-monitored event.
Free capacity on test equipment is available or an emergency plan is in place for Test Lab capacity is controlled and
external services. managed by Project Team
The process sign-off checks operator training status. not in place, should be added to system

Average Element Rating 0

# Element Expectations Reference Auditors Comments Score

C2.3 Is a Manufacturing Process Flow
diagram developed and is it
maintained?
Process steps are logically numbered and linked to the FMEA/Control Plan. yes
The process flow diagram covers the whole production process, including yes, including rework & stripping
incoming and outgoing goods. operations
The process flow chart illustrates the sequence of production operations WIP items are missing
including: inspection, transportation, storage, subcontracted services, and
alternate paths (rework, repair & backup).
All operations affecting special characteristics are appropriately identified on the yes, acc. To each customer specific
process flow chart.
Average Element Rating 0

# Element Expectations Reference Auditors Comments Score

C2.4 Is a Process Failure Mode and
Effects Analysis (PFMEA)
understood and in use?
Customer rejects or internal incidents have been reviewed and risk priority 8D integration and follow up list is
numbers (RPN's) have been adjusted accordingly. missing. Agreed to be prepared.
A cross-functional team responsible for manufacturing has developed the Process Generic FMEA is reviewing before each
FMEA. project.
Lessons learned from campaigns, recalls, user Suppliers concerns, similar 8D integration and follow up list is
process FMEAs, things gone wrong and warranty data are addressed during missing. Agreed to be prepared.
current part process FMEA development.
All operations from the process flow chart are identified and listed sequentially on yes
the process FMEA.
Failure modes are described in physical, technical and measurable terms. yes
The effects of failures address the impact on each part, next higher assembly, yes
system, vehicle, customer wants, government regulations and operator safety.

Potential causes and/or mechanisms of failure are identified for all failure modes. yes

Causes are described in terms of something that can be corrected or controlled. yes

Causes consider people, material methods, measurement systems and enviromental evaluation missing
environment.
Corrective actions, responsibilities and completion dates are assigned to high- yes
severity failure modes and high-risk priority numbers.
Mistake proofing is used in addressing corrective actions. poka-yoke in place
Risk priority numbers are revised to reflect verified corrective actions. yes
It is ensured that severity numbers cannot change unless a design action reduces yes
the effect of the failure mode and the design FMEA has been revised to
incorporate the design action.
The process FMEA identifies potential special characteristics. yes, acc. To customer spec. Charc. And
also Maxion charac.
Average Element Rating 0
 C Program Execution Input cells

# Element Expectations Reference Auditors Comments Score

C2.5 Is a Control Plan used and A cross-functional team responsible for manufacturing has developed the
maintained? production control plan.
Special characteristics from the drawing, process and design FMEAs, the
customer and other sources are clearly identified on the production control plan.

Inspection plans are defined for all material and engineering specifications.
Flow chart operations and their desired product and process characteristic
specifications are listed on the production control plan.
Data are developed to show the direct relationship between special
characteristics and their controlling process parameters.
Gauges and test equipment to be used during production are identified on the
production control plan
Evidence is available to show that gages and test equipment identified on the
production control plan are accurate, discriminating, repeatable and reproducible.

The customer is given the opportunity to approve the production control plan.
Documented measurement procedures, techniques and datums are referenced
on the production control plan
Reaction plans specify the containment and corrective actions necessary to avoid
producing non-conforming products or operating out of control.
Control methods address the requirement to produce product characteristics
within specification
Current controls listed in the process FMEA are consistent with those listed on the
production control plan.
Reaction plans are written so the operator can understand and implement them. reaction plans are referred to each
emergency condtion instruction in control
plan
Statistical control methods are documented on the production control plan.
Control methods and reaction plans are updated to address any issues and yes, see above comments
lessons learned during the production trial run, including countermeasures for
known capability problems.
Appropriate sample sizes and frequencies are documented on the production
control plan.
Average Element Rating 0

# Element Expectations Reference Auditors Comments Score

C2.6 Is a Production Part Approval
Process (PPAP) in place?
All products in serial production have customer signed-off Part Submission
Warrants (PSW) in place. In cases where interim approval is required, customer
deviation authorization has been approved and is in place.
All tool moves, retooling, process, product changes are issued to the customer retooling actions are being done internal
prior to execution and permission to change has been requested. PPAP's are PSW by Quality Dept.
updated and approved by customer.
The PSW references customer part numbers.
A change notification process is in place to provide notification of any change
prior to implementation.
PPAP packages are complete (all documents acc. to AIAG PPAP Level 3, VDA 4,
or as per customer requirement ). Files are stored as a complete package.

Average Element Rating 0

# Element Expectations Reference Auditors Comments Score

C2.7 Are statistical methods used? A capability study (AIAG SPC, VDA) exists for each CC/SC identified on
drawing/FMEA (except raw material).
A process analysis is executed prior to use of statistical control in order to confirm
that the selected characteristics can be controlled by statistical method.

The capability study shows capability of min. 1.67. Corrective actions are serial production cond. Target is 1,33
documented.
Capability studies are individually conducted by cavity, assembly jig, machine,
process.
Measurement systems analysis (ref AIAG MSA, VDA) exists for all
variable/attribute measurements.
Measurement system shows adequate discrimination (target < 10%), if
conditionally accepted, the reason for decision is documented.
Average Element Rating 0

# Element Expectations Reference Auditors Comments Score

C2.8 Is a launch containment plan
defined to contain potential launch The launch containment plan is maintained as a preventive tool to manage
risks?
C3 Product Data Management Systems
# Element
C3.1 Is a system established to manage
all product data and control
documentation (i.e. drawings,
FMEA, etc.)?
A responsible person is defined to maintain the launch containment plan.
possible risks during launch.
The launch containment plan includes non-serial actions as additional quality
checks, technical support, emergency plans,.....
The launch containment plan is proactively communicated to the customer.
Average Element Rating 0
Expectations Reference Auditors Comments Score
Change control exists for engineering documentation (i.e. CAD/Engineering Data, Yes, manually and interactively (ARAS)
Drawings, DFMEAs, Specifications, Test Plans, etc.)
Change control exists for production equipment/process documentation , i.e. Yes, manually and interactively (ARAS)
gauges, fixtures, tools, work instructions, set-up sheets,...
Change control exists for quality documentation (i.e. Control Plans, Procedures, Yes, Quality management system
Inspection Instructions, etc.)
Average Element Rating 0

# Element Expectations Reference Auditors Comments Score

 C Program Execution Input cells

C3.2 Are design changes coordinated in The control plan does not conflict with the drawing / engineering documents for
regard to tools, part submission, any particular part(s). A formal customer deviation is in place wherever there is a
inventory management, sample discrepancy between the part being shipped and the drawing and/or other
runs, etc., using appropriate applicable specifications.
electronic tools?
The proper engineering change level is shipped and reflected on the label for any
particular part(s).
The latest authorized drawing and/or any other engineering specifications are on
site at the Supplier.
Evidence exists for the ability to coordinate the following with the customers and
Suppliers, when initiated by an Engineering Change (whether a running change
or with obsolescence): tooling modifications, process changes, stock build,
sample run, and timely part submission.

Average Element Rating 0

C4 Prototyping
# Element Expectations Reference Auditors Comments Score
C4.1 Does the Supplier have a process A procedure/process is in place to manage and control prototypes (Patent
to develop prototypes? protection, confidential labels, security, etc.).
It is ensured that all revision levels and references are properly documented on
parts and control records. All data need to be available for customer reviews.

Parts are labeled with reference to customer requirements

C5 Understanding of properties of Maxion products
# Element
C5.1 Does the Supplier understand
applicable industry standards,
including but not limited to:
UL, HVAC, AIAG Standards,
Control standards, and
specifications,. and incorporate
this information into the product
design?
Internal or external capability is in place to create rapid prototypes.
Average Element Rating 0
Expectations Reference Auditors Comments Score
The industry standards or specifications are utilized in the new product
development process to verify and validate conformity to customer requirements
The correlation/importance of the industry standards or specifications to the
requirements (environmental, safety, service, warranty, life expectancy,
packaging, legal, GD&T, etc.) of the customer and/or consumers end product is
understood.
Access to typical automotive or governmental standards, specifications, or
guidelines is available.
Average Element Rating 0

# Element Expectations Reference Auditors Comments Score

C5.2 Are materials and product testing
capabilities available to ensure
ongoing conformity with material,
legal, and performance
specifications?
A process to track, perform, and document ongoing conforming product testing is
in place.
Testing facilities are onsite or offsite (onsite rating 3; offsite rating 2)
Test documentation including setups, methods, data, and final verification or
validation results to requirements is available.
An procedure is established for all testing activities, including outsourced testing. No procedure for outsourced testing
All outsourced testing to be completed by qualified A2LA (American Association
for Laboratory Accreditation) or ISO/IEC 17025 labs.
A dedicated organization and staff to support testing activities are in place.
A test budget is established.
Average Element Rating 0

# Element Expectations Reference Auditors Comments Score

C5.3 Are all aspects of GD&T GD&T training records for engineers are available. The trainings are up to date
understood and in use, and can be with the latest revision of standard.
demonstrated on current Existing feasibility commitments show confirmation of missing in TFC2
products? drawing/specifications/tolerances.
Where process capability indices are required, the current records show stable
and capable processes.
Average Element Rating 0
 D Lean/Continuous Improvement
D1 Problem Solving
# Element
D1.1 Is a problem-solving methodology A problem-solving process (Kepner Tregoe, 5 Why/ Ishikawa/ Is-is not analysis,
in place?
D2 Lean Manufacturing Systems
# Element
D2.1 Are quick changeover practices
being utilized and measured?
# Element
D2.2 Are the principles of 5S evident in The Supplier has reached the fifth 'S' - Systematize. A '5S' committee regularly
the manufacturing facility?
5 S:
seiri - Sorting
seiton - Straightening or Setting in There is "a place for everything and everything is in it's place"; every container,
Order
seiso - Sweeping or Cleanliness
(Systematic Cleaning)
seiketsu - Standardizing
shitsuke - Sustaining the discipline All caution signs, exits, fire extinguishers and emergency procedures are clearly
# Element
D2.3 Is Visual Management the method
used in the manufacturing facility
to control and simplify work
processes?
# Element
D2.4 Is an active Continuous
Improvement process in place to
optimize material, throughput
labor, and overhead?
# Element
D2.5 Is a one-piece/batch flow process Processes are lined up to facilitate the flow of goods. All operators are trained
utilized?
Input cells
Supplier Assessment Survey Scoring Summary
Expectations Reference Auditors Comments Score
8D) is defined.
A cross-functional team and an issue champion are identified.
Root causes are properly defined with focus on process and system.
Problem solving documents are reviewed and signed off by management. Not signed off
Quality roadmaps are in place for systemic issues.
0
Criteria level Reference Auditors Comments Score
New set-up procedures have been standardized, documented and posted; all
employees affected have been retrained; Production Planning is using the
reduced change-over times in planning.
Set-up activities have been recorded to allow for detailed analysis. Set-up time
(internal and external) is tracked visibly in the area where the set-up is performed.
Management understands and accepts set-up as an important technique in
implementing lean systems; teams to analyze changeover have received formal
set-up reduction training.
Changeovers are scheduled and the employees concerned have the schedule.
Criteria level Reference Score
Supplier between 4 & 5 S , a monthly
rates each area against best 5S practices. The employees drive the 5S process audit avaiable
and recognition is given to the winners.
floor space, tool and parts rack is clearly labeled and easily accessed by the user.
visible and in place. Lines distinguish work areas and paths; tools, in-process
inventory and machines are put in logical order.
All staff are full aware of housekeeping; No unnecessary waste and scrap.
0
Criteria level Reference Score
Everyone can tell when things are normal or abnormal; they respond at once to
abnormalities.
Product Quality (returns, scrap, First Time Capability (FTC), SPC) and
Productivity boards are updated immediately for each line or process; operators
get immediate feedback on their performance. Job training, safety, kaizen,
meeting, key measurable, problem solving boards are visible in each area, up to
date and showing continuous improvement.
Check sheets showing the top defects are recorded at each station by each No lights for signal.
operator and analyzed. Operators can stop the line if a defective unit is found;
trouble lights signal when a process or line abnormality occurs.
Employees can detect bad parts and remove them.
Select: 0
Criteria level Reference Score
Scheduled audits of the packaged final product are conducted to verify
conformance to all specified requirements?
Methods are developed for evaluating the effectiveness of existing operations and OPEX in place for many years and is
processes, which consider the overall, work plan, appropriate automation, structured to meet requirements
ergonomics and human factors, operator and line balance, storage and buffer
inventory levels?
There is a written and clearly communicated strategy for continuous improvement
with the necessary resources and organization planned and implemented.
Projects are structured and continuous; successes are recognized and expanded
throughout the Supplier.
All employees have been trained in the basics of kaizen and have been affected All white collars have 6S green belt and
by a kaizen project. Employees know the seven wastes (Overproduction, formans have 6S yellow belt.
Waiting, Transportation, Processing, Overstock, Movement, and Defect), identify
waste in their processes and work to reduce the waste.
Improvements have been made through major capital investments or new
products.
Select: 0
Criteria level Reference Auditors Comments Score
and say they are able to do the work at each station in the cell or line.
Machine/man ratios at each job are increasing.
The Supplier incorporates autonomous machines (self-inspecting - shut down
when a abnormality occurs, auto-loading and ejecting).
The machinery and stations are arranged in a "product" versus a "process" focus.
Analysis has been made to evaluate where one-piece-flow is applicable
 D Lean/Continuous Improvement Input cells

Select: 0

# Element Criteria level Reference Auditors Comments Score

D2.6 Is kanban utilized? Withdrawal of kanban from downstream processes is being combined with
ongoing improvement activities.
Downstream processes are withdrawing kanban from upstream processes.
Support Materials movement is based on actual consumption; a "pull" signal is generated
and communicated by the next operation. Training has been held for key
management, materials dept. and supervisors.
The target and actual hourly output is displayed for each manufacturing cell or line.

Select: 0

Support
 E Production/Material Flow Input cells

E1 Maintenance Supplier Assessment Survey Scoring Summary

# Element Expectations Reference Auditors Comments Score
E1.1 Is an effective maintenance Maintenance of all tools, production equipment is controlled by maintenance plan. Doruk Automation System
system in place?
Maintenance is executed and documented at machinery Doruk Automation System
Maintenance frequency is revised due to product issues caused by
tooling/equipment wear.
Maintenance responsible staff is clearly defind and trained.
Availability of maintenance staff is ensured during full production time in case of
emergencies .
Lessons learnt are considered for new projects
Average Element Rating 0
E2 Operator Process Instructions
# Element Expectations Reference Score
E2.1 Are operator instructions in place, Operation name and reference keyed to process flow and control plan is indicated.
complete, and tied to control
plans? Part name and part reference number is indicated.
Check procedure to update ODS
Current engineering change level is indicated.
(Operator Description sheets) from
Control Plan updates All required tools, gages, and equipment are listed.
Material Identification is indicated.
Customer and Supplier designated SC's/CC's are indicated.
SPC requirements are included.
Inspection and test instructions are referenced.
Revision date and approvals are in place.
Visuals aids are listed.
Tool change intervals and set-up instructions are indicated or referenced.
0
E3 Error Proofing
# Element Expectations Reference Score
E3.1 Is a methodology for prevention of Poka Yoke are in place for all critical characteristics indicated on drawing/control Not all critical characteristics
critical/safety issues on product plan.
established? Automatic sensors/camera systems are used to prevent safety concerns.
Parts in process are beeing removed and quarantined if production interrupted. With a clasified labels and areas.

Process capability is at 1.67 for any critical characteristic except material property Process capability is above the 1,33 for
related. all critical characteristic.
Special buy-off procedure is in place to approve re-start of production. Quality
sign off in place prior to restart of production.
All Poka Yokes installed for critical characteristics are controlled by maintenence Poko Yokes are implemented according
plan."Red rabbits (made-up out of spec parts)" are used to verify correct function to the suitability of the process. But not all
of all Poka Yokes for special characteristics. critical characteristics

Employees are trained in and aware of critical characteristics of products.

Average Element Rating 0
E4 Process Parameters/Process Control
# Element Expectations Reference Auditors Comments Score
E4.1 Is the control of process Settings can only be changed/adjusted by authorized personnel
parameters/settings of machinery Settings are documented on instruction/ maintenance plan
ensured?
Any change of settings are documented with responsibles/change date
Average Element Rating 0

# Element Expectations Reference Auditors Comments Score

E4.2 Is non-contact measurement Camera systems, sensors, laser technology is utilized to measure product data Establishment of automatic SPC data
equipment used to control quality frequently to support SPC collecting software is going on for 3D
of manufactured product machine.
Average Element Rating 0

Support

Support
 F Quality Input cells

F1 Manufacturing Quality Supplier Assessment Survey Scoring Summary

# Element Expectations Reference Score
F1.1 Incoming Inspection Approved inspection plans are implemented for all purchased/directed production
material.
Control status is clearly indicated on incoming goods.
Goods with incoming status are physically separated from goods released for Separated with color applications
production use.
Suspect goods are moved to quarantine area immediately.
All relevant documents are available and controlled provided by Suppliers to show
quality of supplied production material.
All measurement systems used in incoming quality are calibrated and released.

Average Element Rating 0

# Element Expectations Reference Score

F1.2 Manufacturing Quality Control The Supplier has a system to ensure that suspect parts cannot return into
manufacturing process. Suspect parts are moved to red marked containers.
All measurement systems used in production quality are calibrated and released.

Approved inspection plans are in place for all quality checks in production.
Control records are documented as required.
Quality alerts are used at affected process steps to ensure operator awareness of
quality issues.
Corrective actions are defined for non-conforming products.
Average Element Rating 0

# Element Expectations Reference Auditors Comments Score

F1.3 Master samples For customer designated appearance items, There appropriate lighting for the
evaluation areas.
All masters are available
The masters and evaluation equipment are adequately maintained and controlled

There is verification that personnel making appearance evaluation are qualified

0

# Element Expectations Reference Auditors Comments Score

F1.4 Product audit The product audit covers full delivery condition, including packaging and is
executed in adequate frequency to ensure quality.
Issues are immediately communicated into manufacturing process. Corrective
actions are defined, documented, followed and validated.
All measurement systems used in product audit are calibrated and released.
Borderline samples, master samples are available and approved for visual Can be improve for more visuality
aspects.
0

# Element Expectations Reference Auditors Comments Score

F1.5 Containment There is an established procedure/process which defines the steps required to
fully contain issues in three primary areas: Customer facilities, distribution
system, and the Supplier manufacturing facility/warehouse.
The Supplier understands and executes to the MaxionI expectations when it
comes to Level I and II containment.
The Supplier has the ability to create and verify work instructions for sorting
activities.
The Supplier has the ability to sort product at their site, or contract a 3rd Party
Sorting company.
Average Element Rating 0

# Element Expectations Reference Auditors Comments Score

F1.6 Are the available measurement
techniques suitable for current and
targeted business?
F2 Warranty
# Element
F2.1 System to support product
warranty
F3 Quality Systems
# Element
F3.1 Does the Supplier carry out
internal quality system audits as
planned and address the issues.
3D measurement systems available (CMM), color testing device,....
Free capacity is available to response to unforeseen issues
Average Element Rating 0
Expectations Reference Auditors Comments Score
There is an established champion who is accountable for customer warranty
returns.
There is an warranty reduction program with established goals.
Warranty analysis root cause and corrective action is established through the use
of appropriate problem solving techniques (see D1.1).
Warranty goals or targets support the organizational Strategic, Operational,
and/or Quality Plans, as well as, the organizational QS-9000 Quality Policy.
Management periodically reviews and monitors warranty performance to goals
established.
Average Element Rating 0
Expectations Reference Auditors Comments Score
A champion is identified and accountable to performance.
Internal and external Quality Management System audits are conducted and
appropriate action plans exist.
Internal Manufacturing process audits are planned and conducted to assess
process effectiveness for each manufacturing processes.
Note: Heat Treat processes require CQI-9 assessment, Plating processes require
CQI-11 assessment, Coating processes require CQI-12.
Internal and external action plan performance status is tracked, verified, and
reported.
 F Quality
Support
# Element
F3.2 Does the Supplier have 3rd party
certification for Quality Systems
# Element
F3.3 Does the Supplier have a Quality
Improvement Plan and use
Roadmaps to track progress of
individual critical issues.
F4 Product Safety
# Element
F4.1 Is there a process in place
congruent to the MaxionI product
safety line/manufacturing
certification process
Input cells
Evidence of continuous improvement or changes exist through employee
suggestions, process improvements, or organizational restructuring.
Average Element Rating 0
Expectations Reference Auditors Comments Score
Certification is achieved and valid (ISO TS 16949 - 3; ISO 9001 - 2; none - 1)
Average Element Rating
Expectations Reference Auditors Comments Score
There is an established champion who is accountable for internal PPM (IPPM)
and customer return PPM (RPPM) performance improvement.
- Understands internal and external (customers) expectations
- Reports progress to plan to Management
There is an IPPM and RPPM reduction program with established goals.
IPPM and RPPM road maps are updated in a timely manner, visually displayed,
and contain the following 4 basic components:
- Paynter Chart (Listing of defect type, date and quantity)
- Pareto Chart (Ranking of defect types)
- Trend Chart (PPM goal and trend)
- Action Plan (Champion, start date, target date, verification date)
PPM issue root cause and corrective action is established through the use of
appropriate problem solving techniques (see D.1.1).
Evidence of continuous improvement or changes exist through employee
suggestions, process improvements, or organizational restructuring.
Average Element Rating 0
Expectations Reference Auditors Comments Score
All MaxionI products are reviewed with regards to the expectations of PSLC
process.
Average Element Rating 0
 G Supply Chain/Logistics Input cells

G1 Release Management Systems Supplier Assessment Survey Scoring Summary

# Element
G1.1 Is a comparison performed of the
resources against the customer's
long-, medium- and short-term
requirements?
Expectations Reference Auditors Comments Score
Comparison of resources versus customer requirements shall be reviewed upon Comparing every week of the forecast to
receipt of forecast requirements (e.g., 830/DELFOR acc. MMOG), comparing the prior sales forecast, differences are
every week of the forecast (e.g., from week 3 to month 6 of the planning horizon) evaluated by the Production Planning
sent by customers. Department.
Resources versus customer requirements shall be reviewed upon receipt of
shipping requirements (e.g., 862/DELJIT), comparing daily ship requirement
(usually current week and week 2) sent by customers.
0

# Element Expectations Reference Score

G1.2 Is a process in place to ensure Documented and proven procedures for all potential disruptions are identified with
that any potential problems or appropriate action and recovery plans, including production and data recovery
deviations from the production (e.g., computer/communication failures, industrial disputes, transport and
plan during the life cycle of the production disruption).
product (prototype, launch, serial
Differences shall be resolved with the appropriate customer contact immediately
production, aftermarket) that could
and prior to shipment time if the agreed requirement cannot be met (e.g.,
impact the customer operation are
communicated internally and to transportation mode, quantity-shipped discrepancies, packaging, etc…).
the customer as soon as they are
identified?

Average Element Rating 0

# Element Expectations Reference Score

G1.3 Are procedures and systems in See left No knowledge about CUM.
place to manage CUMs and
support CUM reconciliation?
0

# Element Expectations Reference Score

G1.4 Are systems in place that facilitate The systems are able to manage finished goods, Works-in-Process (WIP), and SAP system is used for material planning.
access to and management of all raw material.
types of inventory?

Average Element Rating 0

G.2 Electronic Data Management

# Element Expectations Reference Score
G2.1 Are a set of parameters integrated Transport time, lead times, inventory levels, packaging, and internal production
into the production planning requirements, (e.g., Supplier constraints, scrap rates set-up times),
system automatically and updated
at planned intervals?

# Element Expectations Reference Score

G2.2 Is customer schedule information Electronically communicated delivery forecasts (e.g., 830/DELFOR/planning
automatically integrated into the releases according MMOG) shall be received and processed without manual
organization's releasing system to entry
avoid manual transference of
data? Is ODETTE/AIAG electronic
communication standards (EDI) or
any other web based electronic
standard used?

Average Element Rating 0

# Element Expectations Reference Auditors Comments Score

G2.3 Is the timing of the Material MRP receives the expected customer requirements prior to the actual MRP run to
Requirements Planning System calculate daily production operating plans.
(MRP) process set to coincide with
the receipt of the expected
customer requirements?

# Element Expectations Reference Auditors Comments Score

G2.4 Is a process in place to ensure
complete and accurate data
content and timely transmission of
all Advanced Shipping Notices
(ASN)?
C.3 Material Management
# Element
G3.1 Do Key Performance Indicators
(KPIs) cover objectives for all
areas of the Materials Planning
and Logistics process.?
The organization shall ensure that the data content of all ASN's is complete and
accurate in accordance with customer requirements.
The organization controls its processes to assure that the physical shipments
correspond with the customer demand.
Average Element Rating 0
Expectations Reference Auditors Comments Score
Supplier has KPI's for their delivery performance to the customer
Supplier has KPI for their Supplier's delivery performance
Supplier has KPI for their build schedule attainment (plan vs. actual)

Average Element Rating 0

# Element Expectations Reference Auditors Comments Score

G3.2 Do documented procedures for all Customer order planning, stock control, packaging procedures and transport
customer interface aspects of the management are managed by procedure.
Materials Planning and Logistics
process exist?
 G Supply Chain/Logistics Input cells

Average Element Rating 0

# Element Expectations Reference Score

G3.3 Support There is a process for building an inventory buffer of current parts prior to
production time needed for new model parts approval/evaluation.
The organization has a process in place to communicate running change and
balance-out parts for final production runs to ensure no over-production and
outside purchased items are ordered to the piece.
There is a process to ensure the availability of service/spare parts.
Requirements for non-current parts are calculated and ensured for the entire life
cycle of the product as required by the customer.
Average Element Rating 0

# Element Expectations Reference Auditors Comments Score

G3.4 Is a procedure in place for
packaging development,
coordinated with the Product
Approval Process?
A process and supporting documentation is in place to define standard
packaging, (usually reusable container), and back-up packaging (usually
expendable containers), and pack size before start of production (e.g.,
agreements about packaging type and rules for use with customer, involvement of
all internal departments connected with the packaging process).

Average Element Rating 0

# Element Expectations Reference Auditors Comments Score

G3.5 Is there a process/method in All materials must be clearly labeled
place to ensure all parts are
labeled accurately, at the
appropriate time, applied correctly,
and identified easily?

Support Average Element Rating 0

 H Purchasing/Procurement
H1 Supply Base Management Skills
# Element
H1.1 Are there defined performance
measurables for sub suppliers?
# Element
H1.2 Has a problem-resolution process There is an established supplier issue resolution process/procedure/system.
been developed and maintained to
manage, contain, and prevent
supplier issues?
# Element
H1.3 Is there a process to evaluate and There is an established system or process in place to assess a suppliers
develop the sub supply base?
# Element
H1.4 Is the structure to ensure sub
contracted process are controlled ensured on an ongoing basis during production and included in the control plan
in place?
(Heat treatment, Welding, Surface
treatment)
# Element
H1.5 Is there a system that detects
changes to the sub contracted
process.
(Change of location, change of
equipment, change of process)?
Support
Support
Input cells
Supplier Assessment Survey Scoring Summary
Expectations Reference Auditors Comments Score
There are defined supplier measurables.
There is a system or process in place to track supplier performance to the
measurables.
0
Expectations Reference Score
Documented and proven procedures for all potential disruptions are identified with
appropriate action and recovery plans, including production and data recovery
(e.g., computer/communication failures, industrial disputes, transport and
production disruption).
Average Element Rating 0
Expectations Reference Score
capabilities prior to sourcing of new business.
There are defined criteria for supplier acceptance before awarding business. All
used sub suppliers for direct material must have ISO 9001 minimum.
Onsite audits at sub suppliers are executed to confirm conformity to requirements.
There is a system or process to communicate (minimum quarterly) the suppliers
performance relative to expectations.
supplier performance (actual or improvement plans) is used to determine the
conditions as to whether the supplier is under consideration for any new business
award.
supplier development/improvement plans are created and implemented for all key
suppliers.
There is a system in place to create awareness and reinforcement for positive
supplier performance (supplier recognition letters, awards, etc.).
Average Element Rating 0
Expectations Reference Score
Where any surface treatment is done by subcontractor this process must be
Expectations Reference Auditors Comments Score
There is a contract and review process with the sub supplier to ensure that a
"Process Change", procedure is in place and a review plan is in place periodically
for product life
Average Element Rating 0
 I. Sustainability Input cells

I.1 Supplier Ethics Supplier Assessment Survey Scoring Summary

# Element Criteria level Reference Auditors Comments Score
I1.1 Supplier complies with the Maxion Supplier has developed an Ethics policy that fully complies with Maxion Ethics
Ethics Policy or equivalent policy? Policy, provides or has on public web copies of their Ethics Policy and requires
documented compliance from Management level employees, Ethics Certification /
A Supplier’s contract shall be training Records
terminated immediately when it is
determined that a Supplier willingly
commits, practices or condones
(i.e., internally or through use of
subcontractors) one or more of the
following and/or continuation of the Supplier fully complies with Ethics Policy (i.e., provides or has on public web
Supplier’s contract poses a copies of Ethics Policy and requires documented compliance from Management
significant risk to the Company as level employees, Ethics Certification / training Records
determined by the Procurement
Manager and as advised by other
appropriate functional area
representatives (i.e., Legal,
Environmental, Safety, Human
Resources, etc.).
1. Knowingly falsifies information Supplier fully complies with Ethics Policy or equivalent
requested by Procurement.
2. Uses forced, bonded,
indentured or involuntary prison
labor.
3. Uses child labor (under 15
years old).
4. Treats workers inhumanely and
condones sexual abuse, corporal
punishment, and physical coercion Supplier complies with most aspects of the Ethics Policy or equivalent, but is
of workers. unsure that all aspects of the policy is communicated. Compliance throughout the
5. Knowing promotes corruption, Supplier organization is not confirmed.
extortion, embezzlement, bribery,
or any felonious criminal activity.
6. Deliberately and repeatedly
commits egregious environmental
and safety violations that
endanger workers and the
community. Supplier unwilling to or does not comply with Ethics policy or equivalent.

Score 0

# Element Criteria level Reference Score

I1.2 Supplier upholds high ethical Yes
standards consistent with
applicable requirements and
No
prevailing industry practices?

0
I.2 Environmental Management Systems
# Element Criteria level Reference Score
I2.1 Supplier has a management Supplier is registered to ISO14001
system that is compliant with ISO
14001 and designed to ensure
regulatory and contractual
compliance, mitigate operational Supplier is compliant to ISO 14001 and has a plan to obtain certification within 1
risks and drive continual year.
improvement?

Suppliers should be in-process of Supplier is compliant to ISO 14001 and has a plan to obtain certification.
obtaining ISO14001 Certification
through a regionally recognized
authority.
in the interim Suppliers shall adopt
a management system compliant Supplier is compliant to ISO14001
with ISO 14001 or equivalent as
approved by Procurement that
promotes continuous improvement
and compliance with applicable Supplier is not compliant to all aspects but has a plan to become compliant
laws, regulations and contract
requirements.

Supplier is not compliant or does not understand requirement

# Element Criteria level Reference Auditors Comments Score

I2.2 Does the Supplier have a defined Supplier employs recycled material in production of products for Maxion and is
environmental management actively involved in projects to increase recyclable content.
system, recycling, waste
management, hazardous materials
Supplier has an active recycling program, Recyclable materials are segregated,
management?
quantity of material is tracked and reported to Management.
The facility(s) shall have a process
to ensure compliance with all Supplier has documented evidence of compliance with applicable safety and
applicable safety an environmental environmental regulations.
regulations, including those
concerning handling, recycling, or
disposing of hazardous materials.
Appropriate certificates or letters
of compliance should be available
to prove conformity with these
regulations.
 management?

The facility(s) shall have a process

to ensure compliance with all
I. Sustainability
applicable safety an environmental
Input cells
regulations, including those
concerning handling, recycling, or Suppliers Policy and procedures require compliance with applicable safety and
disposing of hazardous materials. environmental regulations.
Appropriate certificates or letters
of compliance should be available
to prove conformity with these Suppliers documented Policy and procedures dealing with hazardous materials
regulations. only.

Supplier has no documented procedures defining environmental management

system.

I.3 Environmental Footprint
# Element
I3.1 Waste Water Discharges, Green
House Gas Emissions and site
waste generation is managed
according to applicable regulations
and to minimize impacts to the
environment and community?
Score 0
Criteria level Reference Auditors Comments Score
Supplier has evidence of reduction in waste water discharge, Monitors Green
House Gas emissions, if applicable, and has reduced no-recyclable content of
products and consumables.
Supplier has implemented programs to reduce waste water discharge Supplier
has an active plan to recycle consumables used.
Supplier adheres to all applicable laws and contract requirements regarding
discharge of prohibited or restricted substances and all required permits are
current.
Supplier does not show evidence of required permits, permit applications have
been submitted.
Supplier does not show evidence of required environmental permits

Score 0

# Element Criteria level Reference Auditors Comments Score

I3.2 Supplier has record of all Supplier has evidence of reduction in water and energy usage in addition to
environmental impacts and has reductions in total non-recyclable waste.
defined action plans to reduce
environmental impact footprint, Supplier has implemented programs to conserve water and energy and reduce
including: energy consumption waste.
(natural gas, electricity, propane,
other), water consumption, and
usage of non recyclable materials.. Supplier adheres to all applicable laws and contract requirements regarding
usage of prohibited or restricted substances and materials all required permits are
Review of Supplier records current.
indicates successful execution of Supplier does not show evidence of required permits, permit applications have
the environmental impact been submitted.
management system:
Supplier does not show evidence of required environmental permits

Score 0
I.4 Employee Care
# Support Criteria level Reference Auditors Comments Score
I4.1 Workers are protected from Suppliers policies and procedures require compliance to each of the 6
exposure to significant safety or requirements and audits are conducted on a specifies frequency of all areas
health hazards within the covered by these procedures. (Audits of toilet Facilities and Dormitories are
Supplier’s facilities, including conducted where applicable)
offices, operational areas, and
company provided housing?

Control worker exposure to

potential safety hazards (e.g.,
electrical and other energy Se 3 Tier audits and monitoring program
sources, fire, heat, vehicles, and
fall hazards) through proper
design, engineering and
administrative controls, preventive
maintenance and safe work
procedures (including lockout/ tag-
out).

Identify, evaluate and control

worker exposure to chemical, Supplier's policies and / or procedures require compliance in each of the areas
biological, radiological and identified
physical agents as well as
physically demanding tasks.

Provide and properly maintain

machine safeguards, interlocks
and barriers.

Where hazards cannot be

adequately controlled by these
means, provide workers at no cost
as appropriate the proper personal
protective equipment and ensure
proper maintenance of the
equipment. Workers are not being
disciplined for raising safety
concerns.

Provide clean toilet facilities,

access to potable water and
sanitary food preparation and
storage facilities.

Worker dormitories provided by

the vendor or a labor agent are to
be clean, safe, and provide
emergency egress, adequate
ventilation and reasonable
personal space.
 protective equipment and ensure
proper maintenance of the
equipment. Workers are not being
disciplined for raising safety
I. Sustainability
concerns. Input cells
Provide clean toilet facilities, Supplier does not by policy require compliance to the Six (6) areas left
access to potable water and
sanitary food preparation and
storage facilities.

Worker dormitories provided by

the vendor or a labor agent are to
be clean, safe, and provide
emergency egress, adequate
ventilation and reasonable
personal space.

Score 0

# Element Criteria level Reference Auditors Comments Score

I4.2 Supplier maintains records of In addition to items 2 - 4 above, Supplier policies actively promote back-to-work
employee injuries and accidents programs including limited duty assignments and physical and / or mental and
and has a program in place to emotional rehabilitation.
reduce recurrence of similar
incidents? Suppliers management systems review safety data regularly and deploys
resources as needed to reduce severity and occurrence of injuries.
Manage, track and report
occupational injuries and illnesses,
including provisions to: a) Supplier manages, tracks and reports all necessary injuries and illnesses. and
encourage worker reporting; b) provides necessary emergency medical treatment including transportation to
classify and record injury and appropriate medical facilities.
illness cases; c) provide necessary
medical treatment; d) investigate Supplier has begun at process of monitoring worker injuries
and implement corrective actions
to eliminate their causes; and d)
facilitate return of workers to work.
Supplier has not documented procedures to monitor injuries and illnesses

Support Score 0

# Element Criteria level Reference Auditors Comments Score

I4.3 Does your company investigate all Supplier Policies and procedures require investigation of accidents. Data is
employee accidents and initiate reported to management and evidence exist of implementation of corrective
corrective action? actions beyond initial occurrence.

Suppliers policies and procedures Suppliers Policies and procedures require investigation of employee accidents.
require Employee accidents to be Data is reported to management with corrective actions implemented in a timely
investigated. manner.
Suppliers Policies and procedures require the investigation of each accident with
the goal of identifying permanent corrective actions.

Suppliers Policies and procedures require the investigation of lost time accidents
and injuries only.
Suppliers Policies and procedures do not require each Employee accident to be
investigated and corrective actions identified
Score 0

# Element Criteria level Reference Auditors Comments Score

I4.4 Employees are at least 16 years Supplier complies with aspects left and is actively working with their supply base
old, work voluntarily and work no to monitor and improve conditions within the supply chain
longer than 60 hours per week,
except in emergency or unusual
conditions?

Youth (between 16 to 18 years)

should enjoy all the benefits of a
nurturing workplace such as
training and development
programs.
Supplier complies with all aspects left and has documented policies and
Workers under the age of 18 procedures to support implementation
should not perform hazardous
work and may be restricted from
night work with consideration
given to educational needs.

Supplier prohibits the use of

forced, bonded, indentured or
involuntary prison labor.

Supplier allows workers to leave Supplier's policies and/or on-site review indicates non-compliance with the left
employment upon reasonable requirements
notice and does not require
workers to hand over government-
issued identification, passports or
work permits as a condition of
employment.

Supplier complies with applicable

wage laws, including those relating
to minimum wages, overtime hours
and legally mandated benefits. Score 0
Employees receive at least the
minimum wage required by law or
the prevailing industry wage,
whichever is higher.

Workers receive full details

 I. Sustainability Input cells

# Element Criteria level Reference Auditors Comments Score

I4.5 Supplier maintains a workplace Supplier Policies and procedures comply with requirements above and the
apparently free of physical and Supplier is actively engaged in programs to bring diversity to the workforce
mental harassment, abuse and
discrimination?

Maintain workplaces free of

physical or mental harassment,
abuse, or any other behavior that
diminishes a person’s integrity and Supplier's Policies and Procedures comply with the above requirements above
self-esteem. This includes harsh and no evidence exists of violation requirements.
and inhumane treatment, including
any sexual harassment, sexual
abuse, corporal punishment,
mental or physical coercion, and
verbal abuse of workers.
Maintain workplaces free of
unlawful discrimination and Supplier Policies and Procedures are not specific relative to all items above, no
harassment in all of its forms, evidence exists of violation of requirements.
including that related to color,
race, gender, sexual preference,
age, pregnancy, caste, disability,
union membership, ethnicity, and
religious beliefs. This applies to
hiring, salary, benefits,
advancement, discipline, Supplier's Policies and procedures do not comply with requirements above.
termination, and retirement.

Score 0

# Element Criteria level Reference Auditors Comments Score

I4.6 Supplier maintains appropriate fire Supplier has received special recognition from governmental agencies or
detection and suppression applicable trade organizations for exceptional application or execution of
equipment as well as adequate emergency procedures Needs CAPEX
exits?

Supplier maintains appropriate

emergency plans and response Supplier's Policies and Procedures comply with the above requirements and
procedures, including: emergency records of emergency plans, worker training and drills exists.
reporting, employee notification
and evacuation procedures,
worker training and drills,
appropriate fire detection and Supplier's Policies and Procedures do not comply with the above requirements
suppression equipment, adequate
exit facilities and recovery plans.

Score 0

# Element Criteria level Reference Auditors Comments Score

I4.7 Supplier allows employees a right Supplier's Policies and procedures do require the Supplier to respect voluntary
to organize and bargain freedom of association and guarantee the right to organize and bargain
collectively in a manner that is collectively within the applicable laws and regulations.
legally compliant and workers’
representatives are not subject to
discrimination and have
appropriate access to workplaces
necessary to carry out their
respective functions?

Respect voluntary freedom of

association, including the right to
organize and bargain collectively
in a manner that is legally
compliant.

Workers’ representatives are not

subject to discrimination. Supplier's Policies and procedures do not require the Supplier to respect
voluntary freedom of association and guarantee the right to organize and bargain
Where worker representation and collectively within the applicable laws and regulations.
collective bargaining are restricted
by law, efforts should be made to
facilitate open communication and
direct engagement between
workers and management as
alternative ways of ensuring that
workers’ rights, needs and views
are considered and acted upon
appropriately and in good faith.

Score 0
I.5 Environmental, Health and Safety Audits
# Element Criteria level Reference Auditors Comments Score
I5.1 Are Environmental, Health and Supplier Policies and procedures require regularly scheduled EHS audits,
Safety audits conducted annually management review and corrective actions based on findings. Corrective actions
by internal personnel ? are executed in a timely manner and are verified as successful

There are regular scheduled

internal a audits to procedures and
operating instructions.

There is a regular scheduled

management review of progress to
goals.
 Are Environmental, Health and
Safety audits conducted annually
by internal personnel ?
I. Sustainability
There are regular scheduled Input cells
internal a audits to procedures and
operating instructions. Supplier's Policies and procedures require regularly scheduled EHS audits with
management review and progress to goals identified
There is a regular scheduled
management review of progress to
goals.

There is a regular scheduled Supplier's Policies and procedures do not require internal EHS audits or
(minimum annual) review (and frequency is greater than 1 year
update) of the policy and plan.

Score 0

# Element Criteria level Reference Auditors Comments Score

I5.2 Are Environmental, Health and
Safety audits conducted per a
prescribed schedule by external
personnel ?
There is a regular scheduled audit
of EHS system by External
personnel. External personnel is
defined as any person or group of
persons not directly related to or
engaged the activities of the
facility being audited.
Supplier Policies and procedures require regularly scheduled EHS audits
conducted by recognized third party, frequency is annual or less
Supplier Policies and procedures require regularly scheduled EHS audits,
management review and corrective actions based on findings. Corrective actions
are executed in a timely manner and are verified as successful.
Supplier's Policies and procedures require regularly scheduled External EHS
audits with management review and progress to goals identified
Supplier's Policies and procedures require external EHS audits.
Supplier's Policies and procedures do not require external EHS audits.

Score 0
I.6 Supply Base Management for Sustainability
# Element Criteria level Reference Auditors Comments Score
I6.1 Supplier has a method to ensure Supplier actively engages in activities which support their Suppliers in adopting
that its own Suppliers follow social, Socially and Environmentally Sustainability. Including Best Practices, Technology,
environmental, and economic and Resource sharing programs where applicable.
practices that support overall
sustainability efforts, including on
site audits as deemed appropriate.

There is an established system or

process in place to assess the
company's Suppliers' capabilities Supplier's Policy and procedures support the requirements as stated and
prior to sourcing of new business. evidence exits of specific actions regarding the company's Suppliers which it has
determined to have insufficient sustainable efforts in place to protect its
Specific attention is given to the employees, the community, and the environment.
company's Supplier's sustainability
policies, including environmental
impact, community impact,
employee treatment, and
economic sustainability.

Appropriate action is taken Supplier's Policy and procedures require assessment of their Suppliers'
regarding the company's Suppliers capabilities with regard to Social and Environmental Sustainability as part of
which it has determined to have sourcing decisions and on-going oversight.
insufficient sustainable efforts in
place to protect its employees, the
community, and the environment.
This includes using the company's
influence to positively impact its
Suppliers behavior change and/or
resorting business if improvements Supplier's Policy and procedures do not support Sustainability within the Supply
are not made within reasonable Base.
conditions.

Score 0
I.7 Diverse Business Development
# Element Criteria level Reference Auditors Comments Score
I7.1 Does the Supplier understand and Americas Region Suppliers:
support certified disadvantaged, 100% RBI
minority & women owned Designated a Supplier Diversity Coordinator
businesses ? NMSDC or WBENC Regional Council /National Membership
Attended Diverse Supplier Tradeshows or Networking Events
1. The Supplier has an Submitted Annual Plan
established Diverse Business 5.0% or greater of Supplier’s sales level with Maxion spent with diverse Suppliers
Development Champion.
2. The Supplier has a Diverse Suppliers Outside Americas Region:
Business Development plan, Supplier is implementing plans to measure economic involvement with Diverse
which identifies short and long Suppliers and has adopted specific targets as part of overall Business objectives
term goals.
3. The Supplier Diverse Business
Development plan supports
Americas Region Suppliers:
customer's goals, as well as, the
40% DBI
Supplier corporate Operational
Meets 20% DBI requirement and:
and Strategic Plans.
4. The Supplier actively
participates in customer Diverse
Submitted Annual Diverse Business Development Plan
Business Development initiatives
1.0 to 2.4% of Supplier’s sales level with Maxion spent with diverse Suppliers
(training classes, projects, plan
reviews, etc.) and goals (%
Meets requirements for 20% DBI
spend).
5. The Supplier has plans to
Suppliers Outside Americas Region:
attend, or has attended, National
Supplier has a designated Diversity Coordinator and is actively involved with
Minority Supplier Development
development projects within the country or region
Council (NMSDC) Women's
Business Executives National
Council (WBENC) trade shows or
functions.
6. The Supplier is a member of
the NMSDC, WBENC or one of its
(training classes, projects, plan
reviews, etc.) and goals (%
spend).
5. The Supplier has plans to
I. Sustainability
attend, or has attended, National
Input cells
Minority Supplier Development
Council (NMSDC) Women's
Business Executives National Americas Region Suppliers:
Council (WBENC) trade shows or 20% DBI
functions. Designated a Supplier Diversity
6. The Supplier is a member of Coordinator
the NMSDC, WBENC or one of its NMSDC or WBENC Regional Council /National Membership
regional affiliates. Attended Diverse Supplier Tradeshows or Networking Events

Americas Region Suppliers:

Supplier has no documented policy or plan to promote diversity

Suppliers Outside Americas Region:

Supplier has no documented policy to
promote diversity

Suppliers Outside Americas Region:

If Supplier does not deliver products in
majority to Americas Region - not applicable allowed

Score 0