Supplier Selection Assessment Check List - DBU
Supplier Selection Assessment Check List - DBU
Supplier Selection Assessment Check List - DBU
1. Financial Health
2: Quality
Covered in K1
Added F3
Executive Summary
Currency
FINANCIAL
Inventory 1.00
Interests Payable
If data is not available, pls. input 0. 1.00
If the actual amount is 0, pls input 1.
RATIOS
Liquidity Ratios
Quick Ratio
0.00
(Current Assets - Inventory)/ Total Current Liabilities
Current Ratio
1.00
(Total Current Assets/ Total Current Liabilities)
###
Leverage Ratios
Debt / Equity 1.00
###
Qualitative ENTRY
Discretionary Section
Input Justification below
Comments:
Subtotal ###
Quality
Contract Review - cross functional feasibility
Assessment
Area/Element Responsibility Details Status
Method
A Certifications (G, Y, R, NR)
Is the supplier ISO 9001 certified? If yes, list Registrar Retrive copy of
1 SQIE YES-ISO 9001-2015 & ISO 45001-2018 from TUV
Is it a multisite certification? certification
Is this facility covered by any third-party certifications (e.g. Marine
Retrive copy of
2 Certifications, etc)? If so, list them with expiration dates in SQIE NO
certification
Comments.
B Process Capability
Can the Supplier manufacture the quoted P/N(s) to the print or
1 technical profile provided, including all dimensions, engineering Visit/Audit SQIE YES
standards, and notes, without exception?
C Quality Support Capability SQIE
Are engineers integrated into the quality function at adequate
1 Visit/Audit SQE YES
levels?
2 What is the training plan for quality engineers and technicians? Visit/Audit SQE For Technician - Welding & Machine Operating Training
2 Is there an approved rework procedure for the product currently? Visit/Audit SQIE
2 Are functional test parameters captured per batch/serial number? Visit/Audit SQIE YES
Quality
Contract Review - cross functional feasibility
Assessment
Area/Element Responsibility Details Status
Method
#DIV/0! R *R #DIV/0!
#DIV/0! Y *Y #DIV/0!
#DIV/0!
#DIV/0! G *G #DIV/0!
#DIV/0! NR NR #DIV/0!
Summary
Technical & Design
Status
Assessment
Area/Element Responsibility Details (G, Y, R, NR)
Method
A Change Management
1 Is there a process for managing design changes? Audit SQIE
How are customer drawings and engineering standards
2 Audit SQIE
controlled ?
D
Engineering development and project tools
What are the development and project tools used by the CAD models. Wiring diagrams - software needed? FEA, CFD - for airflow,
supplier ? CAD, Wiring Diagrams, CFD, Wind loading, Presuring the fuel tanks for leak test. Wind loading - structure need to
1 Visit/Audit PE/SM/SQIE
Snow loading, Sound attenuation - development and withstand that. Snow loading also. Sound attenuation - development and
testing? testing.
E Adequate technical support resources
2 Are they capable of running product tests ? Visit/Audit PE/SM/SQIE Fuel tank pressure test. Wind loading - structure need to withstand that
Can the supplier provide prompt technical support at
3 Visit/Audit PE/SQIE
Cummins if needed?
F Patent Efforts and Coverage
Do they hold active patents for any of their pre-existing
1 Visit/Audit PE/SM/SQIE
designs that are of specific interest to Cummins? long term project.
G Robust DVP&R process
1 How is the design validated? Visit/Audit PE/SM/SQIE
H
Good warranty problem solving process and results
How are warranty issues resolved ? Does the supplier
have a process to review and reduce warranty costs, e.g.,
1 Visit/Audit PE/SM/SQIE
analysis of returned parts, use of effective problem
solving?
I Design Reviews
Are Design reviews cross functional and used to id
1 Visit/Audit PE/SM/SQIE
resolved issues?
Is the supplier capable of supporting our design and
2 Visit/Audit PE/SM/SQIE
development schedule?
J Reliability process is robust
1 Is product reliability addressed in design reviews? Visit/Audit PE/SM/SQIE
#DIV/0! R *R #DIV/0!
#DIV/0! Y *Y #DIV/0!
#DIV/0!
#DIV/0! G *G #DIV/0!
#DIV/0! NR NR #DIV/0!
Summary
Manufacturing Engineering & Operations
Assessment
Area/Element Responsibility Details Status
Method
A Equipment Capability (G, Y, R, NR)
What is the FTR ( First Time Right) of the
1 Visit/Audit PE/SQIE/SM
manufacturing lines or cells ?
How is new equipment bought and qualified ? Are all
2 equipment and processes validated prior to Visit/Audit PE/SQIE/SM
production ?
3 Does the production process have a logical flow? Visit/Audit PE/SQIE/SM
4 What is the efficiency of the process ? Visit/Audit PE/SQIE/SM
Is benchmarking effectively used to develop new
5 Visit/Audit PE
products and processes?
Status
Area/Element Assessment Method Responsibility Details
(G, Y, R, NR)
Business Structure
A Diversified across industries
Interview management
1 What percent of the Supplier business will Cummins be? team Sourcing Manager
Interview management
2 Is the Supplier dependent on a single industry? team
Sourcing Manager
Interview management
3 Who are the other customers/other industries? team
Sourcing Manager
Interview management
2 Does the supplier supply to other Cummins entities? team
Sourcing Manager
Are there clear potential successors for key leadership Interview management
3 positions ? team
Sourcing Manager
Management Commitment
A Commitment to Quality
Interview management
Is management driving Customer Quality improvement ? Sourcing Manager
1 team
Is there a process in place to drive continuous
Interview Sourcing Manager
2 improvement?
B Commitment to Customers
Is management actively supporting Cost Reduction Interview management
Sourcing Manager
1 initiatives ? team
How does management adequately staff projects for Interview management
Sourcing Manager
2 success? team
Are adequate resources assigned to this project? PM? Review current project Sourcing Manager
2
3 Do they meet cost targets at end of projects ? Sourcing Manager
# Category
1 WCO Security Involvement
6 Controlling Seals
7 Compromised Seals
8 Issuance of Seals
9 Seal Requirements
11 Employee Badges
14 Verification of Visitors
15 Escorted Visitors
16 Verification of Vendors
19 Background Verification
20 Background Checks for Sensitive Positions
22 Shipping Documentation
23 Accurate Manifest
24 Manifest Verification
26 Cargo Discrepancies
28 Individual Log In
30 Password Reset
31 I.T. Abuse
32 I.T. Abuse
33 Physical Barrier
34 Segregation of Cargo
38 Perimeter Check
40 Lighting Inside
41 Lighting Outside
42 Alarm System / CCTV
43 Security Training
44 Security Training
45 Business Continuity
plicability of this requirement with Commercial Purchasing leadership
Question
Are you currently a member of any government regulated supply-chain security program that is
accredited by the World Customs Organization (WCO)? If you are currently a member of a
government regulated supply-chain security program recognized by the WCO, what is your
registration number (SVI #, etc)? If applicable, please provide registration number in the
Comment Section.
Do you have a written procedure for the selection of business partners including, carriers, manufacturers,
suppliers, and vendors? If yes, please describe your procedure:
Do you have a written procedure to ensure your business partners maintain supply-chain
security procedures that are consistent with CTPAT or other World Customs Organization(WCO)
accredited security program? If yes, please describe your procedure:
Is the area where your containers are stored secure to prevent unauthorized access and/or
manipulation? If yes, please describe the security measure(s) used:
Is there a written procedure in place for reporting and neutralizing unauthorized entry into
containers or container storage areas? If yes, please describe your procedure:
Is there a written procedure in place that stipulates how seals are to be controlled and affixed to
loaded containers? If yes, please describe your procedure:
Is there a written procedure for recognizing and reporting compromised seals and/or containers
to Customs or the appropriate authorities? If yes, please describe your procedure:
Do you have controls to ensure only authorized personnel can access and issue container seals?
If yes, please describe the security measure(s) used:
Do the container seals utilized meet or exceed the PAS ISO 17712 requirements? If yes, please
describe the security measure(s) used:
Is there a written procedure in place for inspecting containers using at least the 7-Point
inspection process (1.Front Wall, 2.Left Side, 3.Right Side, 4.Floor, 5.Ceiling/Roof,
6.Inside/Outside Doors, 7.Outside/Undercarriage)? If yes, please describe your procedure:
Are all employees required to wear company issued identification badges? If yes, please
describe the security measure(s) used:
Is there a written procedure in place to adequately control the issuance and removal of
employee, visitor, and vendor identification badges? If yes, please describe your procedure:
Is there a written procedure in place for the issuance, removal, and changing of access devices
(swipe cards, keys, etc)? If yes, please describe your procedure:
Do you require visitors to present photo identification upon arrival? If yes, please describe the
security measure(s) used:
Are all visitors escorted by a company employee or authorized personnel and required to visibly
display some form of temporary identification? If yes, please describe the security measure(s)
used:
Do you require vendors to present some form of identification upon arrival to your facility? If
yes, please describe the security measure(s) used:
Do you have a written procedure to periodically screen arriving packages before they are
disseminated? If yes, please describe your procedure:
Is there a written procedure in place to identify, challenge, and report
unauthorized/unidentified persons found on your premises? If yes, please describe your
procedure:
Is there a written procedure in place to perform background checks and/or verify information
provided on an employment application for prospective employees? If yes, please describe
your procedure:
Is there a written procedure in place for periodic background checks on employees in sensitive
positions? If yes, please describe your procedure:
Do you have a written procedure in place to remove company issued identification, facility
access, and system access from terminated employees? If yes, please describe your
procedure:
Do you have a written procedure in place to ensure all of the documentation used in the clearing
of merchandise with Customs is legible, complete, accurate, and protected to ensure erroneous
information is not entered? If yes, please describe your procedure:
Do you have a written procedure in place to ensure the information manifested from abroad is
accurate and provided timely? If yes, please describe your procedure:
Is there a written procedure in place to verify incoming freight against the cargo manifest? If
yes, please describe your procedure:
Do you ensure drivers delivering and/or receiving cargo are positively identified before cargo is
received or released? If yes, please describe the security measure(s) used:
Is there a written procedure in place for resolving cargo discrepancies count (For example:
overages, shortages, anomalies)? If yes, please describe your procedure:
Is there a written procedure in place to notify Customs and/or other law enforcement agencies
when illegal or suspicious activities are detected with respect to imported or exported cargo? If
yes, please describe your procedure:
Do you have a written procedure in place that requires each user to have an individual account
or sign-on for your automated systems? If yes, please describe your procedure:
Do you have a written procedure in place to provide IT security policies, procedures, and
standards training for employees? If yes, please describe your procedure:
Do your automated systems periodically require each user to reset his/her password? If yes,
please describe the security measure(s) used:
Do you have a written procedure in place to identify business resource abuse, to include
Internet abuse, improper access of IT systems, altering of business data? If yes, please
describe your procedure:
Do you have a disciplinary policy in place for personnel found abusing business resources? If
yes, please describe the disciplinary policy:
Do you have any type of physical barriers or deterrents, for example fencing, that protects your
cargo and/or storage areas against any type of unauthorized entry? If yes, please describe the
security measure(s) used:
Within your facilities cargo/storage area, do you have fencing to separate your domestic cargo,
international cargo, high value cargo, and hazardous cargo? If yes, please describe the security
measure(s) used:
When personnel and/or vehicles enter or exit your facility, are they required to pass through
any type of gate house or access gate that is manned or monitored? If yes, please describe the
security measure(s) used:
Do you have a barrier (fence, guard rails, etc) separating the parking area designated for
employees and visitors from the storage and cargo areas? If yes, please describe the security
measure(s) used:
Is your facility constructed with a material that would resist unlawful entry (For Example: Brick,
Aluminum, etc)? If yes, please describe the material used:
Do you periodically inspect the perimeter of your facility to ensure unauthorized entry has not
been made or attempted? If yes, please describe the security measure(s) used:
Do your internal windows and doors used to enter and exit the facility have locking mechanisms
that prevent unauthorized entry? If yes, please describe the security measure(s) used:
Do you have adequate lighting inside of your facilities to include entrances, exits, cargo
handling areas, and storage areas? If yes, please describe the security measure(s) used:
Do you have adequate lighting outside of your facility to include entrances, exits, cargo
handling, storage areas, fence line, and parking areas? If yes, please describe the security
measure(s) used:
Is your facility equipped with an alarm system and/or video surveillance camera to monitor
your premises and prevent unauthorized access to cargo handling and storage areas? If yes,
please describe the security measure(s) used:
Do you have a Security Threat Awareness program to foster awareness of the threat of
terrorists and contraband smugglers at each point in the supply chain? If yes, please describe
the program:
Do you have training to assist employees in maintaining cargo integrity, recognizing internal
conspiracies, and protecting access controls? If yes, please describe the training:
Do you have a Business Continuity plan in place? If yes, please describe the plan:
Answer Notes / Comments / Written Responses Attachments
(If answered YES -> End Questionnaire)
Section Sub-Section Element Gap Identified
Proposed Action Owner Target Close Date Actual Close Date
ALL CRITERIAL ITEMS
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