Supplier Self-Assessment
Part 2 (Logistics)

The Supplier Self-Assessment Part 2 (Logistics) is used by SMA Solar Technology AG, hereinafter referred to as "SMA", to evaluate their suppliers in terms of their logistics expertise. It is to be completed at the beginning of a business relationship by the supplier and can, if necessary, in an ongoing business relationship, be requested by SMA as part of an (internal) audit.

In order to gain a complete picture of the logistics expertise of the supplier, it is important to SMA that all questions are answered. In order to expedite processing, the check-boxes and comments fields provided to aid rapid processing can be used. Unlike in part 1 of the Supplier Self-Assessment, the logistics section only has the two options 1 (yes) and 4 (no).

Upon request by SMA the responses can be substantiated by supporting supplier documents.

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Supplier Self-Assessment

Part 2 (Logistics)

Overview

1.General Information

2.Logistics

3.Summary

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1.General Information

Company
Address
Telephone
Telefax
E-mail
Internet
Leading contact person / Telephone extension / E-mail
Logistics

Responsible for all information given:

Date / Name, position / Signature

2.Logistics

Assessment
No. / Question / Omitted / 1 / 2 / 3 / 4 / Comment / Doc.
  1. Target: Measurement of delivery performance and the identification of potential improvements

1.1 / Is the delivery performance vis-á-vis SMA measured (KPI)?
1.2 / Is there a process description regarding bottleneck processes to remedy identified deficiencies?
  1. Work organization: Existence of safeguards to prevent interruptions due to unforeseen events in the supply chain

2.1 / Do contingency plans exist to prevent interruptions due to unforeseen events in the supply chain?
  1. Capacity- and production planning: Coordination of resources based on SMA requirements as well as a secure and automated planning process

3.1 / Are capacities in terms of customer requirements compared on a weekly basis upon receipt of the demand forecast (e.g. LAB) if sent by SMA?
3.2 / Is there a process in place to inform the customer in good time of any significant bottlenecks that endanger the satisfaction of requirements?
3.3 / Does the planning system take into account the requirements of SMA in production planning?
3.4 / Is there a defined number of parameters (e.g. transport times, lead times, inventory levels, packaging) and internal production requirements (e.g. capacity limits of suppliers, scrap rates, set-up times) integrated into the production planning system?
3.5 / Is customer requirements information integrated automatically into the production planning system in order to avoid human error (e.g. EDI or web-based EDI industry standards)?
Assessment
No. / Question / Omitted / 1 / 2 / 3 / 4 / Comment / Doc.
  1. Customer contact: Electronic data transmission and prompt information in the event of possible problems

4.1 / Are demand forecasts (e.g. LAB) forwarded and processed electronically?
4.2 / Are call-off orders (e.g. Kanban) forwarded and processed electronically?
4.3 / Is a documented procedure for material planning- and logistics employees in place to notify SMA and to be able to respond to any abnormal situation when a negative effect on SMA or your own company is recognized?
4.4 / If agreed supply quantities can not be met, will SMA be informed of the deviations (e.g. transport type, quantity deficiencies, packaging etc.) prior to the delivery?
4.5 / Will an interactive inventory management system be used (e.g. VMI) if this is requested by SMA?
4.6 / Is a process for packaging planning with SMA available and documented?
4.7 / Is the data content of the shipping labels controlled to ensure that the information on the label and in the shipping documents correspond with the contents of the container?
4.8 / Are electronic support systems such as transponders or scanners used for this task?
4.9 / Does the logistics department ensure that the delivery- and transport notes are complete and correct and that they comply with SMA requirements?
Assessment
No. / Question / Omitted / 1 / 2 / 3 / 4 / Comment / Doc.
4.10 / Are all shipments arranged in accordance with industry standards and legal requirements (e.g. customs clearance) and documented customer requirements (including freight forwarder details)?
4.11 / Is the loading process safeguarded in so far as every delivery- and transport note is first transmitted at the time of the departure of the transport?
4.12 / Are the freight forwarders / Lead Logistics Providers to be responsible for your transport selected and evaluated based on logistics-, flexibility- and quality parameters?
  1. Production and production control: Procedures or method for the simple identification of materials (technical changes, traceability)

5.1 / Does a process exist for the correct identification of materials including intermediate products, if necessary through markings on the product (e.g. data matrix code)?
5.2 / Is a process in place that ensures that labels are correctly attached to materials and if necessary are sufficiently available?
5.3 / Does a process exist for the correct designation of all storage spaces?
5.4 / Is there a process in place to ensure that all materials that are no longer usable or that is to be disposed of (e.g. scrap, returns, etc) are labelled accordingly?
5.5 / Is there a procedure for securing and monitoring to ensure that defective / obsolete material is stored separately, reprocessed and furthermore disposed of correctly?
Assessment
No. / Question / Omitted / 1 / 2 / 3 / 4 / Comment / Doc.
  1. Supplier contact: Documented agreement with sub-suppliers and service providers as well as electronic data exchange

6.1 / Do procedures exist whereby in the event of any deviation from the logistical requirements of a supplier, investigations are initiated immediately, contact is established and corrective measures are initiated by the supplier / logistics service provider?
6.2 / Does the logistics area have the ability to send and receive data by electronic means in accordance with customer requirements and relevant industry standards?
6.3 / Is EDI used as a rule with all suppliers, sub-suppliers and logistics service providers for the transmission and receipt of data? Based on customer requirements and in accordance with a fixed timing plan, will EDI be set up with suppliers, sub-suppliers and logistics service providers who are not currently EDI-capable?
Comments: / ∑= / (Sum of responses) / 28
x 100 / x 0 / x 100 / (maximum number of points) / 2800
00 / 00 / ∑= / (number of points achieved)
%= / (achieved
%)

3.Summary

(will be completed by SMA)

Report no.: / Supplier
Supplier no.:
Audit required
yes no / Date / Plant
Responsible contact persons
(Function / Tel.)
Comments: / Evaluation / Pts. / %
1. Target (max. 200 points)
2. Work organization (max. 100)
3. Capacity- and production planning
(max. 500)
4. Customer contact (max. 1200)
5. Production and production control
(max. 500)
6. Supplier contact (max 300)
Total (max. 2800)

SMA employee responsible:

Date / Name, position / Signature

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