28
Form FV-BS-10558 thyssenkrupp Rothe Erde GmbH, Tremoniastraße 5-11, 44137 Dortmund P: +49 231 186-0 F: +49 231 186-2500, [email protected], www.thyssenkrupp-rotheerde.com Chairman of the Supervisory Board: N.N. Management Board: Dipl.-Kfm. Winfried Schulte (Chairman); Dr.-Ing. Wilfried Spintig, Dipl.-Kfm. Stefan Efftinge Company domicile: Dortmund Commercial court: Local Court Dortmund, HRB 10591 VAT-ID-No.: DE811460194 Tax No.: 112/5795/0833 EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS The following criteria for the supplied materials are differentiated in the supplier assessment and assessed individually every 6 months: Delivery behavior Quality behavior Price behavior Technological and innovative capability 1-100 points are awarded for each criterion, although no overall score is derived from the criteria. We expect our suppliers to aim for the maximum score in all spheres. The classification of the scores achieved and our expectations and measures can be seen in this diagram: Score Assessment / measures 100 - 81 Excellent performance There is no need for an explanatory statement from the supplier. The supplier will be given preference when placing orders. 80 - 61 Average performance An explanation for the assessment is desirable. Improvements are expected of the supplier. 60 - 41 Just adequate performance A written explanatory statement from the supplier stating remedial measures is required. Frequency of assessment to be raised. Only a limited number of orders are to be placed with the supplier. An agreement is to be reached to the effect that the supplier will assume the costs of the increased inspection outlay at thyssenkrupp Rothe Erde GmbH for future deliveries. The supplier is assigned the status "under observation". 40 - 1 Performance no longer acceptable It is an imperative necessity that the supplier submits a comment in writing and agrees remedial measures with deadline in a personal meeting. An agreement is to be reached to the effect that the supplier will assume the costs of the increased inspection outlay at thyssenkrupp Rothe Erde GmbH for future deliveries. A fresh audit of the supplier is to be carried out. A check is to be carried out as to the option of blocking of the supplier. All criteria are explained in detail on the following pages.

EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,[email protected]

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Page 1: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/0833�

EXPLANATIONS�ON�SUPPLIER�ASSESSMENT�

MATERIALS��

The�following�criteria�for�the�supplied�materials�are�differentiated�in�the�supplier�assessment�and�assessed�

individually�every�6�months:�

� Delivery�behavior�

� Quality�behavior�

� Price�behavior�

� Technological�and�innovative�capability�

1-100�points�are�awarded�for�each�criterion,�although�no�overall�score�is�derived�from�the�criteria.�We�expect�our�

suppliers�to�aim�for�the�maximum�score�in�all�spheres.�The�classification�of�the�scores�achieved�and�our�expectations�

and�measures�can�be�seen�in�this�diagram:�

Score� Assessment�/�measures�

100�-�81� Excellent�performance�

There�is�no�need�for�an�explanatory�statement�from�the�supplier.�The�supplier�will�be�given�

preference�when�placing�orders.�

��80�-�61� Average�performance�

An�explanation�for�the�assessment�is�desirable.�Improvements�are�expected�of�the�supplier.�

��60�-�41� Just�adequate�performance�

A�written�explanatory�statement�from�the�supplier�stating�remedial�measures�is�required.�

Frequency�of�assessment�to�be�raised.�Only�a�limited�number�of�orders�are�to�be�placed�with�the�

supplier.�An�agreement�is�to�be�reached�to�the�effect�that�the�supplier�will�assume�the�costs�of�the�

increased�inspection�outlay�at�thyssenkrupp�Rothe�Erde�GmbH�for�future�deliveries.�The�supplier�is�

assigned�the�status�"under�observation".�

��40�-���1� Performance�no�longer�acceptable�

It�is�an�imperative�necessity�that�the�supplier�submits�a�comment�in�writing�and�agrees�remedial�

measures�with�deadline�in�a�personal�meeting.�An�agreement�is�to�be�reached�to�the�effect�that�the�

supplier�will�assume�the�costs�of�the�increased�inspection�outlay�at�thyssenkrupp�Rothe�Erde�

GmbH�for�future�deliveries.�A�fresh�audit�of�the�supplier�is�to�be�carried�out.�A�check�is�to�be�carried�

out�as�to�the�option�of�blocking�of�the�supplier.�

All�criteria�are�explained�in�detail�on�the�following�pages.�

� �

Page 2: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/0833����������������������������������������2�

celivery�behavior�criterion��The�assessment�is�carried�out�by�the�materials�management�departments�of�our�plants.�

The�Delivery�behavior�criterion�is�further�subclassified�into�Adherence�to�delivery�deadlines�and�Adherence�to�

quantity�stipulations.�To�derive�an�overall�score�for�the�delivery�behavior�criterion,�the�points�assigned�to�each�

individual�performance�are�recorded,�weighted�and�collated�separately.�

The�weighting�for�adherence�to�delivery�deadlines�is�60%�and�for�adherence�to�quantity�stipulations�40%.�

Only�those�purchase�orders�are�evaluated�which�have�a�delivery�deadline�within�the�period�under�consideration�and�

for�which�a�goods�receipt�has�been�posted.�In�principle,�this�posting�is�made�promptly�on�the�day�of�the�physical�

receipt�of�the�goods.�Upon�request,�a�detailed�record�of�all�individual�performances�can�be�requested.�

Subcriterion:� Adherence�to�delivery�deadlines�

The�deviation�from�the�delivery�deadline�is�evaluated�in�days.�In�this,�"+"�means�a�delivery�later�than�the�delivery�

deadline;�"-"�means�an�earlier�delivery.�

The�supplier�is�requested�to�confirm�the�day�and�not�the�week�of�delivery�as�there�might�otherwise�be�variances�in�

the�evaluation.�Should�this�not�be�possible�by�technical�means�it�should�be�done�by�hand.�

Points� ceviation�

cays�too�late�

ceviation�

cays�too�early�

� 100� � ����0� � ���0�

� 90� � +��1� � -��3�

� 80� � +��3� � -��7�

� 70� � +��5� � -10�

� 60� � +��7� � -14�

� 50� � +10� � -17�

� 40� � +14� � -21�

� 30� � +18� � -24�

� 20� � +21� � -28�

� 1� � +28�and�more� � -35�and�more�

Example:� Contrary�to�the�target�delivery�deadline�of�21�July,�the�delivery�takes�place�on�26�July.�

A�rating�of�70�points�is�determined�for�this�performance�on�the�basis�of�the�difference�of�5�days.�

Page 3: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/0833����������������������������������������3�

Subcriterion:� Adherence�to�quantity�stipulations�

The�deviation�from�the�delivery�quantity�per�delivery�deadline�is�evaluated�in�%.�

In�this,�"+"�means�an�additional�quantity�delivered;"-"�means�an�insufficient�quantity�delivered.�

Points� ceviation�

Insufficient�units�

ceviation�

Excessive�units�

� 100� � ����0� � ���0�

� 90� � +��2.5� � -��1.5�

� 80� � +��5.0� � -��3.0�

� 70� � +��7.5� � -��4.0�

� 60� � +10.0� � -��5.0�

� 50� � +12.5� � -��7.5�

� 40� � +15� � -10.0�

� 30� � +17.5� � -15.0�

� 20� � +20.0� � -20.0�

� 10� � +22.5� � -25.0�

� 1� � +25.0�and�more� � -30.0�and�more�

Example:� Contrary�to�the�ordered�quantity�of�100�units,�just�95�units�are�delivered�on�the�delivery�deadline.�

This�shortfall�of�-5%�makes�for�a�rating�of�60�points�for�this�performance.�

Page 4: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/0833����������������������������������������4�

Criterion:� Quality�behavior��

The�way�in�which�this�criterion�is�assessed�depends�on�the�plant�in�question.�

A)�Quality�behavior,�Lippstadt�plant�

The�assessment�is�conducted�by�the�Quality�Assurance�department�at�the�Lippstadt�slewing�bearing�plant.�

The�Quality�behavior�criterion�is�further�subclassified�into�Incoming�goods�inspection,�cocumentation,�

Complaints�and�Quality�management�system.�For�the�purposes�of�deriving�an�overall�rating�for�the�Quality�

behavior�criterion,�the�scores�assigned�to�these�subcriteria�are�recorded,�weighted�and�collated�separately.�

The�weighting�for�the�Incoming�goods�inspection�criterion�is�60%,�for�cocumentation�10%,�

for�Complaints�20%�and�for�System�audit�10%.�

Subcriterion:� Incoming�goods�inspection�

The�results�of�the�incoming�goods�inspections�are�evaluated�in�terms�of�the�usability�of�the�delivered�products.�The�

inspection�is�carried�out�with�regard�to�compliance�with�the�technical�delivery�specifications�on�which�the�order�is�

based.�For�thyssenkrupp�Rothe�Erde�GmbH,�a�deviation�from�the�delivery�specifications�in�all�cases�constitutes�a�

deficiency�and�is�associated�with�additional�costs,�possibly�due�to�time-consuming�clarification�with�internal�

departments�right�through�to�the�customer.�Therefore,�in�the�case�of�deficient�deliveries,�the�supplier�is�generally�

required�to�provide�an�explanatory�statement�with�details�of�measures�towards�improvement.�The�points�score�is�

adjusted�accordingly�in�this�situation.�Upon�request,�a�detailed�record�of�all�individual�performances�can�be�

requested.�

� Usable,�� free�of�deficiencies�=�� 100�� points�

� Usable,�� with�deficiencies� �=�� 1� point�

� Not�usable,�� with�deficiencies� �=�� 1� point�

Subcriterion:� cocumentation�

The�documentation�is�an�essential�part�of�the�delivery�and�constitutes�the�prerequisite�for�the�usability�of�the�

delivered�material.�If�the�documentation�is�complete�and�arrives�at�the�same�time�as�the�delivery,�100�points�are�

given.�Incomplete�or�incorrectly�addressed�documentation�leads�to�a�partial�evaluation.�In�the�event�of�the�complete�

absence�and�significantly�delayed�subsequent�delivery�(more�than�3�days)�of�the�documentation,�only�1�point�is�

given.�

Page 5: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/0833����������������������������������������5�

Subcriterion:� Complaints�/�notification�of�production�deviations�

A�score�of�100�points�is�given�if�the�supplier�reports�to�thyssenkrupp�Rothe�Erde�GmbH�in�good�time�any�mistakes�

with�notification�of�manufacturing�variances,�thus�averting�any�further�complaints�and�handling�the�complaints�in�

accordance�with�the�corresponding�agreements.�A�partial�evaluation�takes�place�if�the�above�procedure�is�not�

followed.�Furthermore,�a�mistake�which�is�not�detected�at�thyssenkrupp�Rothe�Erde�GmbH�until�a�later�point�in�time�

(e.g.�during�assembly�or�not�until�actually�in�use)�leads�to�a�partial�evaluation.�

Subcriterion:� Quality�management�system�

A�score�of�100�points�is�given�if�the�supplier�provides�substantiation�of�having�in�place�a�quality�management�system�

certified�by�an�accredited�body.�A�partial�evaluation�of�up�to�90�points�takes�place�if�a�quality�management�system�

exists�and�is�described�in�a�manual�but�has�not�yet�been�certified.�A�score�of�1�point�is�given�if�the�supplier�can�

provide�no�substantiation�of�having�a�quality�management�system�in�place.�

B)�Quality�behavior,�cortmund�plant��

The�assessment�is�carried�out�by�the�Dortmund�plant's�Technical�Supplier�Development�(TLE)�department.�

The�Quality�behavior�criterion�is�further�subclassified�into�Product�quality,�Time�taken�for�processing�complaints�

and�Existing�approvals.�For�the�purposes�of�deriving�an�overall�score�for�the�Quality�behavior�criterion,�the�scores�

assigned�to�these�subcriteria�are�recorded,�weighted�and�collated�separately.�

The�weighting�for�Product�quality�is�80%,�for�Time�taken�for�processing�complaints�10%�and�for�Existing�

approvals�10%.�

Subcriterion:� Product�quality�

The�deliveries�over�the�past�12�months,�which�were�processed�in�the�past�6�months,�are�assessed.�Exclusively�the�

following�material�grades�are�taken�into�account�for�the�evaluation.�

Ԃ� 42CrMo4�

Ԃ� 42CrMo4-mod�

Ԃ� 34CrNiMo6�

Ԃ� C45�

Ԃ� S48C�

Ԃ� WStE355+Ce�

Ԃ� AlZnMgCu0.5�

Ԃ� AlMg4.5Mn�

Page 6: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/0833����������������������������������������6�

The�existing�complaint�rate�for�the�defined�period�under�consideration,�which�is�calculated�from�the�cumulative�

volume�of�complaints�and�the�cumulative�delivery�quantity,�is�converted�into�points�as�illustrated�in�the�following�

table.�

��

These�points�ultimately�form�the�assessment�yardstick�for�the�"Product�quality"�subcriterion.�

Subcriterion:� Time�taken�for�processing�complaints�

The�assessment�is�carried�out�based�on�the�time�taken�for�processing�complaints�over�the�past�6�months,�with�

points�being�given�as�illustrated�in�the�following�table.�

Points� Processing�time �

[weeks] �

100�-�81� � <�2�

��80�-�61� � 2�-�4�

��60�-�41� � 4�-�8�

��40�-���0� � >�8�

Page 7: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/0833����������������������������������������7�

Subcriterion:� Existing�approvals�

This�subcriterion�is�assessed�on�the�basis�of�the�valid�approvals�/�audits�existing�during�the�evaluation�period.�The�

points�are�weighted�according�to�the�type�and�scope�of�the�approvals�/�audits�as�shown�in�the�following�table.�

Points� Type�and�scope�of�the�approvals�/�audits�

100�-�81� The�supplier�is�comprehensively�certified�by�an�external�independent�body�in�terms�of�

quality,�occupational�safety�and�environment�

��80�-�61� The�supplier�is�only�partially�certified�by�an�external�independent�body�in�terms�of�

quality,�occupational�safety�and�environment�

��60�-�41� The�supplier�has�an�in-house�QA�system�in�place�

��40�-��0� No�QA�system�

Page 8: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/0833����������������������������������������8�

Criterion:� Price�behavior��

The�evaluation�is�carried�out�by�the�Procurement�department.�

The�Price�behavior�criterion�is�further�subclassified�into�Price�level�and�Price�development.�For�the�purposes�of�

deriving�an�overall�rating�for�the�quality�behavior�criterion,�the�scores�assigned�to�these�subcriteria�are�recorded,�

weighted�and�collated�separately.�

The�weighting�for�the�Price�level�criterion�is�60%�and�for�Price�development�40%.�

Subcriterion:� Price�level�

The�assessment�here�is�as�to�how�the�supplier's�price�applicable�for�the�respective�service�in�the�period�under�

consideration�stands�relative�to�the�market�price.�The�market�price�is�calculated�on�the�basis�of�all�the�prices�applied�

by�all�suppliers�for�the�same�performance�in�the�period�under�consideration.�In�this,�"+"�means�a�price�higher�than�

the�market�price;�"-"�a�price�lower�than�the�market�price.�

Points� ceviation �

% �

� 100� � -12.0�

� 95� � -��9.0�

� 90� � -��6.0�

� 85� � -��3.0�

� 80� � ����0�

� 75� � +��1.0�

� 70� � +��2.0�

� 65� � +��2.5�

� 60� � +��3.5�

� 55� � +��5.0�

� 50� � +��7.0�

� 45� � +��9.0�

� 40� � +11.0�

� 35� � +13.0�

� 30� � +15.0�

� 20� � +17.0�

� 15� � +19.0�

� 10� � +21.0�

Page 9: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/0833����������������������������������������9�

� 5� � +23.0�

� 1� � +25.0�and�more�

Example:� The�price�to�be�assessed�for�a�material�is�EUR�100/unit.�The�same�material�is�offered�by�two�other�

suppliers�at�a�price�of�EUR�84/unit�and�EUR�110/unit�respectively.�The�market�price�is�derived�from�

(EUR�100/unit�+�EUR�84/unit�+�EUR�110/unit)�/�3�=�EUR�98/unit.�The�deviation�of�the�supplier's�

price�from�the�market�price�is�+2%�and�is�rated�with�70�points.�

Subcriterion:�Price�development�

The�assessment�here�is�as�to�how�the�supplier's�price�for�the�respective�material�has�developed�in�relation�to�the�

market�price.�The�prices�and�market�prices�of�the�current�period�are�compared�with�the�previous�period�under�

consideration.�In�this,�"+"�means�a�stronger�increase�in�the�supplier's�prices�than�the�development�of�the�market�

price;"-"�a�lower�increase�than�the�development�of�the�market�price.�

Points� ceviation �

%�

� 100� � -��6�

� 95� � -��5�

� 90� � -��4�

� 85� � -��3�

� 80� � -��2�

� 75� � -��1�

� 70� � ����0�

� 65� � +��1�

� 60� � +��2�

� 55� � +��3�

� 50� � +��4�

� 45� � +��5�

� 40� � +��6�

� 35� � +��7�

� 30� � +��8�

� 20� � +��9�

� 15� � +10�

� 10� � +11�

� 5� � +12�

� 1� � +13�and�more�

Page 10: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/0833����������������������������������������10�

Example:� The�market�price�has�reduced�by�-5%�from�the�original�EUR�100/unit�to�a�current�level�of�EUR�

95/unit.�The�price�to�be�assessed�for�a�material�is�EUR�122/unit�in�the�current�period�and�EUR�

120/unit�in�the�previous�period�under�consideration.�This�equates�to�an�upward�development�of�

+1.5%.�

Calculation:� 1.� Development�of�the�price�to�be�assessed�according�to�the�development�of�the�market�price:�

EUR�120/unit�-5%�=�EUR�114/unit�

� 2.� Development�of�the�price�to�be�assessed�according�to�the�supplier's�price�development:�

EUR�120/unit�+�1.5%�=�EUR�122/unit�

� 3.� Development�of�the�procurement�price�relative�to�the�market�price:�

EUR�122/unit�at�EUR�114/unit�=�+7%�

� >>�The�deviation�of�+7%�results�in�a�rating�of�35�points.�

Criterion:� Technological�and�innovative�capability��

An�assessment�of�this�criterion�is�made�for�suppliers�selected�by�us,�whom�we�inform�in�our�letter.�The�evaluation�is�

generally�carried�out�by�our�Research�and�Development�(R&D)�department.�

The�Technological�and�innovative�capability�criterion�are�further�subclassified�into�the�subcriteria�Technology�road�

map,�Development�and�testing�department,�Cooperation�behavior,�Innovation�footprint�and�Implementation�of�

innovations.�

A�maximum�of�100�points�is�awarded�in�each�of�these�five�subcriteria.�To�derive�an�overall�score�for�this�criterion,�

the�points�assigned�to�each�individual�performance�are�recorded,�weighted�and�collated�separately.�

The�weighting�for�the�Technology�road�map�criterion�is�20%,�for�Development�and�testing�department�20%,�for�the�

cooperation�20%,�for�the�Innovation�footprint�20%�and�for�the�Implementation�of�innovations�20%.�

Subcriterion:� Technology�road�map�(20%)�

The�assessment�here�is�as�to�the�extent�to�which�the�technology/innovation�development�process�is�planned,�

described�and�budgeted�and�is�relevant�for�CT-BG�products.�

� Points�

Planned,�described�and�budgeted� 100�

Planned�and�described� 50�

Inadequately�described�/�not�known� 1�

Page 11: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/0833����������������������������������������11�

Subcriterion:� cevelopment�and�testing�department�(20%)�

The�assessment�here�is�as�to�the�extent�to�which�development�capacities�are�available�and�of�relevance�for�us.�

� Points�

Separate�development/testing�department�exists� 100�

Integrated�order�and�development/testing�department�exists� 50�

Inadequate�resources�/�not�known� 1�

Subcriterion:� Cooperation�behavior�(20%)�

The�assessment�here�is�as�to�the�extent�to�which�the�supplier�is�interested�in�an�open�cooperation.�

� Points�

Cooperation�agreement�agreed� 100�

Willingness�to�cooperate�exists�/�open�communication�/�quick�

responsiveness�/�supplier�does�preparatory�work�

50�

Inadequate�behavior�/�not�known� 1�

Subcriterion:� Innovation�footprint�(20%)�

The�subject�of�assessment�are�the�results�of�the�supplier's�innovative�capability�and�technological�development�over�

the�past�ten�years,�also�with�regard�to�non-CT-BG-relevant�products.��

� Points�

Technology�leader:�publications,�innovative�products�and�processes,�unique�

characteristics�exist�

100�

"Fast�follower":�technology�/�products�/�processes�comparable�to�technology�

leader�

50�

Inadequate�"footprint"�/�not�known� 1�

Subcriterion:� Implementation�of�innovations�(20%)�

The�assessment�here�is�as�to�the�extent�to�which�the�supplier�is�in�a�position�to�integrate�innovations�promptly�into�

the�production�process�for�products�that�are�of�relevance�to�us.�

� Points�

Prompt�implementation/�supplier�does�preparatory�work�(bears�risk)� 100�

Adequately�prompt�implementation� 50�

Inadequate�implementation�/�not�known� 1�

Page 12: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�thyssenkrupp�rothe�erde�Germany�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

T:�+49�(0)�231�186-0,�F:�+49�(0)�231�186-2500,�[email protected],�www.thyssenkrupp-rotheerde.com�

Vorsitzende�des�Aufsichtsrats:�Dipl.-Kffr.�Kerstin�Ney�

Geschäftsführung:�Dipl.-Kfm.�Winfried�Schulte�(Vorsitzender),�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�

Sitz�der�Gesellschaft:�Dortmund;�Handelsregister:�Amtsgericht�Dortmund,�HRB�10591��

UST-ID-Nr.:�DE811460194��Steuernummer:�112/5795/0833�

Wir�weisen�gemäß�Art.�13�EU�DSGVO�darauf�hin,�dass�Ihre�Daten�auf�Grundlage�der�EU-Datenschutzgrundverordnung�

gespeichert�werden.�Die�vollständige�Information�nach�Art.�13�EU�DSGVO�finden�Sie�unter�https://www.thyssenkrupp-rotheerde.com/de/footer/Rechtliche-Hinweise.�

1�

EXPLANATIONS�ON�SUPPLIER�ASSESSMENT�

SERVICES��

The�following�criteria�are�differentiated�in�the�supplier�assessment�for�the�performances�on�the�part�of�the�suppliers�

and�assessed�individually�every�6�months:�

� Range�of�services�

� Readiness�/�Flexibility�/�Cooperation�

� Occupational�safety�/�Environmental�protection�/�Energy�efficiency�

� Work�result�

� Adherence�to�schedules�

� Price�behavior�

� Technological�and�innovative�capability�

� Third�party�authorization/certification,�for�particular�services�

1-100�points�are�awarded�for�each�criterion,�although�no�overall�score�is�derived�from�the�criteria.�We�expect�our�

suppliers�to�aim�for�the�maximum�score�in�all�spheres.�The�classification�of�the�scores�achieved�and�our�expectations�

and�measures�can�be�seen�in�this�diagram:�

Score� Assessment�/�measures�

100�-�81� Excellent�performance�

There�is�no�need�for�an�explanatory�statement�from�the�supplier.�The�supplier�will�be�given�

preference�when�placing�orders.�

��80�-�61� Average�performance�

An�explanation�for�the�assessment�is�desirable.�Improvements�are�expected�of�the�supplier.�

��60�-�41� Just�adequate�performance�

A�written�explanatory�statement�from�the�supplier�stating�remedial�measures�is�required.�

Frequency�of�assessment�to�be�raised.�Only�a�limited�number�of�orders�are�to�be�placed�with�the�

supplier.�An�agreement�is�to�be�reached�to�the�effect�that�the�supplier�will�assume�the�costs�of�the�

increased�inspection�outlay�at�thyssenkrupp�rothe�erde�Germany�GmbH�for�future�deliveries.�The�

supplier�is�assigned�the�status�"under�observation".�

��40�-���1� Performance�no�longer�acceptable�

It�is�an�imperative�necessity�that�the�supplier�submits�an�explanatory�statement�in�writing�and�

agrees�remedial�measures�with�deadline�in�a�personal�meeting.�An�agreement�is�to�be�reached�to�

the�effect�that�the�supplier�will�assume�the�costs�of�the�increased�inspection�outlay�at�thyssenkrupp�

rothe�erde�Germany�GmbH�for�future�deliveries.�A�fresh�audit�of�the�supplier�is�to�be�carried�out.�A�

check�is�to�be�carried�out�as�to�the�option�of�blocking�of�the�supplier.�

Page 13: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�thyssenkrupp�rothe�erde�Germany�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

T:�+49�(0)�231�186-0,�F:�+49�(0)�231�186-2500,�[email protected],�www.thyssenkrupp-rotheerde.com�

Vorsitzende�des�Aufsichtsrats:�Dipl.-Kffr.�Kerstin�Ney�

Geschäftsführung:�Dipl.-Kfm.�Winfried�Schulte�(Vorsitzender),�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�

Sitz�der�Gesellschaft:�Dortmund;�Handelsregister:�Amtsgericht�Dortmund,�HRB�10591��

UST-ID-Nr.:�DE811460194��Steuernummer:�112/5795/0833�

Wir�weisen�gemäß�Art.�13�EU�DSGVO�darauf�hin,�dass�Ihre�Daten�auf�Grundlage�der�EU-Datenschutzgrundverordnung�

gespeichert�werden.�Die�vollständige�Information�nach�Art.�13�EU�DSGVO�finden�Sie�unter�https://www.thyssenkrupp-rotheerde.com/de/footer/Rechtliche-Hinweise.�

2�

All�criteria�are�explained�in�detail�on�the�following�pages.�

Criterion:� Range�of�services��

The�assessment�is�generally�carried�out�by�the�respective�specialist�department�of�the�Lippstadt�and�Dortmund�

plants�

An�overall�score�of�maximum�100�points�is�awarded�for�the�criterion�Performances�–�Range�of�services.�This�results�

from�the�assessment�of�the�supplier's�performance�capability,�performance�potential�and�the�qualification�for�the�

required�performance.�It�is�particularly�positive�in�terms�of�assessment�if�a�supplier�is�able�to�cover�complete�

disciplines�or�service�packages�comprehensively,�with�overall�responsibility�and�competence.�This�also�applies�in�

particular�to�the�qualifications,�efficiency�and�goal�orientation�of�the�deployed�specialists�and�executive�personnel.�

Criterion:� Readiness�/�Flexibility�/�Cooperation��

The�assessment�is�generally�carried�out�by�the�respective�specialist�department�of�the�Lippstadt�and�Dortmund�

plants�

The�criterion�Readiness/Flexibility/Cooperation�is�further�subdivided�into�Responsiveness,�Readiness�for�night,�

overtime�and�weekend�work�and�Cooperation/business�conduct.�The�ability�to�respond�quickly�to�offers�and�

orders�required�at�short�notice�is�assessed�as�particularly�positive.�A�supplier's�readiness�to�work�even�at�times�when�

our�production�is�adversely�affected�as�little�as�possible,�for�example�at�night�or�on�weekends,�also�leads�to�a�

positive�assessment.�Fair�and�customer-oriented�business�conduct�in�a�spirit�of�partnership�and�trust�is�also�a�

prerequisite�for�an�excellent�assessment.�

A�maximum�of�100�points�is�awarded�in�each�of�these�three�sub�criteria.�To�derive�an�overall�score�for�this�criterion,�

the�points�assigned�to�each�individual�performance�are�recorded,�weighted�and�collated�separately.�

The�weighting�for�the�Responsiveness�criterion�is�50%,�for�Night,�overtime�and�weekend�work�30%�and�for�

Cooperation/business�conduct�20%.�

Page 14: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�thyssenkrupp�rothe�erde�Germany�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

T:�+49�(0)�231�186-0,�F:�+49�(0)�231�186-2500,�[email protected],�www.thyssenkrupp-rotheerde.com�

Vorsitzende�des�Aufsichtsrats:�Dipl.-Kffr.�Kerstin�Ney�

Geschäftsführung:�Dipl.-Kfm.�Winfried�Schulte�(Vorsitzender),�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�

Sitz�der�Gesellschaft:�Dortmund;�Handelsregister:�Amtsgericht�Dortmund,�HRB�10591��

UST-ID-Nr.:�DE811460194��Steuernummer:�112/5795/0833�

Wir�weisen�gemäß�Art.�13�EU�DSGVO�darauf�hin,�dass�Ihre�Daten�auf�Grundlage�der�EU-Datenschutzgrundverordnung�

gespeichert�werden.�Die�vollständige�Information�nach�Art.�13�EU�DSGVO�finden�Sie�unter�https://www.thyssenkrupp-rotheerde.com/de/footer/Rechtliche-Hinweise.�

3�

Criterion:� Occupational�safety�/�Environmental�protection�/�Energy�efficiency�

The�assessment�is�generally�carried�out�by�the�respective�specialist�department�of�the�Lippstadt�and�Dortmund�

plants�

The�criterion�of�Occupational�safety/Environmental�protection�is�further�sub�classified�into�Compliance�with�

occupational�safety�guidelines,�Order/cleanness�on�construction�sites�and�Handling�of�

environment/hazardous�substances/energy�resources.�This�results�from�the�assessment�as�to�whether�the�

supplier�autonomously�complies�with�occupational�safety�guidelines�and�laws�as�well�as�environmental�protection�

conditions�and�makes�appropriate�use�of�energy�resources.�This�applies�in�particular�to�the�performance�of�

comprehensive,�construction�site-specific�safety�instructions�and�the�continuous�supervision�of�the�deployed�

employees,�materials�and�aids.�Since�the�order�and�cleanliness�practiced�by�the�supplier�on�construction�sites�also�

contribute�to�this,�these�aspects�are�included�in�the�evaluation.�

A�maximum�of�100�points�is�awarded�in�each�of�these�three�sub�criteria.�To�derive�an�overall�grade�for�this�criterion,�

the�individual�point�evaluations�are�recorded,�weighted�and�collated�separately.�

The�weighting�for�the�Compliance�with�occupational�safety�guidelines�criterion�is�40%,�for�Order/cleanliness�on�

construction�sites�20%�and�for�Handling�of�environment/hazardous�substances/energy�resources�40%.�

Criterion:� Work�result��

The�assessment�is�generally�carried�out�by�the�respective�specialist�department�of�the�Lippstadt�and�Dortmund�

plants�

An�overall�score�of�maximum�100�points�is�awarded�for�the�criterion�Performances�–�Work�result.�This�results�from�

the�assessment�as�to�the�extent�to�which�a�supplier’s�performance�conforms�to�the�respective�specifications.�

Continuous�monitoring�by�the�supplier�of�the�qualitative�work�status�and�close�coordination�with�the�thyssenkrupp�

rothe�erde�coordinator�help�ensure�that�subsequent�complaints�and�reworking�can�be�avoided,�and�lead�to�a�

particularly�positive�assessment.�Besides�an�inefficient�way�of�working�among�the�deployed�personnel,�necessary�

reworking�or�parts/functions�not�tested�by�the�supplier�prior�to�delivery�have�a�particularly�negative�effect�on�the�

assessment.�

Page 15: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�thyssenkrupp�rothe�erde�Germany�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

T:�+49�(0)�231�186-0,�F:�+49�(0)�231�186-2500,�[email protected],�www.thyssenkrupp-rotheerde.com�

Vorsitzende�des�Aufsichtsrats:�Dipl.-Kffr.�Kerstin�Ney�

Geschäftsführung:�Dipl.-Kfm.�Winfried�Schulte�(Vorsitzender),�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�

Sitz�der�Gesellschaft:�Dortmund;�Handelsregister:�Amtsgericht�Dortmund,�HRB�10591��

UST-ID-Nr.:�DE811460194��Steuernummer:�112/5795/0833�

Wir�weisen�gemäß�Art.�13�EU�DSGVO�darauf�hin,�dass�Ihre�Daten�auf�Grundlage�der�EU-Datenschutzgrundverordnung�

gespeichert�werden.�Die�vollständige�Information�nach�Art.�13�EU�DSGVO�finden�Sie�unter�https://www.thyssenkrupp-rotheerde.com/de/footer/Rechtliche-Hinweise.�

4�

Criterion:� Adherence�to�schedules��

The�assessment�is�generally�carried�out�by�the�respective�specialist�department�of�the�Lippstadt�and�Dortmund�

plants�

An�overall�score�of�maximum�100�points�is�awarded�for�the�criterion�Performances�-�Adherence�to�schedules�using�

the�following�key:�

Deadline�for�

delivery�only�

Execution�time�1-

5�days�

Execution�time�5-

15�days�

Execution�time�

15-30�days�

Execution�time�

>30�days�

Deviation�

in�days�

Deviation�

in�days�

Deviation�

in�days�

Deviation�

in�days�

Deviation�

in�days�

Score�

� 0� � 0� � 0� � 0� � 0� � 100�

� 1� � � 1� � 1� � 2� � 98�

� 2� � � � 2� � � 96�

� 3� � 1� � 2� � � 3� � 94�

� 4� � � � 3� � � 92�

� 5� � � � � 4� � 90�

� 10� � 2� � 3� � 4� � 8� � 70�

� 14� � 3� � 5� � 10� � 15� � 40�

� >�15� � >�5� � >�8� � >�15� � >�20� � 1�

If�delays�are�expected�or�have�occurred,�we�expect�immediate�information�about�the�delay�and�its�cause.�Failure�to�

provide�this�notification�gives�rise�to�an�overall�deduction�of�10�points�from�the�above�values.�

Page 16: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�thyssenkrupp�rothe�erde�Germany�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

T:�+49�(0)�231�186-0,�F:�+49�(0)�231�186-2500,�[email protected],�www.thyssenkrupp-rotheerde.com�

Vorsitzende�des�Aufsichtsrats:�Dipl.-Kffr.�Kerstin�Ney�

Geschäftsführung:�Dipl.-Kfm.�Winfried�Schulte�(Vorsitzender),�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�

Sitz�der�Gesellschaft:�Dortmund;�Handelsregister:�Amtsgericht�Dortmund,�HRB�10591��

UST-ID-Nr.:�DE811460194��Steuernummer:�112/5795/0833�

Wir�weisen�gemäß�Art.�13�EU�DSGVO�darauf�hin,�dass�Ihre�Daten�auf�Grundlage�der�EU-Datenschutzgrundverordnung�

gespeichert�werden.�Die�vollständige�Information�nach�Art.�13�EU�DSGVO�finden�Sie�unter�https://www.thyssenkrupp-rotheerde.com/de/footer/Rechtliche-Hinweise.�

5�

Criterion:� Price�behavior��The�assessment�is�generally�carried�out�by�the�respective�specialist�department�of�the�Lippstadt�and�Dortmund�

plants�

An�overall�score�of�maximum�100�points�is�awarded�for�the�criterion�Performances�–�Price�behavior�using�the�

following�key:�

Price�level� Score�

>10%� below�market�price� � 100�

6%�to�9%� below�market�price� � 90�

2%�to�5%� below�market�price� � 85�

Between�1%�below�and�1%

� above�market�price�

� 80�

2%�to�5%� above�market�price� � 70�

6%�to�9%� above�market�price� � 50�

>10%� above�market�price� � 1�

The�market�price�is�calculated�from�the�average�of�the�prices�of�all�comparable�services�of�all�suppliers.�

Page 17: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�thyssenkrupp�rothe�erde�Germany�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

T:�+49�(0)�231�186-0,�F:�+49�(0)�231�186-2500,�[email protected],�www.thyssenkrupp-rotheerde.com�

Vorsitzende�des�Aufsichtsrats:�Dipl.-Kffr.�Kerstin�Ney�

Geschäftsführung:�Dipl.-Kfm.�Winfried�Schulte�(Vorsitzender),�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�

Sitz�der�Gesellschaft:�Dortmund;�Handelsregister:�Amtsgericht�Dortmund,�HRB�10591��

UST-ID-Nr.:�DE811460194��Steuernummer:�112/5795/0833�

Wir�weisen�gemäß�Art.�13�EU�DSGVO�darauf�hin,�dass�Ihre�Daten�auf�Grundlage�der�EU-Datenschutzgrundverordnung�

gespeichert�werden.�Die�vollständige�Information�nach�Art.�13�EU�DSGVO�finden�Sie�unter�https://www.thyssenkrupp-rotheerde.com/de/footer/Rechtliche-Hinweise.�

6�

Criterion:� Technological�and�innovative�capability��

An�assessment�of�this�criterion�is�made�for�suppliers�selected�by�us,�whom�we�inform�in�our�letter.�The�assessment�

is�generally�carried�out�by�our�Research�and�Development�(R&D)�department.�

The�Technological�and�innovation�capability�criterion�is�further�sub�classified�into�the�sub�criteria�Technology�road�

map,�Development�and�testing�department,�Cooperation�behavior,�Innovation�foot�print�and�Implementation�of�

innovations.�

A�maximum�of�100�points�is�awarded�in�each�of�these�five�sub�criteria.�To�derive�an�overall�score�for�this�criterion,�

the�points�assigned�to�each�individual�performance�are�recorded,�weighted�and�collated�separately.�

The�weighting�for�the�Technology�road�map�criterion�is�20%,�for�Development�and�testing�department�20%,�for�

Cooperation�20%,�for�Innovation�footprint�20%�and�for�Implementation�of�innovations�20%.�

Sub�criterion:� Technology�road�map�(20%)�

The�assessment�here�is�as�to�the�extent�to�which�the�technology/innovation�development�process�is�planned,�

described�and�budgeted�and�is�relevant�for�CT-BG�products.�

� Points�

Planned,�described�and�budgeted� 100�

Planned�and�described� 50�

Inadequately�described�/�not�known� 1�

Sub�criterion:� Development�and�testing�department�(20%)�

The�assessment�here�is�as�to�the�extent�to�which�development�capacities�are�available�and�of�relevance�for�us.�

� Points�

Separate�development/testing�department�exists� 100�

Integrated�order�and�development/testing�department�exists� 50�

Inadequate�resources�/�not�known� 1�

Page 18: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�thyssenkrupp�rothe�erde�Germany�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

T:�+49�(0)�231�186-0,�F:�+49�(0)�231�186-2500,�[email protected],�www.thyssenkrupp-rotheerde.com�

Vorsitzende�des�Aufsichtsrats:�Dipl.-Kffr.�Kerstin�Ney�

Geschäftsführung:�Dipl.-Kfm.�Winfried�Schulte�(Vorsitzender),�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�

Sitz�der�Gesellschaft:�Dortmund;�Handelsregister:�Amtsgericht�Dortmund,�HRB�10591��

UST-ID-Nr.:�DE811460194��Steuernummer:�112/5795/0833�

Wir�weisen�gemäß�Art.�13�EU�DSGVO�darauf�hin,�dass�Ihre�Daten�auf�Grundlage�der�EU-Datenschutzgrundverordnung�

gespeichert�werden.�Die�vollständige�Information�nach�Art.�13�EU�DSGVO�finden�Sie�unter�https://www.thyssenkrupp-rotheerde.com/de/footer/Rechtliche-Hinweise.�

7�

Sub�criterion:� Cooperation�behavior�(20%)�

The�assessment�here�is�as�to�the�extent�to�which�the�supplier�is�interested�in�an�open�cooperation.�

� Points�

Cooperation�agreement�concluded� 100�

Willingness�to�cooperate�exists�/�open�communication�/�quick�

responsiveness�/�supplier�does�preparatory�work�

50�

Inadequate�behavior�/�not�known� 1�

Sub�criterion:� Innovation�footprint�(20%)�

The�subjects�of�assessment�are�the�results�of�the�supplier's�innovative�capability�and�technological�development�

�Over�the�past�ten�years,�also�with�regard�to�non-CT-BG-relevant�products.��

� Points�

Technology�leader:�publications,�innovative�products�and�processes,�unique�

characteristics�exist�

100�

"Fast�follower":�technology�/�products�/�processes�comparable�to�technology�

leader�

50�

Inadequate�footprint�/�not�known� 1�

Sub�criterion:� Implementation�of�innovations�(20%)�

The�assessment�here�is�as�to�the�extent�to�which�the�supplier�is�in�a�position�to�integrate�innovations�promptly�into�

the�production�process�for�products�that�are�of�relevance�to�us.�

� Points�

Prompt�implementation/�supplier�does�preparatory�work�(bears�risk)� 100�

Adequately�prompt�implementation� 50�

Inadequate�implementation�/�not�known� 1�

Page 19: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�thyssenkrupp�rothe�erde�Germany�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

T:�+49�(0)�231�186-0,�F:�+49�(0)�231�186-2500,�[email protected],�www.thyssenkrupp-rotheerde.com�

Vorsitzende�des�Aufsichtsrats:�Dipl.-Kffr.�Kerstin�Ney�

Geschäftsführung:�Dipl.-Kfm.�Winfried�Schulte�(Vorsitzender),�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�

Sitz�der�Gesellschaft:�Dortmund;�Handelsregister:�Amtsgericht�Dortmund,�HRB�10591��

UST-ID-Nr.:�DE811460194��Steuernummer:�112/5795/0833�

Wir�weisen�gemäß�Art.�13�EU�DSGVO�darauf�hin,�dass�Ihre�Daten�auf�Grundlage�der�EU-Datenschutzgrundverordnung�

gespeichert�werden.�Die�vollständige�Information�nach�Art.�13�EU�DSGVO�finden�Sie�unter�https://www.thyssenkrupp-rotheerde.com/de/footer/Rechtliche-Hinweise.�

8�

Criterion:� third�party�authorization/certification�for�particular�services��Service�providers,�where�a�third�party�authorization/certification�is�highly�relevant,�will�be�evaluated�with�the�criterion�

“authorization”�by�Quality�Management�department.�The�complete�fulfillment�of�all�requirements�will�be�evaluated�

with�100�points�–�a�limited�fulfillment�of�the�requirements�or�a�non�–fulfillment�will�be�rated�with�one�point.�

An�assessment�of�this�criterion�is�made�for�suppliers�selected�by�us,�where�a�third�party�authorization/certification�is�

highly�relevant.�These�suppliers�are�informed�by�a�letter.�The�evaluation�is�generally�carried�out�by�our�Quality�

department.�

Page 20: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/0833�

EXPLANATIONS�ON�SUPPLIER�ASSESSMENT�

FREIGHT�FORWARDING�SERVICES��

The�following�criteria�for�the�performances�on�the�part�of�the�suppliers�are�differentiated�in�the�supplier�assessment�

and�assessed�individually�every�6�months:�

� Range�of�services�/�Possible�uses�(incl.�energy�and�environmental�management)�

� Adherence�to�delivery�deadlines�

� Quality�of�the�services�(incl.�energy,�environmental�management,�occupational�

safety)�

� Professional�competence�

� Price�behavior�

� Technological�and�innovative�capability�

1-100�points�are�awarded�for�each�criterion,�although�no�overall�score�is�derived�from�the�criteria.�We�expect�our�

suppliers�to�aim�for�the�maximum�score�in�all�spheres.�The�classification�of�the�scores�achieved�and�our�expectations�

and�measures�can�be�seen�in�this�diagram:�

Score� Assessment�/�measures�

100�-�81� Excellent�performance�

There�is�no�need�for�an�explanatory�statement�from�the�supplier.�The�supplier�will�be�given�

preference�when�placing�orders.�

��80�-�61� Average�performance�

An�explanation�for�the�assessment�is�desirable.�Improvements�are�expected�of�the�supplier.�

��60�-�41� Just�adequate�performance�

A�written�explanatory�statement�from�the�supplier�stating�remedial�measures�is�required.�

Frequency�of�assessment�to�be�raised.�Only�a�limited�number�of�orders�are�to�be�placed�with�the�

supplier.�An�agreement�is�to�be�reached�to�the�effect�that�the�supplier�will�assume�the�costs�of�the�

increased�inspection�outlay�at�thyssenkrupp�Rothe�Erde�GmbH�for�future�deliveries.�The�supplier�is�

assigned�the�status�"under�observation".�

��40�-���1� Performance�no�longer�acceptable�

It�is�an�imperative�necessity�that�the�supplier�submits�an�explanatory�statement�in�writing�and�

agrees�remedial�measures�with�deadline�in�a�personal�meeting.�An�agreement�is�to�be�reached�to�

the�effect�that�the�supplier�will�assume�the�costs�of�the�increased�inspection�outlay�at�thyssenkrupp�

Rothe�Erde�GmbH�for�future�deliveries.�A�fresh�audit�of�the�supplier�is�to�be�carried�out.�A�check�is�

to�be�carried�out�as�to�the�option�of�blocking�of�the�supplier.�

All�criteria�are�explained�in�detail�on�the�following�pages.�

Criterion:� Range�of�services/possible�uses�

Page 21: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/08332�

The�assessment�is�generally�carried�out�by�the�shipping�departments�of�the�Lippstadt�and�Dortmund�plants�

The�criterion�Range�of�services/possible�uses�is�further�subclassified�into�the�subcriteria�Equipment/energy�and�

environmental�management,�Flexibility�and�Connections/partners.�

A�maximum�of�100�points�is�awarded�in�each�of�these�subcriteria.�To�derive�an�overall�grade�for�this�criterion,�the�

individual�scores�are�recorded,�weighted�and�collated�separately.�

The�weighting�for�the�Equipment/energy�and�environmental�management�criterion�is�35%,�for�Flexibility�45%�

and�for�Connections/partners�20%.�

Subcriterion:� Equipment/energy�and�environmental�management�(35%)�

–�Shipment�by�road�(truck)�

� Points�

Majority�of�the�vehicles�used�are�to�Euro�5�and�6�standards�and�better,�

inloaders�and�low�loaders�(the�more�of�these�the�higher�the�score)�

93�-�100�

Majority�of�the�vehicles�used�are�to�Euro�4�standard�and�better,�inloaders�or�

low�loaders�(the�more�of�these�the�higher�the�score)�

86�-���92�

Majority�of�the�vehicles�used�are�to�Euro�5�and�6�standards�and�better,�

standard�vehicles�

>�85�

Majority�of�the�vehicles�used�are�to�Euro�4�standard� >�80�

Majority�of�the�vehicles�used�are�to�Euro�2�and�Euro�3�standards�� 41�-���60�

Equipment�or�majority�of�the�vehicles�not�suitable�for�RE��or�Euro�standard�

<=1�

��1�-���40�

� Here,�it�has�a�positive�effect�in�terms�of�assessment�if�the�forwarder�can�to�a�growing�extent�also�

carry�out�low-loader�and�inloader�shipments�and�uses�modern�equipment.�

–�Shipment�via�courier,�express�and�parcel�services�

� Points�

Vehicles�can�be�used�without�restrictions�� 81�-�100�

Vehicles�are�restricted�in�terms�of�use�(e.g.�loading�of�pallets�not�possible,�

vehicle�fleet�limited�in�number�or�type)�

61�-���80�

Performance�of�the�services�not�possible�with�existing�vehicle�fleet� ��1�-���60�

� Here,�it�also�has�a�positive�effect�in�terms�of�assessment�if�the�vehicles�are�in�a�modern�and�

visually�immaculate�condition�and�meet�the�latest�emission�standards.��

Page 22: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/08333�

–�Shipment�by�sea�

� Points�

Regular�provision�of�special�equipment�(e.g.�flat�racks)�possible,�even�with�

short�lead�time�

91�-�100�

Regular�provision�of�special�equipment�(e.g.�flat�racks)�possible,�but�only�

with�long�lead�time�

81�-���90�

In�some�cases�difficulties�in�the�provision�of�special�equipment,�even�with�

long�lead�times�

61�-���80�

Special�equipment�cannot�as�a�rule�be�provided�� ��1�-���60�

� The�provision�of�special�equipment,�such�as�flat�racks,�is�essential�for�the�shipment�of�

thyssenkrupp�Rothe�Erde�products,�for�which�reason�it�is�positive�in�terms�of�assessment�if�this�

equipment�can�be�provided.�

–�Shipment�by�air�

� � Points�

No�discernible�restrictions�in�terms�of�equipment�� 81�-�100�

Necessary�equipment�could�not�or�only�partially�be�made�available� ��0�-���80�

Subcriterion:� Flexibility�(45%)�

� Points�

Very�flexible�response�to�thyssenkrupp�Rothe�Erde�requirements,�even�on�

weekends�and�outside�normal�business�hours�

91�-�100�

Good�flexibility�in�terms�of�response�to�thyssenkrupp�Rothe�Erde's�

requirements�during�normal�business�hours�

81�-���90�

The�normal�degree�of�flexibility�necessary�for�business�dealings� 61�-���80�

In�some�cases�sluggish�response�to�thyssenkrupp�Rothe�Erde�requirements� 41�-���60�

Unacceptable�flexibility,�inflexible,�bureaucratic�behavior� ��0�-���40�

� Here,�it�has�a�positive�effect�in�terms�of�assessment�if�the�contact�persons�can�also�be�reached�

outside�normal�business�hours�and�transport�requirements�can�also�be�organized�and/or�executed�

during�this�time.�

Subcriterion:� Connections�/�partners�(20%)�

Page 23: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/08334�

� Points�

Coverage�of�all�destinations�in�the�relevant�territory,�short�communication�

channels�with�rapid�feedback��

91�-�100�

Coverage�of�the�conurbations�in�the�relevant�territory,�adequate�coverage�in�

the�rest�of�the�country�

81�-���90�

Average�coverage�in�the�relevant�territory�� 61�-���80�

Average�coverage�in�conurbations,�poor�coverage�of�the�rest�of�the�country� 41�-���60�

Poor,�inadequate�coverage� ��0�-���40�

� Here,�it�also�has�a�positive�effect�in�terms�of�assessment�if�the�forwarder�expands�its�operational�

possibilities�with�regard�to�the�served�regions.�

Criterion:� Adherence�to�delivery�deadlines�(100%)��

The�assessment�is�generally�carried�out�by�the�shipping�departments�of�the�Lippstadt�and�Dortmund�plants.�

An�overall�score�of�maximum�100�points�is�awarded�for�the�criterion�Adherence�to�delivery�deadlines.�This�results�

from�the�supplier’s�deadline�compliance/reliability.�It�is�monitored�regularly�by�way�of�random�checks.�

Subcriterion:� Deadline�compliance/reliability�(100%)�

Points�

Rate�non-compliance�with�delivery�deadlines���0�����-������2.9%� 81�-�100�

Rate�non-compliance�with�delivery�deadlines����3.0�-������5.9%� 61�-���80�

Rate�non-compliance�with�delivery�deadlines����6,0�-������9.9�%� 41�-���60�

Rate�non-compliance�with�delivery�deadlines��10.0�-��100%� ���1-���40�

� Determination�by�random�check:�

� 3%�of�the�transport�assignments�

� At�least�1�x,�max.�20�x�per�half-year�and�freight�forwarder�

� Always�1st�transport�assignment�of�the�period�under�assessment�

Criterion:� Quality�of�service�(100%)�

Page 24: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/08335�

The�assessment�is�generally�carried�out�by�the�shipping�departments�of�the�Lippstadt�and�Dortmund�plants�

The�Quality�of�service�criterion�is�further�subclassified�into�the�subcriteria�Quality�of�transport/cargo�

securing/occupational�safety,�Quality�of�documentation,�and�Management�and�management�systems�(energy�and�

environmental�management/occupational�safety).�

The�weighting�for�the�criterion�Quality�of�transport/cargo�securing/work�safety�is�70%,�for�Quality�of�

documentation�15%�and�for�Management�and�management�systems�(energy�and�environmental�

management/occupational�safety)�likewise�15%.�

Subcriterion:� Quality�of�Transport/cargo�securing/occupational�safety�(70%)�

� Points�

Damage/deficiency�rate�0-1.9%� 81�-�100�

Damage/deficiency�rate�2.0-3.9%� 61�-���80�

Damage/deficiency�rate�4.0-5.9�%� 41�-���60�

Damage/deficiency�rate�6.0-100�%� ��1�-���40��

� �

� Here,�it�has�a�positive�effect�in�terms�of�assessment�if�the�cargo�securing�is�carried�out�to�the�

required�extent�without�this�having�to�be�requested�and�no�complaints�are�made�by�the�consignee�

on�account�of�damage�in�transit.�

� The�number�of�cases�of�damage�is�recorded�and�set�relative�to�the�transport�assignments�carried�

out�during�the�period�under�assessment.�

Particularly�serious�violations�can�lead�to�deviating�assessments.�

Subcriterion:� Quality�of�documentation�(energy�and�environmental�management/occupational�safety)�

15%�

� Points�

Documentation�is�consistently�factually�correct,�complete�and�error-free�� 91�-�100�

With�just�a�few�exceptions,�documentation�is�factually�correct,�complete�and�

error-free��

81�-���90�

Documentation�regularly�contains�errors�(e.g.�missing�data,�incorrect�values)� 61�-���80�

Documentation�is�mostly�factually�incorrect,�incomplete�and/or�error-prone� 41�-���60�

Documentation�is�always�inadequate� ��1�-���40��

Page 25: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/08336�

Subcriterion:� Management�and�management�systems�(15%)�

Here,�it�has�a�positive�effect�in�terms�of�assessment�if�the�forwarder�invests�discernible�outlay�in�process�quality,�

environmental�protection,�occupational�safety�and�energy�management.�Each�certified�management�system�(quality,�

environment,�occupational�safety,�energy�efficiency)�is�additionally�taken�positive�account�of�with�up�to�10�points.�

Criterion:� Professional�competence�(100%)��

The�assessment�is�generally�carried�out�by�the�shipping�departments�of�the�Lippstadt�and�Dortmund�plants�

The�criterion�of�Professional�competence�is�further�subdivided�into�the�subcriteria�Product�knowledge�and�

Connections/market�knowledge.�

A�maximum�of�100�points�is�awarded�in�each�of�these�two�subcriteria.�For�the�purposes�of�deriving�an�overall�score�

for�this�criterion,�the�individual�scores�are�recorded,�weighted�and�collated�separately.�

The�weighting�for�Product�knowledge�is�50%�and�for�Connections/market�knowledge�50%.�

Subcriterion:� Product�knowledge�(50%)�

� Points�

Product-related�transport�development�and�consulting� 91�-�100�

Extensive�product�know-how,�so�that�transport�optimization�can�be�pressed�

ahead�with�

81�-���90�

Understanding/�knowledge�of�thyssenkrupp�Rothe�Erde�products� 61�-���80�

Sketchy�know-how,�supported�product�knowledge� 41�-���60�

Too�little�competence�available� ��1�-���40�

� Here,�it�has�a�positive�effect�in�terms�of�assessment�if�the�forwarder�can�make�transport-optimizing�

suggestions�based�on�their�sound�knowledge�of�the�thyssenkrupp�Rothe�Erde�products.�It�is�

assessed�as�particularly�positive�if�the�freight�forwarder�provides�advice�on�their�own�initiative.�

Subcriterion:� Connections/market�knowledge�(50%)�

� Points�

Know-how�for�consulting�in�the�sphere�of�mode-of�transport-selection�and�

routing/route�selection�

91�-�100�

Extensive�know-how,�adequate�dialog�partners� 81�-���90�

Expected�expertise�average�� 61�-���80�

Sketchy�know-how,�supported�specialist�knowledge� 41�-���60�

Page 26: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/08337�

Too�little�know-how� ��1�-���40�

� Here,�it�has�a�positive�effect�in�terms�of�assessment�if�the�freight�forwarder�is�able�to�make�

transport-optimizing�proposals�on�the�basis�of�their�good�knowledge�of�connections�and�the�

market.�It�is�assessed�as�particularly�positive�if�the�freight�forwarder�provides�advice�on�their�own�

initiative.�

Criterion:� Price�behavior�(100%)��

The�assessment�is�performed�by�the�Procurement�department�

An�overall�score�of�maximum�100�points�is�awarded�for�the�criterion�Price�behavior�using�the�following�key:�

� Points�

>����7��%� below�market�price� � 100�

5�-��7��%� below�market�price� � 90�

2�-��4��%� below�market�price� � 85�

Between�1%�below�and�1%�above�market�price� � 80�

2�-��5��%� above�market�price� � 70�

6-���9��%� above�market�price� � 50�

>��10��%� above�market�price� � 1�

Criterion:� Technological�and�innovative�capability��

An�assessment�of�this�criterion�is�made�for�suppliers�selected�by�us,�whom�we�inform�in�our�letter.�The�evaluation�is�

generally�carried�out�by�our�Research�and�Development�(R&D)�department.�

The�Technological�and�innovation�capability�criterion�is�further�subclassified�into�the�subcriteria�Technology�road�

map,�Development�and�testing�department,�Cooperation�behavior,�Innovation�foot�print�and�Implementation�of�

innovations.�

A�maximum�of�100�points�is�awarded�in�each�of�these�five�subcriteria.�For�the�purposes�of�deriving�an�overall�score�

for�this�criterion,�the�individual�scores�are�recorded,�weighted�and�collated�separately.�

The�weighting�for�the�Technology�road�map�criterion�is�20%,�for�Development�and�testing�department�20%,�for�

Cooperation�20%,�for�Innovation�footprint�20%�and�for�Implementation�of�innovations�20%.�

Subcriterion:� Technology�road�map�(20%)�

Page 27: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/08338�

The�assessment�here�is�as�to�the�extent�to�which�the�technology/innovation�development�process�is�planned,�

described�and�budgeted�and�is�relevant�for�CT-BG�products.�

� Points�

Planned,�described�and�budgeted� 100�

Planned�and�described� 50�

Inadequately�described�/�not�known� 1�

Subcriterion:� Development�and�testing�department�(20%)�

The�assessment�here�is�as�to�the�extent�to�which�development�capacities�are�available�and�of�relevance�for�us.�

� Points�

Separate�development/testing�department�exists� 100�

Integrated�order�and�development/testing�department�exists� 50�

Inadequate�resources�/�not�known� 1�

Subcriterion:� Cooperation�behavior�(20%)�

The�assessment�here�is�as�to�the�extent�to�which�the�supplier�is�interested�in�an�open�cooperation.�

� Points�

Cooperation�agreement�concluded� 100�

Willingness�to�cooperate�exists�/�open�communication�/�quick�

responsiveness�/�supplier�does�preparatory�work�

50�

Inadequate�behavior�/�not�known� 1�

Subcriterion:� Innovation�footprint�(20%)�

The�subject�of�assessment�are�the�results�of�the�supplier's�innovative�capability�and�technological�development�over��

the�past�ten�years,�also�with�regard�to�non-CT-BG-relevant�products.��

� Points�

Technology�leader:�publications,�innovative�products�and�processes,�unique�

characteristics�exist�

100�

"Fast�follower":�technology�/�products�/�processes�comparable�to�technology�

leader�

50�

Inadequate�footprint�/�not�known� 1�

Subcriterion:� Implementation�of�innovations�(20%)�

Page 28: EXPLANATIONS ON SUPPLIER ASSESSMENT MATERIALS · 2020-05-20 · FormFV-BS-10558 thyssenkruppRotheErdeGmbH,Tremoniastraße5-11,4413 7Dortmund P:+49231186-0 F:+49231186-2500,rotheerde@thyssenkrupp.com

Form�FV-BS-10558�

thyssenkrupp�Rothe�Erde�GmbH,�Tremoniastraße�5-11,�44137�Dortmund�

P:�+49�231�186-0�F:�+49�231�186-2500,�[email protected],��www.thyssenkrupp-rotheerde.com��

Chairman�of�the�Supervisory�Board:�N.N.�

Management�Board:�Dipl.-Kfm.�Winfried�Schulte�(Chairman);�Dr.-Ing.�Wilfried�Spintig,�Dipl.-Kfm.�Stefan�Efftinge�Company�domicile:�Dortmund�Commercial�court:�

Local�Court�Dortmund,�HRB�10591�

VAT-ID-No.:�DE811460194�Tax�No.:�112/5795/08339�

The�assessment�here�is�as�to�the�extent�to�which��the�supplier�is�in�a�position�to�integrate�innovations�promptly�into�

the�production�process�for��

products�that�are�of�relevance�to�us.�

� Points�

Prompt�implementation/�supplier�does�preparatory�work�(bears�risk)� 100�

Adequately�prompt�implementation� 50�

Inadequate�implementation�/�not�known� 1�