Form 4240501Ver.

RoHS compliant action item checklist (Carrier Japan version)
Trget suppliyer :Confirmed by :Target item :Date : dd/mm/yyyy
Implementation Item

Implementation content

1. Policy

judgement

Promotion status confirmation result

Scoring method

We have formulated and maintained a policy that includes "efforts"
regarding the management of RoHS directive controlled substances,
J-Moss standard controlled substances, specified hazardous
chemical substances, etc. (hereinafter referred to as "RoHS").

Conformity = 3
Need improvement = 2
Nonconformity = 0

Documents of laws and regulations and customer requirements
related to the products in which the company's parts are used aremanaged, and the latest information is always maintained andmanaged. In addition, information on RoHS management should beproperly communicated to the necessary departments.
Clarify the "parts for the electronic and electrical industries,""processes," and "substances" that are subject to RoHS control.

Conformity = 3
Need improvement = 2
Nonconformity = 0

Scoring

2. Planning
2-1
Identificationof needs andrequirements
and analysisof priority
issues2-1-1 Clarification oflegal and customer
requirements2-1-2 Clarification ofmanagement scope

Conformity = 3
Need improvement = 2
Nonconformity = 0
Conformity = 3
Need improvement = 2
Nonconformity = 0

2-2 Formulation of objectives / goals
and planning of operational process

Formulate and manage goals and plans to realize RoHS control.

2-3 Clarification of organizational
structure, roles, responsibilities, andauthority

Clarify the system (responsible person and organization) for
promoting RoHS control.

Conformity = 3
Need improvement = 2
Nonconformity = 0

3-1-1 design, development

Clarify and implement what should be done in the part design /development process (design and verification) in order to comply
with the requirements to be observed.

Conformity = 7
Need improvement = 4
Nonconformity = 0

3-1-2 Obtaining and confirming
content information

Obtain the RoHS information of the raw materials and parts thatmake up the company's parts, and confirm that the obtained RoHS
information is written correctly. Also, verify the RoHS informationand confirm that it conforms to the company's standards.

Conformity = 10
Need improvement = 5
Nonconformity = 0

3-1-3 Purchasing management

Requesting RoHS management from the suppliers of raw materials
and parts that make up the company's parts. In addition, themanagement status of the supplier should be checked regularly andimprovements should be made if necessary.

Conformity = 7
Need improvement = 4
Nonconformity = 0

3-1-4
3-1-4-1 Acceptance
Manufactu confirmation
ringprocess

Clarify and implement what should be done in "acceptanceconfirmation" for RoHS control.

Conformity = 3
Need improvement = 2
Nonconformity = 0

The actual product is properly confirmed by analysis andmeasurement.

Conformity = 5
Need improvement = 3
Nonconformity = 0

Process management must be implemented to prevent contaminationand contamination in the manufacturing process and to ensure that
it is not affected by changes in oxidation, evaporation, reaction,content concentration, etc. It manages the transfer of phthalates.

Conformity = 3
Need improvement = 2
Nonconformity = 0

Requesting the necessary process management from the production
contractor. Also, check the management status of the production
contractor on a regular basis.

Conformity = 7
Need improvement = 4
Nonconformity = 0

Change management rules for RoHS management have been
established and are being operated appropriately.

Conformity = 7
Need improvement = 4
Nonconformity = 0

3. Implementation and operation
3-1 Operational management

3-1-4-2 Processmnagement

3-1-5 Change management

3-1-6 Confirmation at the shipment Make a decision on shipping by grasping and confirming that
reliable operation management has been performed in all processes
related to RoHS management.

Conformity = 5
Need improvement = 3
Nonconformity = 0

3-1-7 Correspondence at the timeof nonconformity

Non-conforming product measures (including prevention ofcontamination with conforming products) are properly taken, andnotifications and reports are sent to related parties (promotionmanager, management manager or business manager, related
departments, suppliers, customers, etc.). Have a system in place tocarry out promptly. In addition, the cause of the accident has been
investigated, countermeasures have been taken, and recurrence
prevention has been carried out.
3-2 Management of human resources Identify the education and training required for RoHS management,(Education / training)and systematically implement education and training for employees
involved in management.

Conformity = 7
Need improvement = 4
Nonconformity = 0

3-3 Documentation and its
management

Document the rules and regulations (including records) related to
RoHS management, and maintain, manage, and keep records.

Conformity = 3
Need improvement = 2
Nonconformity = 0

3-4 communication(Information provided)

Properly calculate the RoHS data of the company's parts and provide
the information to customers and third parties.

Conformity = 10
Need improvement = 5
Nonconformity = 0

There is an internal audit on RoHS management, and the operationof RoHS management is confirmed in this.

Conformity = 5
Need improvement = 3
Nonconformity = 0

If there is a problem as a result of the internal audit, it should bereflected in measures such as the next target.

Conformity = 3
Need improvement = 2
Nonconformity = 0

4. Performance evaluation andimprovement (Confirmation andimprovement of implementationstatus)
5. management review(Review by management)

Pass
Comprehensive
There are points thatNo need for improvement
judgment
need improvement

FailureConformity = 3
Need improvement = 2
Nonconformity = 0

Comment:

There is anonconformity part

Total
1.Enter the judgment result (Conformity,Need improvement, Nonconformity) in "judgment".
2.Enter the objectively confirmed case, document name, etc. in the "Promotion status confirmation result".
However, if there is no content to be objectively confirmed due to nonconformity or non-applicability, enter "-".
3. Enter the score obtained by converting the judgment of "1" by the "scoring method" in "scoring".
However, if the "implementation item" does not correspond to the management target of the business partner, enter "not applicable" in "judgment" and enter the same score as conformity in "scoring".
4. The total score of "Scoring" is displayed in "Total"
5. Enter "X" in the judgment result column of "Comprehensive judgment".

0