Carrier Japan
Green Procurement
Guidelines(Ver.1.3)

May. 2024

Table of Contents

1. Foreword
2. Requests to Suppliers
2.1 Promotion of environmental conservation(1) Construction of an environmental management system(2) Formulation of a basic environmental policy(3) Promotion of environmental impact reduction activities(4) Promotion of management of chemical substances in products delivered to Carrier Japan
2.2 Conclusion of agreements for assuring the environmental quality of supply items
2.3 Cooperation in surveys(1) Evaluation of suppliers' environmental conservation(2) Surveys of chemical substances in supply items(3) Other surveys necessary to ensure "2.1 Promotion of environmental conservation " above
2.4 About investigation of non-inclusion of specified chemical substances in supply items(1) About the type of survey target(2) Submission of “Declaration of Use/Non-use of specified chemical substances”(3) Submission of detailed information on contained chemical substances chemSHERPA(4) Submission of Analytical data
2.5 About survey response of contained chemical substances(1) About the response method by the Web survey system(2) How to respond by email survey<Appendix 1>
Carrier Japan List of Environment-Related Substances Rank A: Prohibited substances<Appendix 2>Carrier Japan List of Environment-Related Substances Rank B: Managed substances

Reference materials
URL https://www.toshiba-carrier.co.jp/company/procure_green.htm-2-

Attachment 1: Specifications of parts compliant with the EU RoHS Directive
Form 1: Agreement on non-containing specific hazardous substances
Form 2: Supplier's Check Sheet for the Evaluation of Environmental Conservation
Form 3: Supplier's Checklist for RoHS Internal Audit
Form 4: RoHS compliant action item checklist (Carrier Japan version)
Form 5: Declaration of Use/Non-use of specified chemical substances-3-1. Foreword
Carrier Japan 's business processes and products to be sold we aim to procure materials that contributeto reducing the environmental impact on all the components that make up these products. This guideline
shows Carrier Japan Corporation.'s basic concept and green procurement standards regarding delivered
products such as products, components, and auxiliary materials, and promotes global environmental
conservation activities through green procurement activities together with business partners.
Please refer to the Appendix table for Carrier Japan List of Environment-Related Substances.

２. Requests to Suppliers
To promote green procurement, Carrier Japan requests suppliers, our business partners, to positively
engage in the “promotion of environmental protection by suppliers,” “supply of products, parts andcomponents, materials, etc. with minimal environmental impact,” “conclusion of agreements for securing
environmental quality of procurement items” and “cooperation in various surveys.” We request suppliers
to understand our requests and survey objectives and cooperate with us. We also ask our suppliers torequest their suppliers to understand the Guidelines and to promote activities accordingly.

2.1 Promotion of environmental conservation
We will prioritize transactions with suppliers who more actively promote environmental conservation(*1).

(1) Construction of an environmental management system
The company has constructed an environmental management system in accordance with
ISO14001:2015 or equivalent and has obtained or is preparing to obtain a third-party certification.

(2) Formulation of a basic environmental policy
The company has established its own basic environmental policy that describes the company's
thoughts on the environment in detail and has shared this basic policy within the company.

(3) Promotion of environmental impact reduction activities
The company is engaging activities to reduce environmental impacts that are
related to "response to climate change," "response to the circular economy," and "considerationof ecosystems,".

(4) Promotion of management of chemical substances in products delivered to Carrier JapanThe company is conducting the following activities to promote delivery of products as well as-4-

parts and components, etc. with minimal environmental impacts.

(a) Construction of a management system for chemical substances in supply items
The company has established response procedures in the event of non-compliance, etc. withrespect to its chemical substance management regulations, etc.; has ensured that all parties
concerned in the organization are aware of such procedures; and thoroughly investigates thecauses and implements recurrence prevention measures.

(b) Management of chemical substances in supply items
The company is aware of the two categories, namely "Rank A (Prohibited substances)" and "Rank B(Managed substances)" (listed in the table below) defined by Carrier Japan for the purposeof managing chemical substances in supply items, and manages chemical substances belonging toeach of these categories in accordance with Carrier Japan List of Environment-Related
Substances . (Appendix 1, Appendix 2).

■Two categories of chemical substance management
Category

Rank A (Prohibited
Substances)

Rank B (Managed
Substances)

Definition
Substances whose presence is prohibited in procurement items(including packaging) in Carrier Japan.
Substances whose use in products (including packaging) is
prohibited or restricted by domestic and foreign laws andregulations.
Substances whose environmental impact should be reduced,
based on their actual usage, via reduction of use andsubstitution, or recovery and detoxification in a closed system.

Substances

Appendix 1

Appendix 2

2.2 Conclusion of agreements for assuring the environmental quality of supply items
In order to ensure the environmental quality of the delivered products, we request that you submit the" Agreement on non-containing specific hazardous substances " ... (Form 1).

2.3 Cooperation in surveys
To confirm the status of suppliers' initiatives concerning "2.1 Promotion of environmental conservation "above, we ask suppliers to cooperate in various surveys, including regarding the following items:(1) Evaluation of suppliers' environmental conservation
To strengthen partnerships with suppliers that are proactively engaged in environmental conservation
activities, we periodically evaluate the status of environmental conservation activities by suppliers. We
determine ranks based on the response results, and we prioritize procurement from suppliers who are-5-

rated highly. For suppliers with low ratings, Carrier Japan may plan remediation activities, make requests
for remediation, and provide guidance and assistance. In addition, if a supplier does not make
improvements according to the remediation plan despite receiving a request for remediation and theprovision of guidance and assistance, we may stop transactions with said supplier. Our survey items aremainly on the following items:<Survey items>
Situations regarding the following:(1) Gaining of ISO 14001 certification(2) Green procurement activities(3) Environmental protection activitiesa) Environmental policyb) Organizations and plansc) Environmental aspects of the business and systemsd) Information disclosure and training and education(4) Others(2) Surveys of chemical substances in supply items
Prior to the approval of new procurement items from suppliers and judgment as to whether existingprocurement items require substitution, we conduct surveys concerning the presence of the chemicalmaterials/substances in procurement items. The main items of the surveys are as follows:• Confirmation of the non-use of prohibited substances via the " Declaration of Use/Non-use of specified
chemical substances "---(Form5)• Survey on the use/non-use and content of any substance of very high concern (SVHC, *2) to be a
candidate for authorization under the EU REACH Regulation (chemSHERPA®, *3)• Survey on the analysis and evaluation results(3) Other surveys necessary to ensure "2.1 Promotion of environmental conservation " above etc.
• Supplier's Check Sheet for the Evaluation of Environmental Conservation ... (Form 2)• Internal audit on RoHS control system
Please use it for diagnosis of the in-house management system so that you can build and maintain the
management system of contained chemical substances.
We may ask you to submit a voluntary audit sheet.
Supplier's Checklist for RoHS Internal Audit... (Form 3)
RoHS compliant action item checklist (Carrier Japan version) ... (Form 4)-6-

2.4 About investigation of non-inclusion of specified chemical substances in supply items(1) About the type of survey target
A RoHS index is given to clarify the investigation target of each part. There are categories in the tablebelow, so please refer to the categories and answer the survey.
RoHS index
G1
G2
G3
G4
G6
N9

Survey target
For countries with EU RoHS, REACH and similar regulations
The destination is Japan, for J-Moss Green target products (EU RoHS compliant)
For RoHS compliant and J-Moss green compliant products (no legal restrictions)
For non-RoHS parts, J-Moss orange products
Parts compatible with only 6 substances (lead, mercury, cadmium, hexavalentchromium, PBB, PBDE) in European RoHS (repair parts, dedicated parts, etc.)
Non-RoHS parts, non-J-Moss parts

A symbol is added after the index to indicate the necessity of analysis data.
Grant symbol

Necessity of analysis dataａMust be attachedｂ

Attachment is optional

RoHS index (Example)
G1a : Items that are installed in products exported to Europe and require the attachment of analysis data
G3b : It is installed in products for Japan that do not have specific chemical substance regulations, andattachment of chemical substance analysis data is optional.

(2) Submission of “Declaration of Use/Non-use of specified chemical substances” ... (Form 5)<1> Information on the Rank A: Prohibited substances- Information on the use of RoHS restricted substances (including information on exempted use
numbers)- For RoHS restricted substances, we may ask you to attach analysis data, MSDS, certificates, etc.
<2> Information on the Rank B: Managed substances- For No.B07 ”Substances of Very High Concern (SVHC) under the EU REACH Regulation”
SVHC (Substance of Very High Concern for Authorization) are the substances that meets the criteriaof Article 57 of the EU REACH Regulation and has been selected as a Candidate Substance for
Authorization by the procedure of Article 59. Please check the following site for details.
https://echa.europa.eu/candidate-list-table- Information on the use of RoHS restricted substances (including information on exempted use numbers)- Information on Rank A (Prohibited Substances)- Information on EU REACH SVHC
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SVHC (Substance of Very High Concern for Authorization) are the substances that meets the criteria of
Article 57 of the EU REACH Regulation and has been selected as a Candidate Substance for
Authorization by the procedure of Article 59. Please check the following site for details.
https://echa.europa.eu/candidate-list-table
In case of "contained", please be sure to fill in chemSHERPA.

(3) Submission of detailed information on contained chemical substances chemSHERPA(4) Submission of Analytical data (Limited to necessary deliverables. See 2.5 (1))

2.5 About survey response of contained chemical substances(1) About the response method by the Web survey system
Please register your response to ProChemist (Cloud Service for Managing Chemical Substances)
based on the RoHS index information.
1) Register chemSHERPA
Please fill in the necessary information and register the error-checked chemSHERPA.
Please obtain chemSHERPA from the following site.
https://chemsherpa.net/tool
2) Information registration of declaration of use / non-use of specified chemical substances
Please attach and register the DECDAT.txt file generated from the "Declaration data output" button on theupper right of the usage / non-use declaration sheet. Please refer to the ProChemist notice section for theuse / non-use declaration.
3) Registration of information files such as analysis data (required for RoHS indexing symbol "a")Please add "SUPAN" at the beginning of the file name.
Up to 2 attachments can be registered. If you want to attach multiple pieces of information, please reduce
the number of files to 2 or less by compositing PDFs. There are no extension restrictions.

(2) How to respond by email survey
We will request the target parts to be investigated by e-mail. The procurement department will send a survey
email to the person in charge.
Please reply to the chemSHERPA attached to the survey request, the output DECDAT.txt file from thedeclaration of use / non-use, and the analysis data.
< supplement >Specifications of parts compliant with the EU RoHS Directive-8-

Please satisfy the required specifications of (Attachment 1) for "RoHS compliant" described in thespecifications or drawings of parts to be delivered to Carrier Japan Corporation.
*1: Standard items may differ depending on the supplier's business category, supply item type, necessity, etc. In addition, standard items
are subject to change.
*2: Substance of Very High Concern (SVHC). Substances that fall under the criteria defined in Article 57 of the EU REACH Regulationand that have been selected as candidate substances for authorization according to the procedure defined in Article 59 of said
regulation.
*3: A scheme for communicating information on the chemical substances contained in products; this scheme is available across the supply
chain.

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<Appendix 1>
Carrier Japan List of Environment-Related Substances Rank A: Prohibited substances
No.

Substance category

Threshold of concentration to beprohibited in supplies toCarrier Japan
Prohibition of
intentional
addition

Reference laws and regulations

EU REACH Regulation (Annex XVII),
JPN Industrial Safety and Health Law(Prohibition of Manufacturing)

A01

Asbestos

A02

Certain azocolourants andazodyes (only those that may
release certain amines)

0.003wt% (30 ppm) for eachgenerated certain Amine

EU REACH Regulation (Annex XVII)

A03

Cadmium and cadmium
compounds

0.01wt% (100 ppm) (*1, 2)

EU RoHS Directive,
EU REACH Regulation (Annex XVII),EU Packaging Directive

A04

Hexavalent chromium
compounds

0.1wt% (1000 ppm) (*1, 2)

EU RoHS Directive,
EU REACH Regulation (Annex XVII),EU Packaging Directive

A05

Lead and lead compounds

0.1wt% (1000 ppm) (*1, 2)

EU RoHS Directive,
EU REACH Regulation (Annex XVII),EU Packaging Directive

A06

Mercury and mercury
compounds

0.1wt% (1000 ppm) (*1, 2)

EU RoHS Directive,
EU REACH Regulation (Annex XVII),EU Packaging Directive

A07

Ozone depleting substances(CFCs, HCFCs, HBFCs,
carbontetrachloride, etc.)

Prohibition
additionMontreal Protocol,
JPN Ozone Layer Protection Law

A08

Polybrominated biphenyls(PBBs)

0.1wt% (1000 ppm) (*1)

EU RoHS Directive,
EU REACH Regulation (Annex XVII)

A09

Polybrominateddiphenylethers (PBDEs)

Prohibition of
intentional
addition(only for 4-7, 10 bromine
atoms),
or 0.1wt% (1000 ppm) (*1)

JPN CSCL (Class 1) (*7)
U.S. TSCA PBT Rules (*8)
EU RoHS Directive

A10

Polychlorinated biphenyls(PCBs)

Prohibition
additionofintentional

JPN CSCL (Class 1) (*7)
EU POPs Regulation

A11

Polychlorinated naphthalenes(more than 1 chlorine atoms)(*3)

Prohibition
additionofintentional

JPN CSCL (Class 1) (*7)
EU POPs Regulation

A12

Radioactive substances

Prohibition
additionofintentional

JPN Act on Prevention of Radiation
Hazards due to Radioisotopes, etc.
JPN Nuclear Reactor RegulationLawofintentional- 10 -

Threshold of concentration to beprohibited in supplies toCarrier Japan
Prohibition of intentional
addition, or 0.1wt% (1000ppm)

Reference laws and regulations

No.

Substance category

A13

Certain short chain
chlorinated paraffins (with acarbon chain length of
between 10 and 13)

A14

Tributyl tin (TBT) and triphenyltin (TPT)

0.1wt% (1000 ppm) of tin in
the part (*4)

EU REACH Regulation (Annex XVII)

A15

Tributyl tin oxide (TBTO)

Prohibition of intentional
addition, or 0.1wt% (1000ppm) of tin in the part (*4)

JPN CSCL (Class 1) (*7),
EU REACH Regulation (Annex XVII)A16

2-(2H-1,2,3-benzotriazol-2-il)-4,6-di-tert-butylphenol(UV-320)

Prohibition of intentional
addition

JPN CSCL (Class 1) (*7)

A17

Perfluoro (octane-1-sulfonicacid) (also known as PFOS)
or its salt and PFOS-related
compounds-PFOS or its salt
Prohibition of intentional
addition, or 0.0000025wt%(25 ppb)-PFOS-related compounds
0.0001wt%（1ppm）

JPN CSCL (Class 1) (*7,9),
EU POPs Regulation

A18

Perfluoro (octane-1-sulfonyl)
fluoride (also known as
PFOSF)

Prohibition of intentional
addition, or 0.1wt% (1000ppm) (in the case of coatedmaterial, 1microgram/m2)

JPN CSCL (Class 1) (*7),
EU POPs Regulation

A19

Polychlorinated terphenyls(PCTs)

0.005wt% (50 ppm)

EU REACH Regulation (Annex XVII)

A20

Tri-substituted organostannic
compounds (excluding A14
and A15)0.1wt% (1000 ppm) of tin in
the part (*4)

EU REACH Regulation (Annex XVII)

A21

Dimethyl fumarate (DMF)

0.00001wt% (0.1 ppm)

EU REACH Regulation (Annex XVII)

A22

Dioctyltin compounds (DOT)

0.1wt% (1000 ppm) of tin in thepart (*4, 5)

EU REACH Regulation (Annex XVII)

A23

Dibutyltin compounds (DBT)

0.1wt% (1000 ppm) of tin in thepart (*4, 5)

EU REACH Regulation (Annex XVII)A24Hexabromocyclododecane(HBCD)

Prohibition of intentional
addition,or
0.0075wt%(75ppm)JPN CSCL (Class 1) (*7),
EU POPs Regulation

A25

Polycyclic aromatichydrocarbons(PAHs)（ BaP,BeP,BaA,CHR,BbFA,
BjFA,BkFA,DBAhA）

0.0001wt% (1 ppm) of theplastic
or rubber part (*5)

EU REACH Regulation (Annex XVII)

A26

Bis (2-ethylhexyl) phthalate(DEHP)

0.1wt% (1000 ppm) (*6)

EU RoHS Directive,
EU REACH Regulation (Annex XVII)

A27

Dibutyl phthalate (DBP)

0.1wt% (1000 ppm) (*6)

EU RoHS Directive,
EU REACH Regulation (Annex XVII)

A28

Butyl benzyl phthalate (BBP)

0.1wt% (1000 ppm) (*6)

EU RoHS Directive,
EU REACH Regulation (Annex XVII)- 11 -JPN CSCL (Class 1) (*7),
EU POPs Regulation

A29

Diisobutyl Phthalate (DIBP)No.

Substance category

0.1wt% (1000 ppm) (*6)
Threshold of concentration to beprohibited in supplies toCarrier Japan
Prohibition of
intentional
addition

EU RoHS Directive,
EU REACH Regulation (Annex XVII)
Reference laws and regulations

A30

Phenol, isopropylated
phosphate (PIP (3:1))

U.S. TSCA PBT Rules (* 8)A31

Perfluorooctanoic(PFOA),
its salts and related
compoundsacid

1. PFOA and its salts
Prohibition of
intentional
addition or 0.0000025wt%(25 ppb) of PFOA including
its salts in an article or a
mixture2. PFOA-related compounds
0.0001wt% (1 ppm) of one oracombinationof
PFOA-related compounds, inan article or a mixture

JPN CSCL (Class 1) (*7),
EU POPs Regulation

A32

C9-C14 perfluorocarboxylic
acids (C9-C14 PFCAs), theirsalts and related substances

C9-C14 PFCAs and its salts
Prohibition of
intentional
addition or 0.0000025wt%(25 ppb) of PFOA including
its salts in an article or a
mixtureC9-C14PFCAs-related
substances
0. 000026wt% (260ppb) of
one or a combination of
C9-C14PFCAs-related
substances, in an article or a
mixtureEU REACH Regulation (Annex XVII)

A33

Perfluorohexane sulfonic acid
(PFHxS), its salts and related
substancesa
PFHxS
contentof
0.0000025 % (25 ppb) by
mass, ora mass content of the sum of
PFHxS related substances of
0.0001 % (1000 ppb).

ORRChem Switzerland,
JPN CSCL (Class 1) (*7,9),
EU POPs Regulation

A34

Dechlorane Plus

Prohibition
additionofintentional

Stockholm Convention on Persistent
Organic Pollutants

A35

UV-328

Prohibition
additionofintentional

Stockholm Convention on Persistent
Organic Pollutants"Intentional addition" means using chemical substances intentionally in forming supply items to bringabout specific properties, appearance, or quality.
(*1) The denominator when calculating a threshold value shall be for each homogeneous material. The threshold concentrationof metal compound is the mass ratio of metal element to homogeneous material. For example, in the case of cadmium and its
compounds, it is the concentration of cadmium element. Only applications exempt from the EU RoHS Directive (hereinafter RoHS) shallbe exempt from the prohibition (including exemption applications accepted in the future).

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(*2) For packaging materials, the threshold of concentration to be prohibited shall be 0.01wt% (100 ppm) for a total of four materials(cadmium and its compounds, hexavalent chromium compounds, lead and its compounds, and mercury and its compounds) for eachhomogeneous material composing the package. The threshold concentration of metal compound is the mass ratio of metal element tohomogeneous material. For example, in the case of cadmium and its compounds, it is the concentration of cadmium element.
(*3) Polychlorinated naphthalene with 1 or more chlorine atoms is prohibited for products destined for the EU that require compliancewith EU POPs regulations. Polychlorinated naphthalene with 2 or more chlorine atoms is prohibited for products for other regions.
(*4) The numerator when calculating a threshold value shall be an equivalent for metal tin (Sn), and the denominator shall be for eachmolded item or its component (including mixtures only for DBT). Intentional addition for biocides and industrial wastewater treatment
applications is prohibited.
(*5) The target substance groups and uses are listed in Annex XVII of the EU REACH Regulation. However, only the applications
allowed for use covered by the exemptions and time limits specified in Annex XVII of the EU REACH Regulation shall be exempt fromthe prohibition of use.
(*6) In the case of the scope of the EU RoHS Directive, it is prohibited to contain 0.1wt% (1000 ppm) or more of each homogeneousmaterial for each substance. In the case of the scope of the EU REACH Regulation, the total content of phthalates is prohibited fromcontaining 0.1wt% (1000 ppm) or more of the plasticized material. The applications that are out of scope of EU RoHS Directive or EU
REACH Regulation, or are exempted from EU RoHS Directive or EU REACH Regulation shall be exempt from this regulation (including
exemption applications accepted in the future).
(*7) CSCL: Chemical Substances Control Law of Japan(*8) The regulations on the five persistent, bioaccumulative, and toxic (PBT) chemicals and PBT-containing products and articles inaccordance with the TSCA (U.S. Toxic Substances Control Act) Section 6(h). At the moment, procurement items that are incorporated
into articles whose destinations are clearly countries other than the U.S. are not subject to the regulations. In addition, among PIP (3:1),
phase-in prohibitions and exemptions are excluded.
(*9) Under the CSCL PFHxS-related substances and PFOS-related compounds are excluded.

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<Appendix 2>Carrier Japan List of Environment-Related Substances Rank B: Managed substances
No.

Substance category

B01

Brominated flame retardants, other than PBBs (A08) and PBDEs (A09)

B02

Nickel and its compounds (only parts in contact with human bodies)

B03

Certain phthalates, other than DEHP (A26), DBP (A27), BBP (A28), DIBP (A29) and designatedphthalates (B07)

B04

Perfluorocarbons (PFCs)

B05

Hydrofluorocarbons (HFCs)

B06

Sulfur hexafluoride (SF6)

B07

Substances of Very High Concern (SVHC) under the EU REACH Regulation (*9)

B08

The U.S. TSCA PBT Rules (5 substances) (excluding DecaBDE (A09) and PIP (3:1) (A30)) (*10)

B09

Tetrabromobisphenol A (TBBPA)

B10

Medium-chain chlorinated paraffins (MCCP)

B11(deleted)

B12(deleted)

B13

PFAS (Per- and polyfluoroalkyl substances)

B14

C15-C21 perfluorocarboxylic acids (C15-C21 PFCAs), their salts and related substances(*9) The Substances of Very High Concern (SVHC) selected under the procedures specified in Article 59 of the EU REACH Regulation.
The denominator shall be the total mass of a supply item or each component/material.
(*10) The regulations on the five persistent, bioaccumulative, and toxic (PBT) chemicals and PBT-containing products and articles inaccordance with the TSCA (U.S. Toxic Substances Control Act) Section 6(h). At the moment, procurement items that are incorporated
into articles whose destinations are clearly countries other than the U.S. are not subject to the regulations.

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<Revision History>

Ver.

IssuedReason and contents of revision

1.０

Oct 2022

Newly issued

1.2

Apr. 2024

1. Revised “Toshiba Carrier List of Environment-Related Substances Rank A & Rank B”
2. Change URL of Reference materials
3. Change corresponding department

1.3

May.2024

Company name changed to Carrier Japan- 15 -

Carrier Japan Corporation
Procurement Div.
Technology Regulation & Knowledge Administration Dept.
EH&S- 16 -