Documents you will need from the Cummins declaration request

Help Desk: For questions or to submit your data in FMD, please send an email to the Cummins Supplier Compliance inbox: Email to supplier.compliance@cummins.com Quick Start Guide Documents you will need from the Cummins declaration request e-mail: Parts_List (XLS) Contains a list of part numbers supplied to Cummins. These are the parts you will certify for compliance. Anthesis_MD_Template (XLS) Template you will use to declare part compliance (Class A, C, or D) per IPC standard Okay, let s get started! Open the Anthesis_MD_Template template and click on Enable Content on the top of the page. This will enable the macros in the template. 1

Filling out the Business Info Tab: Note: All fields with an Asterisk (*) are required fields. Step 1: Select the appropriate delectation type from the Template Settings. Select only one declaration type by clicking in the appropriate box and toggling the No to Yes. Selecting the Right Declaration Type Class A - Reporting in a simple query / reply format You answer the compliance question(s) in a simple query, response format. You select the ROHS, REACH queries and select 1 response form a list of pre-populated drop-down choices applicable for all parts listed in the products tab. Class C Substance Disclosure / Partial Declaration You run through a list of ROHS and REACH substances (pre-populated) and certify that their concentration is below the prescribed threshold for all parts listed in the Product tab. Note: If you provide a Class A or Class C, you will need to re-certify the parts when the ROHS and REACH regulations are updated. Class D - Full Substance Disclosure You provide a declaration that contains the full list of substances and concentration in the part(s). If you provide a Class D Full Material Disclosure, there is no further action required from your side when regulations are updated. Note: Additional tabs will automatically open up based on the declaration type selected 2

Step 2: Review the Legal Declaration and Select Accepted Step 3: Review Supplier Information section Do not modify the Company Name or Vendor ID fields Required Action: Update the Response Date in MM/DD/YYYY format with the date declaration was submitted back to Cummins Optional: If the Primary Contact information has changed : Modify the Authorized Rep, Email, Phone details, and also Contact Name, Email and Phone in the table below. Please notify the Cummins Compliance Engineer if you are making this change. Optional: Enter the unique DUNS number for your Company Optional: If you would like additional contacts to be copied in future compliance related communications: Update the Contact Name, Email and Phone in the last section of the Supplier Information, no other action is required. Click on the type of Declaration (Class A, C or D) for further instructions. Click here for Class A Click here for Class C 3 Click here for Class D

Class A Declaration: If you have selected Class A, two additional tabs will appear: Query Lists and Query Exemptions. Step 1: Update the Products tab Copy and Paste the Cummins Item Number, Cummins Item Name, and Unit of Measure from the Parts_List (separate XLS with the list of Parts) to the Products tab in the Anthesis template. Use Paste Special -> Values when pasting the information into the Requester Item Number, Requester Item Name, and Unit fields in the Products tab of the Anthesis template. All part numbers listed in the Products tab should have the same compliance status (All Compliant or Compliant with Exemptions or All Non-Compliant) 4

What if some parts in the list are compliant and some are not? You will need to fill out 2 separate Anthesis templates, one with a list of parts (in the Products tab) that are compliant and the other with a list of parts that are non-compliant. Update the following fields for each part on the Products tab Mfr Item Number: Supplier Internal part number matching the Cummins part number. Use the Requester Item Number if you do not have a different internal part number. Mfr Item Name: Supplier Internal Item Description. Use the Requester Item Name if you do not have a different internal Part Description. Mass: Total weight of the part/component. This should be a numerical value. This is a mandatory field. An error will be prompted if this field is not populated. UoM: This is the Unit of Measure (UoM) of the Mass indicated. Available options in the dropdowns are g, kg, mg. Use only one UoM for the whole declaration. This is a mandatory field. An error will be prompted if this field is not populated. The completed Products tab will look like this: After you have entered these details for all parts listed, proceed to Step 2. Step 2: Query List Tab 5

This tab is where the product compliance is declared. There are three different compliance definitions: EUROHS-1506, EUROHS-0508, and EUREACH-0117. Below is a brief description of each: o EUROHS-0508: This definition includes the following 6 substances which were originally restricted by the European Directive on the Restriction of Hazardous Substances (RoHS): 1. Lead 2. Mercury 3. Cadmium 4. Hexavalent chromium 5. Polybrominated biphenyls (PBB) 6. Polybrominated diphenyl ethers (PBDE) o EUROHS-1506: This definition includes the 4 substances which were added by the Commission Delegated Directive: 1. Bis (2-ethylhexyl) phthalate (DEHP) 2. Butyl benzyl phthalate (BBP) 3. Dibutyl phthalate (DBP) 4. Diisobutyl phthalate (DIBP) o EUREACH-0117: This definition includes all 173 SVHCs which are on the Candidate List as of January 2017. To see a complete list of the substances, please visit the following website: https://echa.europa.eu/candidate-list-table From the Query List select EUROHS-1506 first, then select the appropriate statement from the Statement drop-down that is applicable for all parts listed in the Products tab. After selecting the statement, the response will automatically set to True. Similarly, select EUROHS-0508 and EUREACH-0117 in the Query List and select the appropriate statement and response. Note: In order to declare to all 10 RoHS substances, you must enter statements for both RoHS definitions. 6

The completed Query Lists tab will look like this with 3 queries, statements and responses: Step 3: Query Exemptions Tab If your products do not have any exemptions, leave this tab blank. If one of the statements on the Query Lists tab is Product(s) meets EU RoHS requirements by application of the selected exemptions, you will be prompted to provide exemption details. Update the applicable exemptions on this tab. The Description field will be populated automatically based on the exemption selected. 7

Step 4: Data Summary Tab Check the Data Summary tab to ensure that all data elements are Completed and the message bar across row 2 says No Error Found!. Step 5: Save the template and send it to: supplier.compliance@cummins.com 8

Class C Declaration: If you have selected Class C, two additional tabs Substance Category Lists and Substance Category Exemptions will appear. Step 1: Update the Products tab Copy and paste the Cummins Item Number, Cummins Item Name, and Unit of Measure from the Parts_List (separate XLS with the list of Parts) to the Products tab in the Anthesis template. Use Paste Special -> Values when pasting the information into the Requested Item Number, Requester Item Name and Unit in the Products tab of the Anthesis template. 9

All part numbers listed in the Products tab should have the same compliance status (All Compliant or Compliant with Exemptions or All Non-Compliant) What if some parts in the list are compliant and some are not? You will need to fill out 2 separate Anthesis templates, one with a list of parts (in the Products tab) that are compliant and the other with a list of parts that are non-compliant. See examples below: Example 1: If the list contains 5 parts and assume 3 parts are fully compliant, and of the remaining 2 parts, one contains Lead over 0.1 ppm and the other contains Mercury over 0.1 ppm. In this scenario, the 3 compliant parts should be updated in 1 Anthesis template and the other two parts will have individual Anthesis templates. In all, you will submit 3 templates with the first containing 3 parts in the Products tab and 1 each in the 2 other templates. Example 2: Assume the list contains 2 parts, one is fully compliant and the other is compliant, but with exemptions each part will get its own Anthesis template. In all, you will submit 2 templates. Update the following fields for each part on the Products tab Mfr Item Number: Supplier Internal part number matching the Cummins part number. Use the Requester Item Number if you do not have a different internal part number. Mfr Item Name: Supplier Internal Item Description. Use the Requester Item Name if you do not have a different internal Part Description. Mass: Total weight of the part/component. This should be a numerical value. This is a mandatory field. An error will be prompted if this field is not populated. UoM: This is the Unit of Measure (UoM) of the Mass indicated. Available options in the dropdowns are g, kg, mg. Use only one UoM for the whole declaration. This is a mandatory field. An error will be prompted if this field is not populated. 10

The Completed Products tab will look like this: After you have entered these details for all parts listed, proceed to Step 2. Step 2: Substance Category List The Substance Category Lists tab will list all RoHS and REACH substances, and the Above Threshold field will be set to FALSE by default. The other choices for Above Threshold are True and True w/ Exemption. If none of the products have a RoHS or REACH substance above the specified threshold, no action is required on this sheet. Note: The value selected for the Above Threshold will apply for all the parts in the Products tab. Remember to create additional templates and isolate parts if the values are different. 11

If the Above Threshold field is set to True for any substance: o The Mass and UoM will be required. Enter the Mass and UOM of the Substance. Step 3: Substance Category Exemptions Tab If your products do not have any exemptions, leave this tab blank. If the Above Threshold is set to true w/ exemption, the details of the exemptions must be entered in this tab. Step 4: Data Summary Tab Check the Data Summary tab to ensure that all data elements are Completed and the message bar across row 2 says No Error Found!. Step 5: Save the template and send it to: supplier.compliance@cummins.com 12

Class D Declaration: If you have selected Class D, three additional tabs Sub Products, Homogeneous Materials, and Substances will appear. Step 1: Update the Products tab Copy and paste the Cummins Item Number, Cummins Item Name, and Unit of Measure from the Parts_List (separate XLS with the list of parts) to the Products tab in the Anthesis template. Use Paste Special -> Values when pasting the information into the Requested Item Number, Requester Item Name and Unit in the Products tab of the Anthesis template. Important Note: Every part is required to have a separate Anthesis template when submitting a Class D Full Declaration. If you are submitting a Class D for 5 parts, you will submit 5 different Anthesis templates, each containing 1 part in the products tab. 13

Update the following fields for each part on the Products tab Mfr Item Number: Supplier Internal part number matching the Cummins part number. Use the Requester Item Number if you do not have a different internal part number. Mfr Item Name: Supplier Internal Item Description. Use the Requester Item Name if you do not have a different internal Part Description. Mass: Total weight of the part/component. This should be a numerical value. This is a mandatory field. An error will be prompted if this field is not populated. UoM: This is the Unit of Measure (UoM) of the Mass indicated. Available options in the dropdowns are g, kg, mg. Use only one UoM for the whole declaration. This is a mandatory field. An error will be prompted if this field is not populated. The Completed Products Tab will look like this After you have entered these details for the product, proceed to Step 2. Step 2: Sub Products (Optional) Update this section to identify Sub Products and their part numbers. If the products or parts that you declared in the Products tab do not have subparts, you may skip this section without getting an error. A maximum of 450 Sub Products in one declaration will be accepted by the form. Mfr Item Number: Suppliers Internal part number or a Cummins part number for the sub product. This is a mandatory field. An error will be prompted when no data is entered. Mfr Item Name: Suppliers Internal Item Description of the sub product. This is a mandatory field. An error will be prompted when no data is entered. Qty: Quantity of part number in the bill of material for the product. Enter a numerical value. Mass: Total weight of the part/component. This should be a numerical value. This is a mandatory field. An error will be prompted when no data is entered. 14

UoM: This is the Unit of Measure (UoM) of the Mass indicated. Available options in the dropdowns are g, kg, mg. Use only one UoM for the whole declaration. This is a mandatory field. An error will be prompted when no data is entered. The Completed Sub Products Tab will look like this After you have entered all the sub products details, proceed to Step 3. Step 3: Homogeneous Materials (Required) Update this section to identify the Homogenous Materials in the Part/Product. Sub Product: If a certain homogeneous material is associated with a sub product, choose the sub product from the dropdown. If you have not updated any sub product information, no selection is required, this section will remain blank. Material Group Name: Select the Material Group Name of the Homogeneous Material from the dropdown provided. This list has been classified and grouped based on the common Material Groups of homogeneous parts. This is a mandatory field. An error will be prompted when no data is entered. Homogeneous Material: Input the homogeneous materials associated with each sub product or product. This is a mandatory field. An error will be prompted when no data is entered. Mass: Input the total mass/weight of the Homogeneous Material. This should be a numerical value and should match the Unit of Measure selected. This is a mandatory field. An error will be prompted when no data is entered. UoM: This is the Unit of Measure (UoM) of the Mass indicated. Available options in the dropdowns are g, kg, mg. Use only one UoM for the whole declaration. This is a mandatory field. An error will be prompted when no data is entered. Your Completed Homogenous Materials Tab will look like this Note: More than one homogeneous materials can be provided for Product / Sub- Products. Sum of mass of the homogeneous materials should be equal to the mass of the Product. 15

If the sum of mass of the homogeneous materials is not equal to the Product Mass following error message will be displayed: After you have entered homogeneous material details, proceed to Step 4. Step 4: Substances Homogeneous Material: Select the Homogeneous Material that a specific substance should be mapped with from the dropdown. This has been populated based on the information provided from the previous tabs. Level: This field is automatically populated as Supplier. You can change it if desired by clicked the dropdown box. An error will be prompted when no data is entered. Substance Category: This field is automatically populated as Supplier. Substance Name: Input the Substance Name. A complete Chemical Substance Name is required to be inputted. This is a mandatory field. An error will be prompted when no data is entered. CAS# or Proprietary: A CAS Registry Number, also referred to as CASRN or CAS Number, is a unique numerical identifier assigned by Chemical Abstracts Service (CAS) to every chemical substance described in the open scientific literature including organic and inorganic compounds, minerals, isotopes, alloys and nonstructural materials. CAS Numbers must be provided unless unavailable for the substance which is being declared. Proprietary value can be entered in case of declaring Proprietary substance. Mass: Mass of the substance is calculated from the Concentration value entered. The form will require the concentration of the substance. UoM: Indicate the Unit of Measure used in the substance declaration from the dropdown provided. Concentration: This is an editable field where the concentration of a regulated substance category in % of homogenous material mass must be entered. 16

Important Information on declaring Proprietary / Secret Substance Use Substance Name Proprietary when declaring proprietary or secret substances. The concentration of the Proprietary substance cannot exceed 5% of the total mass. A Class C declaration should also be submitted, in addition to Class D, if Proprietary substances are declared. To add a Class C to the Declaration Go back to the Business Info Tab and enable Class C in Template Setting in addition to Class D and follow the instructions on updating Class C. Exemption: Select the applicable EU RoHS exemption in the dropdown if the part exceeds the regulated values. The exemption description will be automatically prepopulated once the exemption has been chosen in the dropdown. Your Completed Substances Tab will look like this Note: Sum of concentration of the Substances for a homogeneous material should be 100%. In case of more than one homogenous material is declared then sum concentration of the Substances for each of the homogeneous material should be 100%. If the sum of concentration of the Substances for the homogeneous material is not equal to 100 then the following error message will be displayed: 17

Step 5: Data Summary Tab Check the Data Summary tab to ensure that all data elements are Completed. Step 6: Save the template and send it to: supplier.compliance@cummins.com 18