Suppliers Guide

Prohibited and
Restricted Substances

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Purpose

This publication provides an overview of Cummins’ position and standards on

Prohibited and Restricted Substances in our processes and products. In this
context the term “substances” refers generically to elements, compounds and
chemicals. There are many existing and emerging local and regional regulations
that affect operations and products, which can be complex to understand. For
example, a regulation may apply to a consumer product but not to commercial
products such as ours.

This guide summarizes the key Cummins substances standards for informational
purposes. Always refer to the current standards which are posted on the Cummins
Supplier Portal, at http://supplier.cummins.com

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Supplier Responsibility
Compliance to these standards is mandatory for all suppliers that provide
any product or service to Cummins Inc. organizations. Organizations
included are all subsidiaries, joint ventures, alliances, partnerships, and
company owned distributors in which Cummins has a controlling interest
or management responsibility. Suppliers who provide any product or
service to Cummins, Inc. organizations are wholly responsible for the end
product provided to Cummins irrespective of how many sub-suppliers
(Tier 2, 3 etc.) may be in the supply chain flow. The end product supplied
includes partially or fully finished assemblies, components, packaging,
chemicals and consumable processing substances. This further applies
to all suppliers and joint ventures producing Cummins branded products.
It is the responsibility of the supplier to verify that the substances listed are
not in any products or substances supplied to Cummins per the referenced
threshold. More information regarding supplier responsibility can be found
in the section “Prohibited and Restricted Substances at Cummins”
Failure to abide with this standard may result in the termination of the
relationship with Cummins.
Summary of Cummins Engineering Standards
■ CES 10903 Substances, Prohibited and Restricted
*Please refer to CES 10903 for a complete list of supplier requirements related
to prohibited substances including information regarding certain regulatory
exemptions which may exist for a substances in specific applications.
Summary of major regulations concerning materials and chemicals
The following summarize major regulations which often arise in customer
queries. It is important to note that Cummins might prohibit certain
substances from our products and processes beyond what applicable
regulations require. This information on various regulations is for reference
only. Cummins’ list of Prohibited and Restricted Substances is found below.
Restriction of Hazardous Substances – is a directive of the European Union
which restricts the use of six hazardous materials in the manufacture of various
types of electronic and electrical equipment. http://eur-lex.europa.eu/legal-
content/en/ALL/?uri=CELEX:32011L0065
 nd of Life Vehicle – is a directive of the European Union which restricts
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the use of six hazardous substances in the manufacture of various types
of electronic and electrical equipment. A variety of Cummins products are subject
to this regulation including: Automatic Transfer Switches, Power Generation
Equipment, and engines utilized in Power Generation Equipment. The link below
provides more information on this regulation. Other countries outside of Europe
are currently proposing similar RoHS regulations. http://eur-lex.europa.eu/legal-
content/EN/TXT/?uri=CELEX:32000L0053
 egistration, Evaluation, Authorization and Restriction of Chemicals – is
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a European Union regulation for chemicals made, used or imported into the
EU region. REACH requires registration of chemical substances on their own,
in preparations or released by an article during its normal use. In addition to
chemical registration is the identification of Substances of Very High Concern
(SVHC) on a “candidate list”. Some or all of these substances may be restricted
when moved to an “authorization list” or banned when moved to a “prohibited
list”. Cummins prohibits the use of any substance on the “prohibited list”.
Additionally, Cummins requires all suppliers to immediately disclose the
presence, concentration, and safe handling/disposal instructions for
products which contain substances on the “candidate” or “authorization” list.
More information may be found at the following links: http://eur-lex.europa.eu/
LexUriServ/LexUriServ.do?uri=OJ:L:2007:136:0003:0280:EN:PDF
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Supplier Responsibility

Prohibited and Restricted Substances at Cummins

Any product supplied to Cummins containing substances on Cummins Black, Gray, or Yellow list
must immediately provide the following information to Cummins:

■P
 resence & % concentration by weight of the substance in question at the homogeneous layer

■ Safe handling and disposal instructions

■ A plan for alternate substances to maintain product compliance by any regulatory sundown date

The following tables summarize all prohibited or restricted materials in our products
and processes.

■ The first column lists the substance or chemical name.

■ The second column further identifies the substance by the specific Chemical Abstracts Service
(CAS) registry number.

■ The third column provides the inclusion date for the prohibited substance.

■ The fourth column lists the applicable threshold levels of trace (unintentionally added) amounts
by component weight.

■ The fifth column further provides guiding regulation for the prohibited substance.

Radiation
Incoming components, materials, and finished product may not emit
any type of ionizing radiation in excess of 0.5 μSv/hr (50 μR/hr) above
background levels, as measured no more than 1 meter from the source.

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Summary – Cummins Prohibited and Restricted Substances

Prohibited and Restricted Substances in Products – Currently Prohibited (Black List)

Substance Name CAS Number Inclusion Date Threshold Limit Guiding
by Weight Regulation
Asbestos 12001-29-5 January 1, 1988 ref: 0.1% RoHS / ELV
CPPS-CERT 6720-1-8
Cadmium 7440-43-9 1/1/00 0.01% RoHS / ELV
Hexvalent Chromium 18540-29-9 1/1/04 0.1% RoHS / ELV
Mercury 7439-97-6 1/1/04 0.1% RoHS / ELV
Lead (Pb) 7439-92-1 1/1/04 0.1% RoHS / ELV
Polybrominated Biphenyls (PBB) PJL335 1/1/07 0.1% RoHS / ELV
Polybrominated Diphenyl Ethers (PBDE) 40088-47-9, 32534-81-9, 36483-60-0, 68928-80-3, 32536-52-0, 1/1/07 0.1% RoHS / ELV
63936-56-1, 1163-19-5
5-tert-butyl-2,4,6-trinitro-m-xylene (Musk xylene) 81-15-2 21/02/2013 0.1% REACH
Diaminodiphenylmethane (MDA) 101-77-9 21/02/2013 0.1% REACH
Hexabromocyclododecane (HBCDD), alpha-hexabromocyclododecane, 3194-55-6, 25637-99-4, 134237-50-6, 134237-51-7, 134237-52-8 21/02/2014 0.1% REACH
beta-hexabromocyclododecane, gamma-hexabromocyclododecane
Benzyl butyl phthalate (BBP) 85-68-7 21/08/2013 0.1% REACH
Bis(2-ethylhexyl) phthalate (DEHP) 117-81-7 21/08/2013 0.1% REACH
Dibutyl phthalate (DBP) 84-74-2 21/08/2013 0.1% REACH
Diisobutyl phthalate (DIBP) 84-69-5 21/08/2013 0.1% REACH
Diarsenic trioxide 1327-53-3 21/11/2013 0.1% REACH
Lead chromate 7758-97-6 21/11/2013 0.1% REACH

Note: Thresholds represent a maximum concentration value by weight and per homogenous Substance, provided these substances are not intentionally introduced

Links to exemptions which may apply to Cummins Product:

*If a supplier believes a regulatory exemption exists for use of a Cummins “Black List” substance, a discussion must be had with Cummins Prohibited
Materials Leader and agreement received from Cummins in writing to continue supply of any product containing a Black list substance.

http://eur-lex.europa.eu/legal-content/en/ALL/?uri=CELEX:32011L0065
Note: Exemptions are listed in Annex III, a partial list of exemptions which may be applicable to Cummins Gensets, “G-Drive” Engines, and Automatic Transfer
Switching equipment is listed in Table D1: RoHS - 2011/65/EU, Source Annex III (Exemption)* on page 9.

RoHS Definitions & FAQ

http://ec.europa.eu/environment/waste/rohs_eee/events_rohs3_en.htm

ELV Exemptions 2013/28/EU

http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32013L0028

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Summary – Cummins Prohibited and Restricted Substances

Prohibited and Restricted Substances in Products – Future Effect Date (Gray List)
Suppliers must inform Cummins of the existence in products and the weight of the substance in the product. Supplier should also offer options
to eliminate the substance (below the threshold limit) by the effect date and safe handling and disposal instructions.

Click on the link below to see the most current list of “gray” substances.
http://echa.europa.eu/addressing-chemicals-of-concern/authorisation/recommendation-for-inclusion-in-the-authorisation-list/authorisation-list

Prohibited and Restricted Substances in Products – Phase Out (Yellow List)

Suppliers must inform Cummins of the existence of such substances in products and the weight of the substance in the product, Cummins will work
jointly with the supplier to determine phase out plan, as these substances will move onto the GRAY list in the future, although the date is not yet known.

Click on the link below to see the most current list of “yellow” substances.
http://echa.europa.eu/candidate-list-table

For more information on disclosure requirements for SVHC’s:

http://echa.europa.eu/addressing-chemicals-of-concern

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 Additional Information

For additional information on prohibited and restricted substances, please contact your Cummins purchasing
representative or email send your inquiry to the general email address below:

Purchasing and Compliance Questions: supplier.compliance@cummins.com

Approved for external distribution

Revision February 2015
An electronic copy of this publication and the most current release of Cummins’ Prohibited Substances Standard
is posted on the Cummins Supplier Portal at http://supplier.cummins.com

Cummins Inc.
500 Jackson Street
Columbus, IN 47202